Article 10.4. Dispute Settlement
The provisions of this Chapter shall not be subject to dispute settlement under Chapter 16 (Dispute Settlement).
Chapter 11. GOOD REGULATORY PRACTICES AND REGULATORY COOPERATION
Section 11.1. GENERAL PROVISIONS
Article 11.1. Objectives and General Principles
1. The objectives of this Chapter are to promote good regulatory practices and regulatory cooperation between the Parties with the aim of enhancing trade and investment between the Parties by:
(a) promoting an effective, transparent and predictable regulatory environment; and
(b) discussing regulatory measures, practices or approaches of interested Parties, including how to enhance their efficient application.
2. Nothing in this Chapter shall affect the right of a Party to regulate in pursuit or furtherance of its public policy objectives.
3. Nothing in this Chapter shall be construed as preventing a Party from adopting, maintaining and applying regulatory measures in accordance with its legal framework, principles and deadlines, in order to achieve its public policy objectives.
4. Nothing in this Chapter shall be construed as obliging a Party to achieve any particular regulatory outcome.
Article 11.2. Definitions
For the purposes of this Chapter, unless otherwise specified:
(a) “regulatory authority” means:
(i) in the case of Iceland, Liechtenstein and Norway, the Government of that Party; and
(ii) in the case of 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; and
(b) “regulatory measures” means legislation as set out in Annex XXV (Additional Provisions Concerning the Scope of “Regulatory Measures”). For Iceland, Liechtenstein and Norway, regulatory measures under this Chapter do not include measures following from obligations under the EEA Agreement.
Article 11.3. Scope
1. Section 11.2 (Good Regulatory Practices) applies to all regulatory measures issued by the regulatory authority of a Party in respect of any matter covered by this Agreement.
2. Sections 11.3 (Regulatory Cooperation) and 11.4 (Institutional Provisions) apply to other measures of general application issued by the regulatory authority of a Party which are relevant to regulatory cooperation activities, such as guidelines, policy documents or recommendations, in addition to the regulatory measures referred to in paragraph 1.
3. Any specific provisions in other Chapters of this Agreement shall prevail over the provisions of this Chapter to the extent necessary for the application of the specific provisions.
Section 11.2. GOOD REGULATORY PRACTICES
Article 11.4. Internal Coordination
Each Party shall endeavour to maintain internal processes or mechanisms to foster good regulatory practices, including those provided for in this Section.
Article 11.5. Regulatory Processes and Mechanisms
Each Party shall ensure that their regulatory authority provides public access to descriptions of the processes and mechanisms under which its regulatory measures are prepared, evaluated and reviewed. Where practicable, this information should be made available online. Those descriptions should refer to relevant guidelines, rules or procedures.
Article 11.6. Public Consultations
1. When preparing significant (73) regulatory measures, the regulatory authority of each Party should, to the extent practicable and in a manner consistent with its legal system for adopting new measures:
(a) publish either the draft regulatory measures or consultation documents providing sufficient details about regulatory measures under preparation to allow any person to assess whether and how the person’s interests might be significantly affected;
(b) offer, on a non-discriminatory basis, reasonable opportunities for any person to provide comments (74); and
(c) consider the comments received.
2. The regulatory authority of each Party should make use of electronic means of communication and seek to maintain online services that are freely and publicly available for the purpose of providing information and receiving comments related to public consultations.
3. The regulatory authority of each Party shall make publicly available any comment received or a summary of the results of the consultations. This obligation does not apply to the extent necessary for the protection of confidential or sensitive information, for withholding personal data or inappropriate content or for other justified grounds such as the risk of harm to the interests of a third party.
Article 11.7. Proportionate Analyses
1. The regulatory authority of each Party shall endeavour to carry out, in accordance with the relevant rules and procedures, a proportionate analysis of significant regulatory measures under preparation.
2. When carrying out a proportionate analysis, the regulatory authority of each Party shall establish and maintain processes and mechanisms under which the following factors should be taken into consideration:
(a) the need for the regulatory measure, including the nature and the significance of the issue that the regulatory measure intends to address; and
(b) any feasible and appropriate regulatory or non-regulatory alternatives, including the option of not regulating, if available, that would achieve the Party’s public policy objectives.
3. The regulatory authority of each Party shall provide public access to the findings of its proportionate analyses consistent with their rules and procedures. Where practicable, this information should be made available online and in a timely manner.
Article 11.8. Retrospective Evaluation
The regulatory authority of each Party should maintain processes or mechanisms for the purpose of carrying out retrospective evaluation of regulatory measures in force where appropriate.
Article 11.9. Exchange of Information on Good Regulatory Practices
The regulatory authorities may exchange information on their good regulatory practices as referred to in this Section, such as practices regarding proportionate analyses or those regarding retrospective evaluations.
Section 11.3. REGULATORY COOPERATION
Article 11.10. Regulatory Cooperation Activities
1. A Party may propose a regulatory cooperation activity to another Party. It shall present that proposal via the contact point designated in accordance with Article 11.11 (Contact Points).
2. The other Party shall review the proposal in due course and shall inform the proposing Party whether it considers the proposed activity suitable for regulatory cooperation.
3. If the Parties concerned decide to engage in a regulatory cooperation activity, the regulatory authority of each Party shall:
(a) inform the regulatory authority of the other Party about the development of new or the revision of existing measures that are relevant for the regulatory cooperation activity;
(b) on request, provide information and discuss measures that are relevant for the regulatory cooperation activity; and
(c) when developing new or revising existing regulatory or other measures, consider, to the extent feasible, any regulatory approach by the other Party on the same or a related matter.
4. The Parties may engage in regulatory cooperation activities on a voluntary basis. A Party may refuse to engage in or withdraw from regulatory cooperation activities. A Party that refuses to engage in or withdraws from regulatory cooperation activities should explain the reasons for its decision to the other Party.
5. Where appropriate, the regulatory authorities may, by mutual consent, entrust the implementation of a regulatory cooperation activity to the relevant bodies in the Parties.
Section 11.4. INSTITUTIONAL PROVISIONS
Article 11.11. Contact Points
Each Party shall, upon the entry into force of this Agreement, designate a contact point for the implementation of this Section and for exchange of information in accordance with Article 11.12 (Exchange of Information on Planned or Existing Regulatory Measures) and notify the other Parties of the contact. The Parties shall promptly notify each other of any change of those contact details.
Article 11.12. Exchange of Information on Planned or Existing Regulatory Measures
1. A Party may submit to another Party a request for information and clarifications regarding planned or existing regulatory measures of the other Party. The Party to whom the request is addressed shall endeavour to respond promptly.
2. The Parties shall not be required to disclose confidential or sensitive information or data.
Article 11.13. Dispute Settlement
The provisions of this Chapter shall not be subject to dispute settlement under Chapter 16 (Dispute Settlement).
Chapter 12. RECOGNITION OF PROFESSIONAL QUALIFICATIONS
Article 12.1. Definitions
1. For the purposes of this Chapter:
(a) “adaptation period” means a period of supervised practice, subject to an assessment and possibly accompanied by further training, of a regulated profession in the host jurisdiction under the responsibility of a qualified member of that profession;
(b) “aptitude test” means a test limited to the professional knowledge of professionals, made by the relevant authorities of the host jurisdiction with the aim of assessing the ability of the professional to pursue a regulated profession in that jurisdiction;
(c) “compensatory measures” means an adaptation period or an aptitude test;
(d) “evidence of formal qualifications” means diplomas, certificates and other evidence issued by an authority in the jurisdiction of one of the Parties and certifying successful completion of professional training obtained mainly in that jurisdiction;
(e) “home jurisdiction” means the jurisdiction of the Party in which the professional qualifications were obtained;
(f) “host jurisdiction” means the jurisdiction of the Party in which a professional wants to access and pursue a regulated profession;
(g) “measure” means any measure by a Party, whether in the form of a law, regulation, rule, procedure, decision, administrative action, requirement, practice or in any other form (75);
(h) “measures of a Party” means measures adopted or maintained by:
(i) central, regional or local governments or authorities; and
(ii) non-governmental bodies in the exercise of powers delegated by central, regional or local governments or authorities;
(i) “profession” means an occupation or trade, or any subdivision of, or distinct specialism within, a profession;
(j) “professional” means a natural person who has obtained their professional qualifications in one of the Parties and seeks to access and pursue a regulated profession in a host jurisdiction;
(k) “professional activity” means an activity which forms part of a regulated profession;
(l) “professional experience” means the lawful and effective practice of the relevant profession;
(m) “professional qualifications” means qualifications attested by evidence of formal qualifications or professional experience;
(n) “regulated profession” means a profession, the practice of which, including the use of a title or designation, is subject to the possession of specific professional qualifications by virtue of a measure of a Party; and
(o) “relevant authority” means an authority or body, designated pursuant to a measure of a Party to recognise qualifications and authorise the practice of a regulated profession in a jurisdiction.
Article 12.2. Objectives and Scope
1. This Chapter establishes a framework to facilitate a transparent and consistent regime for the recognition of professional qualifications by the Parties. This Chapter applies where:
(a) a professional with a professional qualification obtained in the United Kingdom makes an application to a relevant authority in Iceland, Liechtenstein or Norway for permission to access and pursue a regulated profession; or
(b) a professional with a professional qualification obtained in Iceland, Liechtenstein or Norway makes an application to a relevant authority in the United Kingdom for permission to access and pursue a regulated profession.
2. For the avoidance of doubt, this Chapter applies where the profession is regulated both in the home and host jurisdictions, and equally where the profession is only regulated in the host jurisdiction.
Article 12.3. Domestic Regulation
Any specific provisions in this Chapter shall prevail over the provisions of the Sub-Sections 3.5.1 (Domestic Regulation) and 3.5.2 (Provisions of General Application) of Chapter 3 (Services and Investment) to the extent necessary to give effect to the specific provision.
Article 12.4. Recognition of Professional Qualifications
1. Subject to Article 12.5 (Conditions for Recognition), recognition of a professional’s professional qualifications by the host jurisdiction shall permit access to and the pursuit of the regulated profession in that jurisdiction by that professional (76).
2. Upon recognition, the host jurisdiction shall accord treatment no less favourable in respect of access to or pursuit of the regulated profession to that professional than that it accords, in like situations, to natural persons who have obtained their qualifications in the host jurisdiction.
3. Each Party shall adopt, where applicable, and maintain the necessary measures that require relevant authorities to establish or operate a system for recognition which complies with Articles 12.5 (Conditions for Recognition) to 12.11 (Fees).
4. The measures referred to in paragraph 3 shall have effect on each Party upon its notification to the other Parties that its internal requirements to implement them are in place. Each Party shall use its best endeavours to have in effect the measures referred to in paragraph 3 and to have provided such notification within 24 months of the date of entry into force of the Agreement. A Party that is unable to provide such notification within this period shall report to the Sub-Committee on Services and Investment.
Article 12.5. Conditions for Recognition
1. If access to or pursuit of a regulated profession in the host jurisdiction is contingent upon possession of specific professional qualifications, the relevant authority shall recognise the professional qualifications of a professional who applies for recognition in the host jurisdiction and possesses comparable professional qualifications for the same profession in the home jurisdiction (77).
2. A relevant authority may only refuse to recognise professional qualifications for the same profession where Conditions 1, 2, 3 or 4 are met.
3. Condition 1 is met where:
(a) there exists a substantial difference between the professional’s professional qualifications and the essential knowledge or skills required to practise the profession in the host jurisdiction; and
(b) the professional fails, or refuses to take, an aptitude test or an adaptation period under Article 12.6 (Compensatory Measures).
4. Condition 2 is met where:
(a) the regulated profession in the host jurisdiction comprises one or more professional activities that cover substantially different matters from those covered by the professional’s professional qualifications; and
(b) the professional fails, or refuses to take, an aptitude test or an adaptation period under Article 12.6 (Compensatory Measures).
5. Condition 3 is met where requiring the professional to take an aptitude test or to complete an adaptation period under Article 12.6 (Compensatory Measures) would amount to requiring the professional to acquire the professional qualifications required to practise the regulated profession in the host jurisdiction.
6. Condition 4 is met where access to and pursuit of a regulated profession by a natural person whose professional qualifications were obtained in the host jurisdiction is subject to conditions other than the possession of specific professional qualifications and the professional fails to meet those conditions.
Article 12.6. Compensatory Measures
1. A relevant authority may require a professional to take an aptitude test, standardised or otherwise, or to complete an adaptation period where:
(a) there exists a substantial difference between the professional’s professional qualifications and the essential knowledge or skills required to practise the regulated profession in the host jurisdiction; or
(b) the regulated profession in the host jurisdiction comprises one or more professional activities that cover substantially different matters from those covered by the professional’s professional qualifications.
2. The relevant authority may decide between an adaptation period or an aptitude test.
3. Relevant authorities are encouraged to apply compensatory measures in a manner proportionate to the difference they seek to address.
4. To the extent possible and at the professional’s request, relevant authorities shall provide their reasons for requiring that professional to undertake compensatory measures in writing.
5. Each Party shall ensure that, where a relevant authority requires the professional to take an aptitude test, that relevant authority schedules aptitude tests with reasonable frequency and at least once a year, where applicable.
Article 12.7. Procedure for Applications
1. The relevant authority shall:
(a) acknowledge receipt of the professional’s application within one month of receipt and inform the professional of any missing document;
(b) grant the professional adequate time to complete the requirements and procedures of the application process;
(c) deal promptly with the professional’s application; and
(d) issue a decision no later than four months after the date on which the complete application was submitted.
2. The relevant authority may require the professional to provide evidence of professional qualifications. The evidence requested shall be no more than is necessary to demonstrate that the professional holds comparable professional qualifications.
3. Where access to and pursuit of a regulated profession by a natural person whose professional qualifications were obtained in the host jurisdiction is subject to conditions other than the possession of specific professional qualifications, the relevant authority may require the professional to provide evidence that they satisfy those conditions. The evidence that is requested shall be no more than is necessary to demonstrate that the professional satisfies those conditions.
4. A relevant authority shall accept copies of documents that are authenticated in accordance with the Party’s domestic law in place of original documents, unless the relevant authority requires original documents to protect the integrity of the recognition process.
5. The relevant authority (78) of the host jurisdiction and of the home jurisdiction shall work in close collaboration and shall exchange information to facilitate the professional’s application, where applicable.
6. Where applicable, the relevant authority (79) of the host jurisdiction and of the home jurisdiction shall, notwithstanding any duty of confidentiality, exchange information regarding disciplinary action taken or criminal sanctions imposed or any other serious, specific circumstances which are likely to have consequences for the pursuit of the regulated professions by the professional. The Parties acknowledge that this is particularly important for the following professionals:
(a) health professionals exercising activities that have patient safety implications; and
(b) professionals exercising activities relating to the education of minors, including in childcare and early childhood education, where the professional is pursuing a profession regulated in that Party.
7. Any exchange of information between relevant authorities pursuant to this Article shall be subject to the data protection law of each of the Parties. (80)
Article 12.8. Licensing and other Provisions
1. The relevant authority shall make available to professionals information about the professional qualifications required to practise the regulated profession.
2. The relevant authority shall make available to professionals information that explains any other conditions that apply to the practice of the regulated profession including:
(a) where a licence to practise is required, the conditions under which a licence is obtained following the determination of eligibility and what that licence entails;
(b) membership of a professional body;
(c) use of professional or academic titles;
(d) having an office address, maintaining an establishment or being a resident;
(e) language skills;
(f) proof of good character;
(g) professional indemnity insurance;
(h) compliance with the host jurisdiction’s requirements for the use of trade or firm names; and
(i) compliance with the host jurisdiction’s ethics, for example, independence and good conduct.
3. The relevant authority shall make available to professionals information about:
(a) the relevant laws to be applied regarding, for example, disciplinary action, financial responsibility or liability;
(b) the principles of discipline and enforcement of professional standards, including disciplinary jurisdiction and any consequential effects on practising professional activities;
(c) the process and procedures for the ongoing verification of competence; and