Proposal for a Council Decision of […] on the conclusion of an Agreement between the European Union, Iceland, Liechtenstein and Norway on an EEA Financial Mechanism 2009-2014, an Agreement between the European Union and Norway on a Norwegian Financial Mechanism 2009-2014, an Additional Protocol to the Agreement between the European Economic Community and Iceland concerning special provisions applicable to imports into the European Union of certain fish and fisheries products 2009-2014 and an Additional Protocol to the Agreement between the European Economic Community and Norway concerning special provisions applicable to imports into the European Union of certain fish and fisheries products 2009-2014
Date: 2010-05-17
Institutions: European Commission
Subjects: EFTA countries, European Economic Area, agreement (EU), financial aid, fishery product, free-trade agreement, protocol to an agreement, ratification of an agreement

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EUROPEAN COMMISSION 

Brussels, 17.5.2010 
COM(2010)234 final 

2010/0129 (NLE) 

Proposal for a 

COUNCIL DECISION 

of […] 

on the conclusion of an Agreement between the European Union, Iceland, Liechtenstein 
and Norway on an EEA Financial Mechanism 2009-2014, an Agreement between the 
European Union and Norway on a Norwegian Financial Mechanism 2009-2014, an 
Additional Protocol to the Agreement between the European Economic Community and 
Iceland concerning special provisions applicable to imports into the European Union of 
certain fish and fisheries products 2009-2014 and an Additional Protocol to the 
Agreement between the European Economic Community and Norway concerning 
special provisions applicable to imports into the European Union of certain fish and 
fisheries products 2009-2014 

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EXPLANATORY MEMORANDUM 

Since the entry into force of the Agreement on the European Economic Area (EEA) in 1994, 
the  EEA  EFTA  States  (now  Iceland,  Liechtenstein  and  Norway)  have  contributed  to 
alleviating economic and social disparities in the EEA. These contributions have always been 
agreed for periods of five years. 

The most recent five-year-period of financial contributions, covering 2004-2009, expired on 
30  April  2009.  During  that  period,  the  overall  financial  contribution  from  the  EEA  EFTA 
States  was  EUR  1.467  billion,  allocated  partly  through  a  multilateral  EEA  financial 
mechanism  to  the  EEA  Agreement,  financed  by  all  three  EEA  EFTA  States,  and  partly 
through a bilateral Norwegian financial mechanism, financed exclusively by Norway. 

The  2004-2009  financial  contributions  were  negotiated  in  the  context  of  the  2004  and  2007 
EEA  Enlargement  Agreements.  In  that  context,  two  bilateral  agreements/protocols  with 
Iceland  and  Norway  granting  certain  concessions  with  regard  to  market  access  for  fish  and 
fisheries products were also negotiated for the same 2004-2009 period, with a revision clause, 
stipulating a deadline coinciding with the expiry of the 2004-2009 financial mechanisms.  

Formal negotiations with Iceland, Liechtenstein and Norway on their financial contributions 
for the period 2009-2014 were opened on 26 September 2008.  

In  parallel  to  those  negotiations,  but  independently  of  them,  consultations  and  subsequently 
negotiations  were  also  launched  on  the  basis  of  the  revision  clause  of  the  two  bilateral  fish 
protocols with Iceland and Norway. 

The  negotiations  were  concluded  at  negotiators’  level  with  the  initialling  of  a  set  of  agreed 
minutes on 18 December 2009. 

The results of the various negotiations are: 

•  An  agreement  between  the  EU,  Iceland,  Liechtenstein  and  Norway  on  an  EEA  Financial 

Mechanism for the period 2009-2014 

•  An agreement between the EU and Norway on a Norwegian Financial Mechanism for the 

period 2009-2014 

•  An additional protocol concerning certain fisheries concessions for Iceland for the period 

2009-2014 

•  An additional protocol concerning certain fisheries concessions for Norway for the period 

2009-2014 

As far as the EEA and Norwegian financial mechanisms are concerned, the result is an overall 
package of EUR 1.8 billion for the period 2009-2014, composed of a 31 percent increase in 
the  EEA  financial  mechanism  and  a  22  percent  increase  in  the  Norwegian  financial 
mechanism,  compared  to  the  period  2004-2009.  This  outcome  reflects  the  negotiating 
directives agreed by the Council, which requested a “substantial increase” in the funds. Due to 
its financial crisis, it was agreed that Iceland’s contribution to the EEA financial mechanism 
should not be increased in absolute terms.  

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As an element of the final package, the Commission had agreed to make, on the occasion of 
the  signature  of  the  agreement  on  the  new  EEA  financial  mechanism,  the  following 
declaration: “The new Protocol 38b has been established as a contribution by the EEA EFTA 
States  to  the  reduction  of  economic  and  social  disparities  in  the  European  Economic  Area, 
and  is  without  prejudice  to  other  negotiations,  including  future  EU  cohesion  negotiations”. 
The background to this declaration is that while the point of departure for the distribution of 
the funds in the EEA financial mechanism was the so-called “cohesion key”, and in order to 
find  a  viable  compromise,  certain  transitional  adjustments  had  to  be  made,  resulting  in  the 
final distribution of the EEA funds. 

Furthermore, implementation provisions have been agreed. The key element is that the funds 
will  be  spent  by  using  the  same  “programme”  method  as  used  in  the  EU  structural  funds. 
Among  the  priority  areas  for  the  funding  are  fighting  climate  change  and  protecting  the 
environment,  promoting  green  technologies  and  supporting  social  development  and  civil 
society. 

The  result  of  the  negotiations  on  the  two  bilateral  fisheries  protocols  between  the  EU  and 
Iceland and Norway, respectively, for the period 2009-2014 was essentially a renewal of the 
previous 2004-2009 protocols with unchanged concessions for Iceland and a relatively modest 
increase in concessions for Norway, on the basis of which Norway will renew the fish transit 
arrangement, which had also expired on 30 April 2009. 

As  the  negotiations  suffered  unfortunate  delays  and  were  not  concluded  until  18  December 
2009,  it  was  necessary  for  the  smooth  functioning  of  the  EEA  to  ensure  that  the  above 
agreements could enter into force on a provisional basis, pending their final conclusion.  

As  is  common  practice  when  modifying  specific  elements  of  existing  international 
agreements,  the  relevant  articles  of  the  TFEU  are  used  as  the  legal  basis  for  the  draft 
decisions,  namely  Article  175,  third  paragraph  for  the  agreements  on  the  financial 
contributions  to  economic  and  social  cohesion  and  article  207  for  the  amended  fisheries 
protocols.  

It  is  proposed  that  the  Council  adopt  the  attached  proposal  for  a  Council  Decision  on  the 
conclusion  of  an  Agreement  between  the  European  Union,  Iceland,  the  Principality  of 
Liechtenstein and the Kingdom of Norway on an EEA Financial Mechanism 2009-2014, an 
Agreement  between  the  European  Union  and  the  Kingdom  of  Norway  on  a  Norwegian 
Financial  Mechanism  2009-2014,  an  Additional  Protocol  to  the  Agreement  between  the 
European  Union  and  Iceland  concerning  special  provisions  applicable  to  imports  into  the 
European Union of certain fish and fisheries products 2009-2014 and an Additional Protocol 
to  the  Agreement  between  the  European  Union  and  Norway  concerning  special  provisions 
applicable  to  imports  into  the  European  Union  of  certain  fish  and  fisheries  products  2009-
2014. 

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2010/0129 (NLE) 

Proposal for a 

COUNCIL DECISION 

of […] 

on the conclusion of an Agreement between the European Union, Iceland, Liechtenstein 
and Norway on an EEA Financial Mechanism 2009-2014, an Agreement between the 
European Union and Norway on a Norwegian Financial Mechanism 2009-2014, an 
Additional Protocol to the Agreement between the European Economic Community and 
Iceland concerning special provisions applicable to imports into the European Union of 
certain fish and fisheries products 2009-2014 and an Additional Protocol to the 
Agreement between the European Economic Community and Norway concerning 
special provisions applicable to imports into the European Union of certain fish and 
fisheries products 2009-2014 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Articles 175, third paragraph, and 207, in conjunction with Article 218(6)(a) thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the consent of the European Parliament2, 

Whereas: 

(1) 

The  following  agreements  were  signed,  on  behalf  of  the  European  Union,  on  [….. 
2010] subject to their possible conclusion at a later date, in accordance with Decision 
…/…./EU of the Council of […….2010]3: 

– 

– 

– 

Agreement  between  the  European  Union,  Iceland,  the  Principality  of 
Liechtenstein  and  the  Kingdom  of  Norway  on  an  EEA  Financial  Mechanism 
2009-2014; 

Agreement  between  the  European  Union  and  the  Kingdom  of  Norway  on  a 
Norwegian Financial Mechanism 2009-2014;  

Additional  Protocol  to  the  Agreement  between  the  European  Economic 
Community and the Republic of Iceland; 

1 
2 
3 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ L […], […], p. […]. 

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– 

Additional  Protocol  to  the  Agreement  between  the  European  Economic 
Community and the Kingdom of Norway. 

(2) 

The agreements should be approved, 

HAS ADOPTED THIS DECISION:  

1. The following agreements are hereby approved on behalf of the European Union: 

Article 1 

– 

– 

– 

– 

Agreement  between  the  European  Union,  Iceland,  the  Principality  of 
Liechtenstein  and  the  Kingdom  of  Norway  on  an  EEA  Financial  Mechanism 
2009-2014; 

Agreement  between  the  European  Union  and  the  Kingdom  of  Norway  on  a 
Norwegian Financial Mechanism 2009-2014; 

Additional  Protocol  to  the  Agreement  between  the  European  Economic 
Community and the Republic of Iceland; 

Additional  Protocol  to  the  Agreement  between  the  European  Economic 
Community and the Kingdom of Norway. 

2. The texts of the agreements are attached to this decision. 

Article 2 

The  President  of  the  Council  is  hereby  authorised  to  designate  the  person  empowered  to 
deposit  on  behalf  of  the  European  Union  the  act  of  approval  provided  for  in  each  of  the 
agreements, in order to express the consent of the Union to be bound. 

Done at Brussels, […2010] 

For the Council 
The President 

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ANNEXES 

AGREEMENT BETWEEN THE EUROPEAN UNION, ICELAND, THE PRINCIPALITY 
OF LIECHTENSTEIN AND THE KINGDOM OF NORWAY ON AN EEA FINANCIAL 
MECHANISM 2009-2014 

THE EUROPEAN UNION, 

ICELAND,  

THE PRINCIPALITY OF LIECHTENSTEIN, 

THE KINGDOM OF NORWAY, 

whereas the Parties to the Agreement on the European Economic Area (hereinafter referred to 
as  'EEA  Agreement')  agreed  on  the  need  to  reduce  the  economic  and  social  disparities 
between their regions with a view to promoting a continuous and balanced strengthening of 
trade and economic relations between them;  

whereas, in order to contribute to that objective, the EFTA States have established a Financial 
Mechanism in the context of the European Economic Area; 

whereas  the  provisions  governing  the  EEA  Financial  Mechanism  for  the  period  2004-2009 
have been set out in Protocol 38a and the Addendum to Protocol 38a to the EEA Agreement;  

whereas the need to alleviate economic and social disparities within the European Economic 
Area  persists,  and  therefore  a  new  Mechanism  for  the  financial  contributions  of  the  EEA 
EFTA States should be established for the period 2009-2014, 

Have decided to conclude the following Agreement: 

Article 1 

The text of Article 117 of the EEA Agreement shall be replaced by the following: 

'Provisions governing the Financial Mechanisms are set out in Protocol 38, Protocol 38a and 
the Addendum to Protocol 38a, and Protocol 38b.'  

Article 2 

A new Protocol 38b shall be inserted after Protocol 38a to the EEA Agreement. The text of 
Protocol 38b is provided for in the Annex to this Agreement.  

Article 3 

This  Agreement  shall  be  ratified  or  approved  by  the  Parties  in  accordance  with  their  own 
procedures.  The  instruments  of  ratification  or  approval  shall  be  deposited  with  the  General 
Secretariat of the Council of the European Union.  

It  shall  enter  into  force  on  the  first  day  of  the  second  month  after  the  last  instrument  of 
ratification or approval has been deposited.  

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Article 4 

This  Agreement,  drawn  up  in  a  single  original  in  the  Bulgarian,  Czech,  Danish,  Dutch, 
English, Estonian, Finnish, French, German, Greek, Italian, Latvian, Lithuanian, Hungarian, 
Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish, Swedish, Icelandic and 
Norwegian  languages,  the  text  in  each  of  these  languages  being  equally  authentic,  shall  be 
deposited with the General Secretariat of the Council of the European Union, which will remit 
a certified copy to each of the Parties to this Agreement.  

Done at Brussels [...]   

For the European Union 

For Iceland 

For the Principality of Liechtenstein  

For the Kingdom of Norway 

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ANNEX 

PROTOCOL 38 B 

on the EEA Financial Mechanism (2009-2014) 

Article 1 

Iceland,  Liechtenstein  and  Norway  (hereinafter  referred  to  as  the  EFTA  States)  shall 
contribute to the reduction of economic and social disparities in the European Economic Area 
and  to  the  strengthening  of  their  relations  with  the  Beneficiary  States,  through  financial 
contributions in the priority sectors listed in Article 3. 

Article 2 

The total amount of the financial contribution provided for in Article 1 shall be EUR 988.5 
million, to be made available for commitment in annual tranches of EUR 197.7 million over 
the period running from 1 May 2009 to 30 April 2014, inclusive. 

1. 

The financial contributions shall be available in the following priority sectors: 

Article 3 

(a)  Environmental protection and management; 

(b)  Climate change and renewable energy; 

(c)  Civil society; 

(d)  Human and social development; 

(e)  Protecting cultural heritage. 

2. 

3. 

Academic  research  may  be  eligible  for  funding  in  so  far  as  it  is  targeted  at  one  or 
more of the priority sectors. 

The indicative allocation target for each Beneficiary State is at least 30  percent  for 
priority  sectors  (a)  and  (b)  combined,  and  10  percent  for  priority  sector  (c).  The 
priority  sectors  shall,  in  accordance  with  the  procedure  referred  to  in  Article  8 
paragraph 2, be chosen, concentrated and adapted in a flexible manner, according to 
the  different  needs  in  each  Beneficiary  State,  taking  into  account  its  size  and  the 
amount of the contribution.  

1. 

The  EFTA  contribution  shall  not  exceed  85  percent  of  programme  cost.  It  may  in 
special cases be up to 100 percent of programme cost.  

Article 4 

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2. 

3. 

4. 

The applicable rules on state aid shall be complied with. 

The European Commission shall screen all programmes and any substantial change 
for their compatibility with the European Union’s objectives.  

The responsibility of the EFTA States for the projects is limited to providing funds 
according to the agreed plan. No liability to third parties will be assumed. 

Article 5 

The  funds  shall  be  made  available  to  the  following  Beneficiary  States:  Bulgaria,  Czech 
Republic,  Estonia,  Greece,  Spain,  Cyprus,  Latvia,  Lithuania,  Hungary,  Malta,  Poland, 
Portugal, Romania, Slovenia and Slovakia. 

EUR  45.85  million  shall  be  allocated  to  Spain  for  transitional  support  1  May  2009  –  31 
December 2013. While taking into account transitional adjustments, the remaining funds shall 
be made available in accordance with the following distribution: 

Funds (million EUR) 

Bulgaria 

Czech Republic 

Estonia 

Greece 

Cyprus 

Latvia 

Lithuania 

Hungary 

Malta 

Poland 

Portugal 

Romania 

Slovenia 

Slovakia 

78.60 

61.40 

23.00 

63.40 

3.85 

34.55 

38.40 

70.10 

2.90 

266.90 

57.95 

190.75 

12.50 

38.35 

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Article 6 

With a view to reallocating any non-committed available funds for high priority projects from 
any Beneficiary State, a review shall be carried out in November 2011 and again in November 
2013. 

Article 7 

1. 

2. 

3. 

The financial contribution provided for in this Protocol shall be closely coordinated 
with the bilateral contribution from Norway provided for by the Norwegian Financial 
Mechanism. 

In  particular,  the  EFTA  States  shall  ensure  that  the  application  procedures  and 
implementation  modalities  are  essentially  the  same  for  both  financial  mechanisms 
referred to in the previous paragraph. 

Any relevant changes in the European Union’s cohesion policies shall be taken into 
account, as appropriate. 

The following shall apply to the implementation of the EEA Financial Mechanism: 

Article 8 

1. 

2. 

3. 

The  highest  degree  of  transparency,  accountability  and  cost  efficiency  shall  be 
applied  in  all  implementation  phases,  as  well  as  principles  of  good  governance, 
sustainable  development  and  gender  equality.  The  objectives  of  the  EEA  Financial 
Mechanism  shall  be  pursued  in  the  framework  of  close  co-operation  between  the 
Beneficiary States and the EFTA States. 

In  order  to  ensure  efficient  and  targeted  implementation,  and  taking  into  account 
national  priorities,  the  EFTA  States  shall  conclude  with  each  Beneficiary  State  a 
Memorandum  of  Understanding  that  shall  set  out  the  multi-annual  programming 
framework and the structures for management and control.  

After  having  concluded  the  Memorandum  of  Understanding,  the  Beneficiary  State 
shall submit programme proposals. The EFTA  States will appraise and approve the 
proposals  and  conclude  grant  agreements  with  the  Beneficiary  States  for  each 
programme. The level of detail in the programme shall take into account the size of 
the contribution. Within programmes, projects may in exceptional cases be specified, 
including conditions for their selection, approval and control, in accordance with the 
provisions for implementation referred to in paragraph 8.  

The  implementation  of  the  agreed  programmes  shall  be  the  responsibility  of  the 
Beneficiary  States.  The  Beneficiary  States  shall  provide  for  an  appropriate 
management  and  control  system  in  order  to  ensure  a  sound  implementation  and 
management system.  

4. 

Partnerships shall, where appropriate, be applied in the preparation, implementation, 
monitoring  and  evaluation  of  the  financial  contribution  in  order  to  ensure  broad 
participation. Partners may include, inter alia, local, regional and national levels, as 

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5. 

6. 

7. 

8. 

well as the private sector, civil society and social partners in the Beneficiary States 
and the EFTA States. 

The control system provided for the management of the EEA Financial Mechanism shall 
ensure  the  respect  of  the  principle  of  sound  financial  management.  The  EFTA  States 
may carry out controls according to their internal requirements. The Beneficiary States 
shall provide all necessary assistance, information and documentation to this effect. 
The EFTA States may suspend financing and require recovery of funds in the case of 
irregularities.  

Any  project  under  the  multi-annual  programming  framework  in  the  Beneficiary 
States may be implemented in cooperation between entities based in the Beneficiary 
States  and  in  the  EFTA  States,  in  accordance  with  the  applicable  rules  on  public 
procurement. 

The  management  costs  of  the  EFTA  States  shall  be  covered  by  the  overall  amount 
referred to in Article 2 and will be specified in the provisions for the implementation 
referred to in paragraph 8. 

The EFTA States shall establish a Committee for the overall management of the EEA 
Financial  Mechanism.  Further  provisions  for  the  implementation  of  the  EEA 
Financial Mechanism will be issued by the EFTA States after consultation with the 
Beneficiary States. The EFTA States shall endeavour to issue these provisions before 
the signing of the Memoranda of Understanding. 

Article 9 

At the end of the five-year period and without prejudice to the rights and obligations under the 
Agreement, the Contracting Parties will in the light of Article 115 of the Agreement review the 
need to address economic and social disparities within the European Economic Area. 

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AGREEMENT 

between the Kingdom of Norway and the European Union on a Norwegian 
Financial Mechanism for the period 2009 – 2014 

Article 1 

The Kingdom of Norway undertakes to contribute for a five year period to the reduction of 
economic and social disparities in the European Economic Area, and to the strengthening of 
its relations with the Beneficiary States, through a separate Norwegian Financial Mechanism 
in the priority sectors listed in Article 3.  

Article 2 

The  total  amount  of  the  financial  contribution  provided  for  in  Article  1  shall  be  EUR  800 
million, to be made available for commitment in annual tranches of EUR 160 million over the 
period running from 1 May 2009 to 30 April 2014, inclusive.  

The financial contributions shall be available in the following priority sectors:  

Article 3 

(a) 

Carbon Capture and Storage; 

(b) 

Green Industry Innovation;  

(c) 

Research and Scholarship;  

(d) 

Human and Social Development; 

(e) 

Justice and Home Affairs; 

(f) 

Promotion of Decent Work and Tripartite Dialogue. 

The allocation target for priority sector (a) shall be at least 20 percent. Due account will be 
taken of the different needs and the size of each Beneficiary State.  

One  percent  of  the  allocation  to  each  Beneficiary  State  shall  be  set  aside  for  a  fund  for  the 
Promotion of Decent Work and Tripartite Dialogue, to be operated by an entity designated by 
the Kingdom of Norway, and in accordance with the distribution key referred to in Article 5.  

Article 4 

The  contribution  from  the  Kingdom  of  Norway  shall  not  exceed  85  percent  of  programme 
cost. It may in special cases be up to 100 percent of programme cost. 

The applicable rules on state aid shall be complied with.  

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The  European  Commission  shall  screen  all  programmes  and  any  substantial  change  in  a 
programme for their compatibility with the European Union’s objectives.  

The  responsibility  of  the  Kingdom  of  Norway  for  the  projects  is  limited  to  providing  funds 
according to the agreed plan. No liability to third parties will be assumed.  

Article 5 

The  funds  shall  be  made  available  to  the  Beneficiary  States,  Bulgaria,  Czech  Republic, 
Estonia, Cyprus, Latvia, Lithuania, Hungary, Malta, Poland, Romania, Slovenia and Slovakia, 
in accordance with the following distribution: 

Beneficiary State 

Funds (million EUR) 

Bulgaria 

Cyprus 

Czech Republic  

Estonia  

Latvia  

Lithuania  

Hungary  

Malta  

Poland  

Romania 

Slovenia  

Slovakia  

48.00 

4.00 

70.40 

25.60 

38.40 

45.60 

83.20 

1.60 

311.20 

115.20 

14.40 

42.40 

Article 6 

With a view to reallocate any non-committed available funds for high priority projects from 
any Beneficiary State, a review shall be carried out in November 2011 and again in November 
2013.  

The  financial  contribution  provided  for  in  Article  1  shall  be  closely  co-ordinated  with  the 
contribution from the EFTA States provided for by the EEA Financial Mechanism.  

Article 7 

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In  particular,  the  Kingdom  of  Norway  shall  ensure  that  the  application  procedures  and 
implementation modalities are essentially the same for both financial mechanisms referred to 
in the previous paragraph. 

Any relevant changes in the European Union’s cohesion policies shall be taken into account, 
as appropriate.  

The following shall apply to the implementation of the Norwegian Financial Mechanism: 

Article 8 

1. 

2. 

3. 

4. 

5. 

The  highest  degree  of  transparency,  accountability  and  cost  efficiency  shall  be 
applied  in  all  implementation  phases,  as  well  as  objectives  and  principles  of  good 
governance,  sustainable  development  and  gender  equality.  The  objectives  of  the 
Norwegian  Financial  Mechanism  shall  be  pursued  in  the  framework  of  close  co-
operation between the Beneficiary States and the Kingdom of Norway. 

In  order  to  ensure  efficient  and  targeted  implementation,  and  taking  into  account 
national  priorities,  the  Kingdom  of  Norway  shall  conclude  with  each  Beneficiary 
State  a  Memorandum  of  Understanding  that  shall  set  out  the  multi-annual 
programming framework and the structures for management and control. 

After  having  concluded  the  Memorandum  of  Understanding,  the  Beneficiary  States 
shall  submit  programme  proposals.  The  Kingdom  of  Norway  will  appraise  and 
approve the proposals and conclude grant agreements with the Beneficiary States for 
each  programme.  The  level  of detail  in  the programme  shall  take  into  account  the 
size  of  the  contribution.  Within  programmes,  projects  may  in  exceptional  cases  be 
specified,  including  conditions  for  their  selection,  approval  and  control,  in 
accordance with the provisions for implementation referred to in paragraph 8.  

The  implementation  of  the  agreed  programmes  shall  be  the  responsibility  of  the 
Beneficiary  States.  The  Beneficiary  States  shall  provide  for  an  appropriate 
management  and  control  system  in  order  to  ensure  a  sound  implementation  and 
management system. The Beneficiary State and the Kingdom of Norway may agree, 
in  specific  circumstances,  that  programmes  be  operated  by  any  entity  appointed  by 
them. 

Partnerships shall, where appropriate, be applied in the preparation, implementation, 
monitoring  and  evaluation  of  the  financial  contributions  in  order  to  ensure  broad 
participation. Partners may include, inter alia, local, regional and national levels, as 
well as the private sector, civil society and social partners in the Beneficiary States 
and the Kingdom of Norway. 

The  control  system  provided  for  the  management  of  the  Norwegian  Financial 
Mechanism shall ensure the respect of the principle of sound financial management. 
The Kingdom of Norway may carry out controls according to internal requirements. 
The  Beneficiary  States  shall  provide  all  necessary  assistance,  information  and 
documentation  to  this  effect.  The  Kingdom  of  Norway  may  suspend  financing  and 
require recovery of funds in the case of irregularities. 

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6. 

7. 

8. 

Any  project  under  the  multi-annual  programming  framework  in  the  Beneficiary 
States may be implemented in cooperation between entities based in the Beneficiary 
States and in the Kingdom of Norway and in accordance with the applicable rules on 
public procurement. 

The  management  costs  of  the  Kingdom  of  Norway  shall  be  covered  by  the  overall 
amount  referred  to  in  Article  2  and  will  be  specified  in  the  provisions  for  the 
implementation referred to in paragraph 8. 

The  Kingdom  of  Norway,  or  an  entity  appointed  by  it,  shall  be  responsible  for  the 
overall management of the Norwegian Financial Mechanism. Further provisions for 
the  implementation  of  the  Norwegian  Financial  Mechanism  will  be  issued  by  the 
Kingdom of Norway after consultation with the Beneficiary States. The Kingdom of 
Norway  shall  endeavour  to  issue  these  provisions  before  the  signing  of  the 
Memoranda of Understanding.  

Article 9 

This  Agreement  shall  be  ratified  or  approved  by  the  Parties  in  accordance  with  their  own 
procedures.  The  instruments  of  ratification  or  approval  shall  be  deposited  with  the  General 
Secretariat of the Council of the European Union.  

It  shall  enter  into  force  on  the  first  day  of  the  second  month  after  the  last  instrument  of 
ratification or approval has been deposited.  

Article 10 

This  Agreement,  drawn  up  in  a  single  original  in  the  Bulgarian,  Czech,  Danish,  Dutch, 
English, Estonian, Finnish, French, German, Greek, Italian, Latvian, Lithuanian, Hungarian, 
Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish, Swedish and Norwegian 
languages, the text in each of these languages being equally authentic, shall be deposited with 
the  General  Secretariat  of  the  Council  of  the  European  Union,  which  will  remit  a  certified 
copy to each of the Parties to this Agreement.  

Done at Brussels [...]   

For the European Union 

For the Kingdom of Norway   

EN 

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   EN 

 
 
 
 
 
 
ADDITIONAL PROTOCOL TO THE AGREEMENT BETWEEN THE EUROPEAN 

ECONOMIC COMMUNITY AND THE REPUBLIC OF ICELAND  

THE EUROPEAN UNION 

and 

ICELAND 

HAVING REGARD to the Agreement between the European Economic Community and the 
Republic of Iceland signed on 22 July 1972, and to the existing arrangements for trade in fish 
and fishery products between Iceland and the Community; 

HAVING  REGARD  to  the  Additional  Protocol  to  the  Agreement  between  the  European 
Economic Community and the Republic of Iceland consequent on the accession of the Czech 
Republic,  the  Republic  of  Estonia,  the  Republic  of  Cyprus,  the  Republic  of  Hungary,  the 
Republic of Latvia, the Republic of Lithuania, the Republic of Malta, the Republic of Poland, 
the  Republic  of  Slovenia  and  the  Slovak  Republic to  the  European  Union,  and  in  particular 
article 2 thereof; 

HAVING  REGARD  to  the  Additional  Protocol  to  the  Agreement  between  the  European 
Economic Community and Iceland consequent on the accession of the Republic of Bulgaria 
and Romania to the European Union, and in particular article 2 thereof; 

HAVE DECIDED TO CONCLUDE THIS PROTOCOL 

Article 1 

The  special  provisions  applicable  to  imports  into  the  European  Union  of  certain  fish  and 
fishery products originating in Iceland are laid down in this Protocol and the Annex thereto.  

The annual duty free tariff quotas are provided for in the Annex to this Protocol. These tariff 
quotas shall  cover  the  period from 1 May  2009 to 30  April 2014.  The  quota levels shall  be 
reviewed by the end of that period taking into account all relevant interests.  

Article 2 

The  volumes  of  the  duty  free  tariff  quotas  for  the  first  12  month  period  1  May  2009  to  30 
April 2010 will be allocated to the period 1 May 2010 to 30 April 2011.  

Should  the  volumes  of  the  tariff  quotas  for  the  tariff  quota  period  from  1  May  2010  to  30 
April 2011 not  be fully exhausted, the remaining volumes shall be carried  over  to  the tariff 
quota  period  from  1  May  2011  to  30  April  2012.  For  this  purpose  drawings  on  the  tariff 
quotas applicable from 1 May 2010 to 30 April 2011 shall be stopped on the second working 
day  in  the  Commission  following  1 September  2011.  On  the  following  working  day,  the 
unused balances of these tariff quotas shall be made available under the corresponding tariff 
quota applicable from 1 May 2011 to 30 April 2012. From that date onwards no retroactive 

EN 

16 

   EN 

 
 
 
 
 
drawings and no returns shall be possible on the particular tariff quotas applicable from 1 May 
2010 to 30 April 2011. 

Article 3 

This Protocol shall be ratified or approved by the Contracting Parties in accordance with their 
own  procedures.  The  instruments  of  ratification  or  approval  shall  be  deposited  with  the 
General Secretariat of the Council of the European Union. 

It  shall  enter  into  force  on  the  first  day  of  the  second  month  after  the  last  instrument  of 
ratification or approval has been deposited.  

Pending its entry into force, this Protocol shall be applied on a provisional basis, following an 
exchange  of  letters  between  the  Contracting  Parties  to  this  effect,  from  the  first  day  of  the 
third month following the date on which the exchange of letters has been completed. 

Article 4 

This Protocol, drawn up in a single original in the Bulgarian, Czech, Danish, Dutch, English, 
Estonian, Finnish, French, German, Greek, Italian, Latvian, Lithuanian, Hungarian, Maltese, 
Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish, Swedish and Icelandic languages, 
the  text  in  each  of  these  languages  being  equally  authentic,  shall  be  deposited  with  the 
General Secretariat of the Council of the European Union, which will remit a certified copy to 
each of the the Parties to this Agreement.  

Done at Brussels [...]   

For the European Union 

For Iceland 

EN 

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   EN 

 
 
 
 
 
 
ANNEX 

SPECIAL PROVISIONS REFERRED TO IN ARTICLE 1 OF THE PROTOCOL  

The Union shall open the following annual duty free tariff quotas for products originating in 
Iceland, in addition to existing tariff quotas:  

CN code 

Description of products 

tariff 
(1.5-30.4) 
Annual 
quota volume in net weight, 
unless otherwise specified 

ex 0303 51 00 

0306 19 30  

0304 19 35 

Herrings  of 
harengus 
Clupea 
Clupea 
pallasii, 
excluding livers and roes, 4 

the  species 
and 
frozen, 

950 tonnes 

Frozen  Norway 
(Nephrops norvegicus) 

lobsters 

520 tonnes 

Fillets  of  redfish  (Sebastes 
spp.), fresh or chilled 

750 tonnes 

4 

The  benefit  of  the  tariff  quota  shall  not  be  granted  to  goods  declared  for  release  for  free  circulation 
during the period 15 February to 15 June.  

EN 

18 

   EN 

 
 
 
                                                 
ADDITIONAL PROTOCOL TO THE AGREEMENT BETWEEN THE EUROPEAN 

ECONOMIC COMMUNITY AND THE KINGDOM OF NORWAY  

THE EUROPEAN UNION 

and 

THE KINGDOM OF NORWAY 

HAVING REGARD to the Agreement between the European Economic Community and the 
Kingdom of Norway signed on 14 May 1973 and to the existing arrangements for trade in fish 
and fishery products between Norway and the European Union; 

HAVING  REGARD  to  the  Additional  Protocol  to  the  Agreement  between  the  European 
Economic Community and the Kingdom of Norway consequent on the accession of the Czech 
Republic,  the  Republic  of  Estonia,  the  Republic  of  Cyprus,  the  Republic  of  Hungary,  the 
Republic of Latvia, the Republic of Lithuania, the Republic of Malta, the Republic of Poland, 
the  Republic  of  Slovenia  and  the  Slovak  Republic to  the  European  Union,  and  in  particular 
Article 2 thereof;  

HAVING  REGARD  to  the  Additional  Protocol  to  the  Agreement  between  the  European 
Economic  Community  and  the  Kingdom  of  Norway  consequent  on  the  accession  of  the 
Republic of Bulgaria and Romania to the European Union, and in particular Article 2 thereof;

HAVE DECIDED TO CONCLUDE THIS PROTOCOL: 

Article 1 

The  special  provisions  applicable  to  imports  into  the  European  Union  of  certain  fish  and 
fishery products originating in Norway are laid down in this Protocol and the Annex thereto.  

The annual duty free tariff quotas are provided for in the Annex to this Protocol. These tariff 
quotas shall  cover  the  period from 1 May  2009 to 30  April 2014.  The  quota levels shall  be 
reviewed by the end of that period taking into account all relevant interests. 

Article 2 

The tariff quota levels that should have been opened for Norway as from 1 May 2009 until the 
implementation of this Protocol shall be divided in equal parts and allocated on a yearly basis 
for the remaining part of the period of application of this Protocol.  

Article 3 

Norway shall take the necessary steps to ensure the continuation of the Regulation laid down 
by Royal Decree of 21 April 2006 allowing for free transit of fish and fishery products landed 
in  Norway  from  vessels  flying  the  flag  of  a  Member  State  of  the  European  Union.  This 

EN 

19 

   EN 

 
 
 
 
regulation shall apply for the period referred to in Article 1 once the annual tariff quotas have 
been implemented. 

Article 4 

The rules of origin applicable for the tariff quotas listed in the Annex to this Protocol shall be 
those set out in Protocol 3 to the Agreement between the European Economic Community and 
the Kingdom of Norway signed on 14 May 1973. 

Article 5 

This  Protocol  shall  be  ratified  or  approved  by  the  Parties  in  accordance  with  their  own 
procedures.  The  instruments  of  ratification  or  approval  shall  be  deposited  with  the  General 
Secretariat of the Council of the European Union. 

It  shall  enter  into  force  on  the  first  day  of  the  second  month  after  the  last  instrument  of 
ratification or approval has been deposited.  

Pending its entry into force, this Protocol shall be applied on a provisional basis, following an 
exchange  of  letters  between  the  Parties  to  this  effect,  from  the  first  day  of  the  third  month 
following the date on which the exchange of letters has been completed. 

Article 6 

This Protocol, drawn up in a single original in the Bulgarian, Czech, Danish, Dutch, English, 
Estonian, Finnish, French, German, Greek, Italian, Latvian, Lithuanian, Hungarian, Maltese, 
Polish,  Portuguese,  Romanian,  Slovak,  Slovenian,  Spanish,  Swedish  and  Norwegian 
languages, the text in each of these languages being equally authentic, shall be deposited with 
the  General  Secretariat  of  the  Council  of  the  European  Union,  which  will  remit  a  certified 
copy to each of the Parties.  

Done at Brussels [...]   

For the European Union 

For the Kingdom of Norway   

EN 

20 

   EN 

 
 
 
 
 
 
 
Annex 

SPECIAL PROVISIONS REFERRED TO IN ARTICLE 1 OF THE PROTOCOL  

In addition to the existing duty free tariff quotas, the European Union shall open the following 
annual duty free tariff quotas for products originating in Norway:  

CN code  

Description of products   Annual  (1.5-30.4)  tariff 
in  net 
quota  volume 
weight  unless  otherwise 
specified 

0303 29 00 

Frozen salmonidae 

2 000 tonnes 

0303 51 00  

0303 74 30  

45 800 tonnes  

39 800 tonnes  

Herrings  of  the  species 
and 
Clupea  harengus 
Clupea  pallasii,  frozen, 
excluding livers and roes5

Mackerel  of  the  species 
Scomber  scombrus  and 
Scomber 
japonicus, 
frozen,  whole,  excluding 
livers and roes6 

0303 79 98  

Other 
frozen, 
fish, 
excluding livers and roes 

2 200 tonnes 

0304 29 75 

ex 

0304 99 23  

ex 

1605 20 10  

ex 

1605 20 91 

ex 

1605 20 99 

species 

Frozen filets of herring of 
Clupea 
the 
and  Clupea 
harengus 
pallasii 

species 

Frozen flaps of herring of 
Clupea 
the 
harengus 
and  Clupea 
pallasii (butterflies)7 

Shrimps 
peeled 
prepared or preserved 

and  prawns, 
frozen, 
and 

67 600 tonnes  

7 000 tonnes 

5 

6 

7 

The  benefit  of  the  tariff  quota  shall  not  be  granted  to  goods  declared  for  release  for  free  circulation 
during the period 15 February to 15 June.  
The  benefit  of  the  tariff  quota  shall  not  be  granted  to  goods  declared  for  release  for  free  circulation 
during the period 15 February to 15 June.  
The benefit of the tariff quota shall not be granted to goods of CN code 0304 99 23 declared for release 
for free circulation during the period 15 February to 15 June. 

EN 

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ex 

1604 12 91 

ex 

1604 12 99  

Herring,  spiced  and/or 
vinegar cured, in brine8 

3  000  tonnes  net  drained 
weight 

8 

This tariff quota shall be increased to 4 000 tonnes net drained weight in the period 1 May 2010 to 30 
April 2011, to 5 000 tonnes net drained weight in the period 1 May 2011 to 30 April 2012, and to 6 000 
tonnes net drained weight in the period 1 May to 30 April in each subsequent 12 month period.  

EN 

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   EN