EUR-Lex - 22009A0731(01) - EN Important legal notice | 22009A0731(01) Agreement between the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures Official Journal L 199 , 31/07/2009 P. 0024 - 0042 Agreementbetween the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measuresTHE EUROPEAN COMMUNITY,of the one part, andTHE SWISS CONFEDERATION,of the other part,hereinafter referred to as "the Community" and "Switzerland" respectively and, jointly, as "the Contracting Parties",Having regard to the Agreement between the European Economic Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods, of 21 November 1990, hereinafter referred to as "the 1990 Agreement",Whereas the scope of the 1990 Agreement should be extended to customs security by adding a new chapter on this subject,Whereas, in the interests of clarity and greater legal security the 1990 Agreement, is incorporated in this Agreement, which will replace the 1990 Agreement,Considering the Free Trade Agreement of 22 July 1972 between the European Economic Community and the Swiss Confederation,Considering the Joint Declaration adopted in Luxembourg on 9 April 1984 by Ministers of the EFTA countries and the Member States of the Community and the Commission of the European Communities, and the statement adopted in Brussels on 2 February 1988 by Ministers of the EFTA countries and Ministers of the Member States of the Community with the aim of creating a dynamic European economic area of benefit to their countries,Considering that the Contracting Parties have ratified the International Convention on the Harmonization of Frontier Controls of Goods,Bearing in mind the need to maintain the existing level of simplification of inspections and formalities on the passage of goods at frontiers between the Community and Switzerland and so ensure the smooth flow of trade between the two parties,Considering that such simplification should be progressively developed,Considering that veterinary and phyto-sanitary controls are now governed by the Agreement of 21 June 1999 between the European Community and the Swiss Confederation on Trade in Agricultural Products,Acknowledging that the conditions under which inspections and formalities are carried out may be extensively harmonised without impairing their purpose, their proper implementation or their effectiveness,Considering that no provision of this Agreement may be interpreted as exempting the Contracting Parties from their obligations under other international agreements,Considering that the Contracting Parties undertake to guarantee on their respective territories an equivalent level of security through measures based on legislation in force in the Community,Considering that it is desirable that Switzerland be consulted on the development of Community rules concerning customs security measures, that it take part in the relevant work of the Customs Code Committee, established by Article 247a of Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code, and that it be notified of the implementation of such rules,Considering that the Contracting Parties are determined to improve security in the trade in goods entering or exiting their territories without hampering trade flows,Considering that, in the interests of the Contracting Parties, equivalent customs security measures should be introduced in respect of the transport of goods from or to third countries,Considering that these customs security measures concern the declaration of security data relating to goods prior to their entry and exit, the management of security risks and related customs inspections and the allocation of authorised economic operator status for mutually recognised security purposes,Considering that Switzerland has an adequate level of personal data protection,Considering that in the case of customs security measures it is useful to foresee provisions for appropriate rebalancing measures, including suspension of the relevant provisions where the equivalence of customs security measures is no longer assured,HAVE DECIDED TO CONCLUDE THIS AGREEMENT:CHAPTER IGENERAL PROVISIONSArticle 1DefinitionsFor the purposes of this Agreement:(a) "inspections" means any operation whereby the customs authorities or any other inspection authority carries out the physical examination or visual inspection of the means of transport or of the goods themselves in order to ascertain that their nature, origin, condition, quantity and value are in conformity with the particulars contained in the documents produced;(b) "formalities" means any formality to which the authorities subject a trader and which consists in the production or examination of documents, certificates accompanying the goods, or other particulars, irrespective of the method or medium employed, relating to the goods or the means of transport;(c) "risk" means the likelihood of an event occurring in connection with the entry, exit, transit, transfer and end-use of goods moving between the customs territory of one of the Contracting Parties and third countries and the presence of goods not in free circulation in the territory of one of the Contracting Parties, which jeopardises the safety and security of the Community, its Member States or Switzerland, public health, the environment or consumers;(d) "risk management" means the systematic identification of risk and implementation of all measures necessary for limiting exposure to risk. This includes activities such as collecting data and information, analysing and assessing risk, prescribing and taking action and regular monitoring and review of the process and its outcomes, based on sources and strategies defined by the Community, its Member States and Switzerland, or at the international level.Article 2Scope1. Without prejudice to special provisions in force under agreements concluded between the Community and Switzerland, this Agreement shall apply to inspections and formalities concerning the carriage of goods which have to cross a frontier between Switzerland and the Community and to customs security measures applicable to the carriage of goods to or from third countries.2. This Agreement shall not apply to inspections or formalities concerning ships and aircraft as means of transport; however, it shall apply to vehicles and goods carried by the said means of transport.Article 3Territories covered1. This Agreement shall apply, on the one hand, to the Community customs territory and, on the other, to the Swiss customs territory and its customs enclaves.2. This Agreement shall apply in the Principality of Liechtenstein for as long as that Principality is bound to Switzerland by a customs union treaty.CHAPTER IIPROCEDURESArticle 4Random checks and formalities other than the customs security inspections referred to in Chapter III1. Save as otherwise expressly provided in this Agreement, the Contracting Parties shall take the necessary measures to ensure that:- the various inspections and formalities provided for in Article 2(1) are carried out with the minimum delay necessary and, as far as possible, in one place,- inspections are carried out by means of random checks except in duly justified circumstances.2. For the purposes of implementing the second indent of paragraph 1, the basis for carrying out random checks shall be the total number of consignments passing through a frontier post and presented to a customs office or other inspection authority during a given period, and not the total number of goods making up each consignment.3. The Contracting Parties shall facilitate, at the places of departure and destination of goods, the use of simplified procedures and data-processing and data-transmission techniques for the purposes of the export, transit and import of goods.4. The Contracting Parties shall endeavour to deploy customs offices, including those in the interior of their territory, in such a way as best to take account of the requirements of commercial operators.Article 5Delegation of powersThe Contracting Parties shall see to it that, by express delegation by the competent authorities and on their behalf, one of the other services represented, and preferably the customs service, may carry out inspections for which those authorities are responsible and, insofar as such inspections relate to the requirement to produce the necessary documents, checks on the validity and authenticity thereof and on the identity of the goods declared in such documents. In that event, the authorities concerned shall ensure that the means required for carrying out such checks are made available.Article 6Recognition of inspections and documentsFor the purposes of implementing this Agreement and without prejudice to the possibility of carrying out random checks, the Contracting Parties shall, in the event of goods being imported or entering in transit, recognise the inspections carried out and the documents drawn up by the competent authorities of the other Contracting Party which certify that the goods comply with the legal requirements of the country of import or equivalent requirements in the country of export.Article 7Opening hours of frontier posts1. Where the volume of traffic so warrants, the Contracting Parties shall see to it that:(a) frontier posts are open, except when traffic is prohibited, so that:- frontiers can be crossed 24 hours a day with the corresponding inspections and formalities in respect of goods placed under a customs transit procedure, their means of transport and vehicles travelling unladen, save where frontier inspection is necessary in order to prevent the spread of disease or to protect animals,- inspections and formalities relating to the movement of means of transport and goods which are not moving under a customs transit procedure may be performed from Monday to Friday during an uninterrupted period of at least 10 hours and on Saturday during an uninterrupted period of at least six hours, unless those days are public holidays;(b) as regards vehicles and goods transported by air, the periods referred to in the second indent of point (a) shall be adapted in such a way as to meet actual needs and for that purpose shall be split or extended if necessary.2. Where several frontier posts are situated in the immediate vicinity of one and the same frontier zone, the Contracting Parties may jointly agree, for certain of such posts, to derogate from paragraph 1 provided that the other posts in that zone are able to clear goods and vehicles in accordance with that paragraph.3. As regards the frontier posts and customs offices and services referred to in paragraph 1, and under the conditions laid down by the Contracting Parties, the competent authorities shall, if specifically requested during business hours and for sound reasons, provide for inspections and formalities to be carried out, as an exception, outside business hours, on condition that, where relevant, payment is made for services so rendered.Article 8Express lanesThe Contracting Parties shall endeavour to establish at frontier posts, where technically possible and justified by the volume of traffic, express lanes reserved for goods placed under a customs transit procedure, their means of transport, vehicles travelling unladen and all goods subject to such inspections and formalities as do not exceed those required in respect of goods placed under a transit procedure.CHAPTER IIICUSTOMS SECURITY MEASURESArticle 9General provisions concerning security1. The Contracting Parties undertake to set up and apply to the carriage of goods to and from third countries the customs security measures set out in this Chapter and thus to ensure an equivalent level of security at their external borders.2. The Contracting Parties shall refrain from applying the customs security measures set out in this Chapter to the carriage of goods between their customs territories.3. The Contracting Parties shall consult prior to the conclusion any agreement with a third country in the areas covered by this Chapter in order to ensure consistency with this Agreement, particularly if the proposed agreement includes provisions that derogate from the customs security measures set out in this Chapter.Article 10Declarations prior to the entry and exit of goods1. Goods brought into the customs territories of the Contracting Parties from third countries shall be covered by an entry declaration for the purposes of security (hereinafter referred to as the "entry summary declaration") with the exception of goods carried on means of transport only passing through the territorial waters or the airspace of the customs territory without a stop within this territory.2. Goods exiting the customs territories of the Contracting Parties that are destined for third countries shall be covered by an exit declaration for the purposes of security (hereinafter referred to as the "exit summary declaration") with the exception of goods carried on means of transport only passing through the territorial waters or the airspace of the customs territory without a stop within that territory.3. The entry or exit summary declaration shall be lodged before the goods are brought into or leave the customs territory of the Contracting Party.4. The lodging of entry or exit summary declarations as provided for in paragraphs 1 and 2 shall be optional until 31 December 2010 as long as transitional measures providing for an exemption from the requirement to lodge such declarations are applicable in the Community.Where no entry or exit summary declaration is lodged in accordance with the first subparagraph, the security risk analysis referred to in Article 12 shall be conducted by the customs authorities on the basis of customs declarations covering the goods or any other information available to them not later than at the time of presentation of the goods on arrival or departure.5. Each Contracting Party shall specify the persons who are required to lodge such entry or exit summary declarations and the authorities competent to receive them.6. Annex I lays down:- the form and the content of the entry and exit summary declarations,- exceptions to the lodging of entry and exit summary declarations,- the place where entry and exit summary declarations shall be lodged,- the period within which the entry or exit summary declarations shall be lodged, and,- any other measure necessary for the application of this Article.7. A customs declaration may be used as an entry or exit summary declaration as long as it meets the conditions laid down for that summary declaration.Article 11Authorised economic operator1. A Contracting Party shall grant, subject to the criteria laid down in Annex II to this Agreement, the status of "authorised economic operator" for security purposes to any economic operator established in its customs territory.The requirement concerning establishment in the customs territory of the Contracting Party where the application for this status is made may be waived under certain conditions and for specific categories of authorised economic operators, taking into account agreements with third countries in particular. Furthermore, each Contracting Party shall decide whether, and under what conditions, an airline or a shipping company not established in its territory but having a regional office there may be accorded this status.Authorised economic operators shall enjoy facilitations in respect of security-related customs controls.Subject to the rules and conditions set out in paragraph 2, the status of authorised economic operator granted by a Contracting Party shall be recognised by the other Contracting Party, without prejudice to customs inspections, particularly with a view to implementing agreements with third countries providing for arrangements for the mutual recognition of the status of authorised economic operator.2. Annex II lays down:- the rules for granting the status of authorised economic operator, and in particular the criteria for granting this status and the conditions for applying them,- the type of facilitations that may be accorded,- the rules on the suspension and revocation of the status of authorised economic operator,- the arrangements for exchanges of information between the Contracting Parties on their authorised economic operators,- any other measure necessary for the application of this Article.Article 12Customs security controls and security-related risk management1. Security-related controls other than random checks shall be based on computerised risk analysis.2. Each Contracting Party shall establish for this purpose a risk management framework, risk criteria and priority areas for security-related customs controls.3. The Contracting Parties shall recognise the equivalence of their security-related risk management systems.4. The Contracting Parties shall cooperate with a view to:- exchanging information with the aim of improving and strengthening their risk analysis and the effectiveness of security-related customs controls, and,- establishing in good time a common framework for risk management, common risk criteria and common priority control areas and setting up an electronic system to implement joint risk-management.5. The Joint Committee shall adopt any other measure necessary for the application of this Article.Article 13Monitoring the implementation of customs security measures1. The Joint Committee shall determine how the Contracting Parties are to monitor the implementation of this Chapter and to verify compliance with its provisions and those of the annexes to this Agreement.2. The monitoring referred to in paragraph 1 may take the form of:- regular assessments of the implementation of this Chapter, and in particular of the equivalence of customs security measures,- a review to improve the way in which it is applied or to amend its provisions so that it better fulfils its objectives,- the organisation of thematic meetings between experts of both Contracting Parties and audits of administrative procedures, including on-the-spot visits.3. The Joint Committee shall ensure that measures taken under this Article uphold the rights of economic operators.Article 14Protection of professional secrecy and personal dataThe information exchanged by the Contracting Parties as part of the measures provided for in this Chapter shall enjoy the protection extended to professional secrecy and personal data as defined in the relevant laws applicable in the territory of the recipient Contracting Party.In particular, this information may not be transferred to persons other than the competent bodies in the Contracting Party concerned, nor may it be used by those bodies for purposes other than those provided for in this Agreement.CHAPTER IVCOOPERATIONArticle 15Cooperation between authorities1. In order to facilitate the crossing of frontiers, the Contracting Parties shall take the measures necessary to extend cooperation at both national and regional or local level between the authorities responsible for the organisation of inspections and between the various departments carrying out inspections and formalities on either side of such frontiers.2. Each Contracting Party shall, insofar as it is concerned, see to it that persons engaged in trade covered by this Agreement can rapidly inform the competent authorities of any problems encountered when crossing frontiers.3. The cooperation referred to in paragraph 1 shall cover in particular:(a) the arrangement of frontier posts in such a way as to meet traffic requirements;(b) the conversion of frontier offices into juxtaposed inspection offices, where possible;(c) the harmonisation of the responsibilities of the frontier posts and offices situated on either side of the frontier;(d) the seeking of appropriate solutions to any problems reported.4. The Contracting Parties shall cooperate in order to harmonise the business hours of the various departments carrying out inspections and formalities on either side of the frontier.Article 16Notification of new inspections and formalities other than the customs security measures referred to in Chapter IIIWhere a Contracting Party intends to introduce a new inspection or formality in an area other than that covered by Chapter III, it shall inform the other Contracting Party thereof.The Contracting Party concerned shall ensure that the measures taken to facilitate the crossing of frontiers are not rendered inoperative through the application of such new inspections or formalities.Article 17Flow of traffic1. The Contracting Parties shall take the measures necessary to ensure that waiting time caused by the various inspections and formalities does not exceed the time required for their proper completion. To that end, they shall organise the business hours of the departments which are to carry out inspections and formalities, the staff available and the practical arrangements for processing goods and documents associated with the carrying out of inspections and formalities in such a way as to reduce waiting time in the flow of traffic to the fullest possible extent.2. The competent authorities of countries in whose territory a serious disruption occurs in the carriage of goods which is likely to jeopardise the objectives of facilitating and expediting the crossing of frontiers shall immediately inform the competent authorities of the other countries affected by such disruption.3. The competent authorities of each country so affected shall immediately take appropriate measures to ensure, as far as possible, the free flow of traffic. The measures shall be notified to the Joint Committee which shall, where appropriate, meet in emergency session at the request of a Contracting Party to discuss these measures.Article 18Administrative assistance1. In order to ensure the smooth functioning of trade between the Contracting Parties and to facilitate the detection of any irregularity or infringement, the customs authorities of the countries concerned shall, upon request, or, where they consider that this would be in the interests of the other Contracting Party, on their own initiative, provide each other with all available information (including administrative findings and reports) of interest for the proper implementation of this Agreement.2. Assistance may be withheld or denied, totally or partly, when the requested country considers that the assistance would be prejudicial to its security, public policy or other essential interests, or would violate an industrial, commercial or professional secret.3. If assistance is withheld or denied, the decision and the reasons therefor must be notified to the requesting country without delay.4. If the customs authority of a country requests assistance which it would not be able to give if requested, it shall draw attention to that fact in the request. Compliance with such a request shall be at the discretion of the customs authority to which the request is made.5. Information obtained in accordance with paragraph 1 shall be used solely for the purposes of this Agreement and shall be accorded the same protection by the recipient country as is given to information of like nature under the national law of that country. Such information shall be used for other purposes only with the written consent of the customs authority which furnished it and subject to any restrictions laid down by that authority.CHAPTER VADMINISTRATIVE BODIESArticle 19Joint Committee1. A Joint Committee is hereby established on which the Contracting Parties shall be represented.2. The Joint Committee shall act by mutual agreement.3. The Joint Committee shall meet as required but no less than once a year. Any Contracting Party may request that a meeting be convened.4. The Joint Committee shall establish its rules of procedure which shall contain, inter alia, provisions on the convening of meetings, the appointment of the chairperson and the chairperson’s term of office.5. The Joint Committee may decide to set up any subcommittee or working party that could assist it in its work.Article 20Consultation groups1. The competent authorities of the countries concerned may set up any consultation group responsible for dealing with questions of a practical, technical or organisational nature at regional or local level.2. The consultation groups referred to in paragraph 1 shall meet whenever necessary at the request of the competent authorities of a country. The Joint Committee shall be kept regularly informed of their deliberations by the Contracting Parties responsible for them.Article 21Powers of the Joint Committee1. It shall be the responsibility of the Joint Committee to administer this Agreement and ensure its proper implementation. For that purpose it shall make recommendations and take decisions.2. By its decisions the Joint Committee may amend Chapter III and the Annexes.3. In addition to the matters expressly provided for in this Agreement it shall, by means of decisions, adopt implementing measures of a technical and administrative nature with a view to reducing inspections and formalities.4. Decisions shall be implemented by the Contracting Parties in accordance with their own rules.5. For the purposes of the proper implementation of this Agreement, the Joint Committee shall be informed at regular intervals by the Contracting Parties of experience gained in its implementation and those Contracting Parties shall, at the request of any one of them, consult one another within the Joint Committee.Article 22Development of law1. As soon as the Community draws up new legislation in an area governed by Chapter III, it shall seek an informal opinion of Swiss experts in the same way as it seeks the opinion of experts of Member States.2. When the European Commission sends its proposal to the Member States or the Council of the European Union it shall send a copy to Switzerland.At the request of one of the Contracting Parties, a preliminary exchange of views may take place in the Joint Committee.3. In the phase prior to the adoption of the Community act, and at the request of one of their number, the Contracting Parties shall consult each other again on the Joint Committee in a continuous process of information and consultation.4. The amendments to Chapter III needed to take account of the development of Community legislation relevant to the matters covered by that Chapter shall be decided as soon as possible so that they can be implemented at the same time as the amendments to the Community legislation, in compliance with the internal procedures of the Contracting Parties.If a decision cannot be adopted for such simultaneous implementation, the amendments provided for in the draft decision submitted for the Contracting Parties' approval shall be implemented provisionally where possible, in compliance with the internal procedures of the Contracting Parties.5. The Contracting Parties shall cooperate during the information and consultation phase with a view to facilitating, at the end of the process, decision-making by the Joint Committee.Article 23Participation in the Customs Code CommitteeThe Community shall enable Swiss experts to participate as observers for items concerning them in meetings of the Customs Code Committee, which assists the European Commission in the exercise of its powers in matters covered by Chapter III.Article 24Dispute settlementWithout prejudice to Article 29, any dispute between the Contracting Parties concerning the interpretation or application of this Agreement shall be referred to the Joint Committee, which shall seek an amicable settlement thereof.Article 25Agreements with third countriesThe Contracting Parties agree that agreements concluded by either of them with a third country in an area covered by Chapter III shall not create obligations for the other Contracting Party, unless the Joint Committee decides otherwise.CHAPTER VISUNDRY AND FINAL PROVISIONSArticle 26Payment facilitiesThe Contracting Parties shall see to it that any sums payable in respect of the inspections and formalities applied to trade can also be paid by means of guaranteed or certified international cheques, expressed in the currency of the country in which such sums are due.Article 27Implementation of the AgreementEach Contracting Party shall take appropriate measures to ensure that the provisions of this Agreement are effectively and harmoniously applied, taking into account the need to make it easier for goods to cross frontiers and the need to achieve mutually satisfactory solutions of any difficulties arising out of the application of the said provisions.Article 28RevisionIf a Contracting Party wishes to have this Agreement revised, it shall submit a proposal to that effect to the other Contracting Party. The revision shall take effect after the respective internal procedures have been completed.Article 29Rebalancing measures1. A Contracting Party may, after consultations within the Joint Committee, take appropriate rebalancing measures, including suspension of Chapter III to this Agreement, if it finds that the other Contracting Party does not adhere to its conditions or if the equivalence of the Contracting Parties' customs security measures is no longer assured.Where any delay could jeopardise the effectiveness of customs security measures, provisional protective measures may be taken, without prior consultation, provided that consultations are held immediately after their adoption.2. If the equivalence of the Contracting Parties' customs security measures is no longer assured because the amendments provided for in Article 22(4) have not been decided, a Contracting Party may suspend the application of Chapter III from the date of implementation of the relevant Community act, unless the Joint Committee, having considered how to continue its application, decides otherwise.3. The scope and duration of such measures shall be limited to what is necessary in order to remedy the situation and to secure a fair balance of rights and obligations under this Agreement. A Contracting Party may ask the Joint Committee to hold consultations about the proportionality of these measures and, where appropriate, decide to submit a dispute on the matter to arbitration in accordance with the procedure laid down in Annex III. No question of interpretation of provisions of this Agreement that are identical to corresponding provisions of Community law may be resolved within this framework.Article 30Prohibitions or restrictions on the import, export or transit of goodsThe provisions of this Agreement shall not preclude prohibitions or restrictions on the import, export or transit of goods enacted by the Contracting Parties or by Member States of the Community and justified on grounds of public morality, public policy or public security, the protection of the health and life of humans, animals, plants or the environment, the protection of national treasures possessing artistic, historical or archaeological value, or the protection of industrial or commercial property.Article 31DenunciationAny Contracting Party may denounce the Agreement by notifying the other Contracting Party. The Agreement shall lapse 12 months following the date of such notification.Article 32AnnexesThe Annexes to this Agreement shall form an integral part thereof.Article 33Ratification1. This Agreement shall be approved by the Contracting Parties in accordance with their own procedures. It shall enter into force on 1 July 2009, provided that the Contracting Parties have notified one another before that date that the requisite procedures have been completed.2. If this Agreement does not enter into force on 1 July 2009, it shall enter into force on the day following the date on which the Contracting Parties notify one another that the requisite procedures have been completed.3. Pending completion of the procedures referred to in paragraphs 1 and 2, the Contracting Parties shall apply this Agreement provisionally from 1 July 2009 or a later date agreed between them.4. As soon as it enters into force, this Agreement shall replace the Agreement of 21 November 1990 between the European Economic Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods.Article 34LanguagesThis Agreement shall be drawn up in duplicate in the Bulgarian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish languages, each of these texts being equally authentic.Съставено в Брюксел на двадесет и пети юни две хиляди и девета година.Hecho en Bruselas, el veinticinco de junio de dos mil nueve.V Bruselu dne dvacátého pátého června dva tisíce devět.Udfærdiget i Bruxelles den femogtyvende juni to tusind og ni.Geschehen zu Brüssel am fünfundzwanzigsten Juni zweitausendneun.Kahe tuhande üheksanda aasta juunikuu kahekünne viiendal päeval Brüsselis.Έγινε στις Βρυξέλλες, στις είκοσι πέντε Ιουνίου δύο χιλιάδες εννιά.Done at Brussels on the twenty-fifth day of June in the year two thousand and nine.Fait à Bruxelles, le vingt-cinq juin deux mille neuf.Fatto a Bruxelles, addì venticinque giugnio duemilanove.Briselē, divtūkstoš devītā gada divdesmit piektajā junijāPriimta du tūkstančiai devintų metų birželio dvidešimt penktą dieną Briuselyje.Kelt Brüsszelben, a kétezer-kilencedik év június havának huszonötödik napján.Magħmul fi Brussell, fil- ħamsa u għoxrin jum ta’ Ġunju tas-sena elfejn u disgħa.Gedaan te Brussel, de vijfentwintigste juni tweeduizend negen.Sporządzono w Brukseli dnia dwudziestego piątego czerwca roku tysiące dziewiątego.Feito em Bruxelas, em vinte e cinco de Junho de dois mil e nove.Încheiat la Bruxelles, la douăzeci și cinci iunie două mii nouă.V Bruseli dňa dvadsiateho piateho júna dvetisícdeväť.V Bruslju, dne petindvajsetega junija leta dva tisoč devet.Tehty Brysselissä kahdentenakymmenentenäviidentenä päivänä kesäkuuta vuonna kaksituhattayhdeksän.Som skedde i Bryssel den tjugofemte juni tjugohundranio.За Европейската общностPor la Comunidad EuropeaZa Evropské společenstvíFor Det Europæiske FællesskabFür die Europäische GemeinschaftEuroopa Ühenduse nimelΓια την Ευρωπαϊκή ΚοινότηταFor the European CommunityPour la Communauté européennePer la Comunità europeaEiropas Kopienas vārdāEuropos Bendrijos varduAz Európai Közösség részérőlGħall-Komunità EwropeaVoor de Europese GemeenschapW imieniu Wspólnoty EuropejskiejPela Comunidade EuropeiaPentru Comunitatea EuropeanăZa Európske spoločenstvoZa Evropsko skupnostEuroopan yhteisön puolestaPå Europeiska gemenskapens vägnar+++++ TIFF ++++++++++ TIFF +++++За Конфедерация ШвейцарияPor la Confederación SuizaZa Švýcarskou konfederacíFor Det Schweiziske ForbundFür die Schweizerische EidgenossenschaftŠveitsi Konföderatsiooni nimelΓια την Ελβετική ΣυνομοσπονδίαFor the Swiss ConfederationPour la Confédération SuissePer la Confederazione svizzeraŠveices Konfederācijas vārdāŠveicarijos Konfederacijos varduA Svájci Államszövetség részérőlGħall-Konfederazzjoni ŻvizzeraVoor de Zwitserse BondsstaatW imieniu Konfederacji SzwajcarskiejPela Confederação SuíçaPentru Confederația ElvețianăZa Švajčiarskou konfederáciuZa Švicarsko konfederacijoSveitsin valaliiton puolestaPå Schweiziska edsförbundets vägnar+++++ TIFF +++++--------------------------------------------------ANNEX IENTRY AND EXIT SUMMARY DECLARATIONSArticle 1Form and content of the entry and exit summary declaration1. The entry and exit summary declaration shall be made electronically. Commercial, port or transport documents may be used, provided that they contain the necessary information.2. The entry or exit summary declaration shall contain the information laid down for such declarations in Annex 30a to Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the Community Customs Code [1] (hereinafter referred to as "Regulation (EEC) No 2454/93"). It shall be completed in accordance with the explanatory notes in the said Annex 30a. It shall be authenticated by the person who completed it.3. The customs authorities shall allow the lodging of an entry or exit summary declaration on paper or in another medium only in one of the following circumstances:(a) where the customs authorities' computerised system is not functioning;(b) where the electronic application of the person lodging the entry or exit summary declaration is not functioning;on condition that they apply to these declarations the same level of risk management as that applied to customs declarations made using a data processing technique.Paper-based entry or exit summary declarations shall be signed by the person who completed them. They shall be accompanied, where appropriate, by loading lists or other relevant lists and contain the information referred to in paragraph 2.4. Each Contracting Party shall determine the conditions and procedures by which a person required to lodge an entry or exit summary declaration is authorised to change one or more of the details of the declaration after lodging it.Article 2Exceptions to the lodging of entry and exit summary declarations1. An entry or exit summary declaration shall not be required for the following goods:(a) electrical energy;(b) goods entering or exiting by pipeline;(c) letters, postcards and printed matter, including those on electronic media;(d) goods moving under the rules of the Universal Postal Union;(e) goods for which an oral customs declaration or simple crossing of the border is permitted under rules laid down by the Contracting Parties, except pallets, containers, and means of road, rail, air, sea and inland waterway transport used under a transport contract;(f) goods contained in travellers' personal luggage;(g) goods covered by ATA and CPD Carnets;(h) goods exempt under the Vienna Convention of 18 April 1961 on Diplomatic Relations, the Vienna Convention of 24 April 1963 on Consular Relations or other consular conventions, or the New York Convention of 16 December 1969 on Special Missions;(i) weapons and military equipment brought into or out from the customs territory of a Contracting Party by the authorities in charge of the military defence of a Member State or of Switzerland, in military transport or transport operated for the sole use of the military authorities;(j) the following goods brought into or out from the customs territory of a Contracting Party directly to or from drilling or production platforms operated by a person established in the customs territory of the Contracting Parties:- goods which were incorporated in such platforms, for the purposes of their construction, repair, maintenance or conversion,- goods which were used to fit to or to equip the said platforms; other provisions used or consumed on the said platforms; and non-hazardous waste products from the said platforms;(k) goods in consignments the intrinsic value of which does not exceed EUR 22, provided that the customs authorities accept, with the agreement of the economic operator, to carry out a risk analysis using the information contained in, or provided by, the system used by the economic operator.2. An entry or exit summary declaration shall not be required in the cases provided for in an international agreement between a Contracting Party and a third country on security, subject to the procedure laid down in Article 9(3) of this Agreement.3. An entry or exit summary declaration shall not be required in the Community for goods referred to in points (i) and (j) of Article 181c, points (i) and (j) of Article 592a and Article 842a(2)(b) of Regulation (EEC) No 2454/93.4. An exit summary declaration shall not be required in Switzerland for:- spare and replacement parts for incorporation in aircraft for the purpose of their repair,- lubricants and gas which are necessary for the operation of aircraft, and,- foodstuffs for consumption on board,that were previously placed in a customs warehouse within the confines of a Swiss airport and then transferred to aircraft in accordance with the provisions adopted by Switzerland, provided they do not affect the level of security assured by this Agreement.Article 3Place for lodging entry and exit summary declarations1. The entry summary declaration shall be lodged with the competent authority of the Contracting Party into whose customs territory the goods are brought from a third country. That authority shall carry out a risk analysis based on information contained in the declaration and any customs controls deemed necessary for security purposes, including cases where goods are destined for the other Contracting Party.2. The exit summary declaration shall be lodged with the competent authority of the Contracting Party in whose customs territory the formalities for exit to third countries are carried out. However, a customs export declaration used as an exit summary declaration shall be lodged with the competent authority of the Contracting Party in whose customs territory the formalities for export to third countries are carried out. In either case the competent authority shall carry out a risk analysis based on the information contained in the declaration and the customs controls deemed necessary for security.3. When goods destined for a third country leave the customs territory of a Contracting Party through the customs territory of the other Contracting Party, the information referred to in Article 1(2) shall be transmitted by the competent authority of the former Contracting Party to the competent authority of the latter.However, the Joint Committee may determine cases in which transmission of this information is not necessary as long as the level of security assured by this Agreement is not affected.The Contracting Parties shall seek to establish an interconnection and use a common system for transmitting data that contains the information necessary for the exit summary declaration of the goods in question.If the Contracting Parties are unable to establish the transmission referred to in the first subparagraph on the date of application of this Agreement, the exit summary declaration for goods destined for a third country that leave a Contracting Party through the customs territory of the other Contracting Party shall, except for direct air traffic, be lodged exclusively with the competent authority of the latter Contracting Party.Article 4Time limits for lodging entry and exit summary declarations1. The deadlines for lodging entry and exit summary declarations are those laid down in Articles 184a and 592b of Regulation (EEC) No 2454/93.2. Notwithstanding paragraph 1, each Contracting Party may decide on different time limits:- in cases of the traffic referred to in Article 3(3) so that reliable risk analysis may be carried out and shipments intercepted in order to carry out any security-related customs checks,- in the case of an international agreement between that Contracting Party and a third country, subject to the procedure laid down in Article 9(3) of this Agreement.[1] OJ L 253, 11.10.1993, p. 1.--------------------------------------------------ANNEX IIAuthorised economic operatorTITLE IGRANTING OF THE STATUS OF AUTHORISED ECONOMIC OPERATORArticle 1General provisions1. The criteria for granting the status of authorised economic operator shall include:(a) a satisfactory record of compliance with customs requirements;(b) an efficient system of managing commercial and, where appropriate, transport records, which makes it possible to carry out appropriate customs controls for security purposes;(c) proven financial solvency; and(d) appropriate security and safety standards.2. Each Contracting Party shall determine the procedures for requesting and granting the status of authorised economic operator, and the legal effects of this status.3. The Contracting Parties shall ensure that their customs authorities monitor authorised economic operators′ compliance with the relevant conditions and criteria and that they re-examine these conditions and criteria, notably if there are significant amendments to the relevant legislation or where there is evidence making it reasonable to think that an economic operator no longer meets the applicable requirements.Article 2Record of compliance1. The record of compliance with customs requirements shall be considered satisfactory if, over the last three years preceding the submission of the application, no serious infringement or repeated infringements of customs rules have been committed by any of the following persons:(a) the applicant;(b) the persons in charge of the applicant company or exercising control over its management;(c) if applicable, the applicant’s legal representative in customs matters;(d) the person responsible in the applicant company for customs matters.2. The record of compliance with customs requirements may be considered satisfactory if the competent customs authority considers the infringements to be of negligible importance in relation to the number or size of the customs-related operations, and deems that they do not raise doubts concerning the good faith of the applicant.3. If the persons exercising control over the applicant company are established or resident in a third country, the customs authorities shall assess their compliance with customs requirements on the basis of the records and information that are available to them.4. If the applicant has been established for less then three years, the customs authorities shall assess his compliance with customs requirements on the basis of the records and information that are available to them.Article 3Efficient system of managing commercial and transport recordsTo enable the customs authorities to establish that the applicant has a satisfactory system of managing commercial and, where appropriate, transport records, the applicant shall fulfil the following requirements:(a) maintain an accounting system which is consistent with the generally accepted accounting principles applied in the place where the accounts are held and which will facilitate audit-based customs control;(b) allow the customs authority physical or electronic access to its customs and, where appropriate, transport records;(c) have an administrative organisation which corresponds to the type and size of the business and which is suitable for the management of the flow of goods, and have internal controls capable of detecting illegal or irregular transactions;(d) where applicable, have satisfactory procedures in place for the handling of licences and import and/or export authorisations;(e) have satisfactory procedures in place for the archiving of the company’s records and information and for protection against the loss of information;(f) ensure that employees are made aware of the need to inform the customs authorities whenever compliance difficulties are discovered and establish suitable contacts to inform the customs authorities of such occurrences;(g) have appropriate information technology security measures in place to protect the applicant’s computer system from unauthorised intrusion and to secure the applicant’s documentation.Article 4Financial solvency1. For the purposes of this Article, financial solvency shall mean a good financial standing which is sufficient to fulfil the commitments of the applicant, with due regard to the characteristics of the type of the business activity.2. The condition relating to the financial solvency of the applicant shall be deemed to be met if his solvency can be proven for the past three years.3. If the applicant has been established for less then three years, his financial solvency shall be judged on the basis of the records and information that are available.Article 5Appropriate security and safety standards1. The applicant’s security and safety standards shall be considered appropriate if the following conditions are fulfilled:(a) buildings to be used in connection with the operations to be covered by the certificate are constructed of materials which resist unlawful entry and provide protection against unlawful intrusion;(b) appropriate access control measures are in place to prevent unauthorised access to shipping areas, loading docks and cargo areas;(c) measures for the handling of goods include protection against the introduction, exchange or loss of any material and tampering with cargo units;(d) where applicable, procedures are in place for the handling of import and/or export licences connected to prohibitions and restrictions and to distinguish these goods from other goods;(e) the applicant has implemented measures to enable a clear identification of his business partners in order to secure the international supply chain;(f) the applicant conducts, insofar as legislation permits, security screening on prospective employees working in security-sensitive positions and carries out periodic background checks;(g) the applicant ensures that staff concerned actively participate in security awareness programmes.2. If the applicant, established in the Community or in Switzerland, is the holder of an internationally recognised security and/or safety certificate issued on the basis of international conventions, of a European security and/or safety certificate issued on the basis of Community legislation, of an International Standard of the International Organisation for Standardisation, of a European Standard of the European Standards Organisations, or of another recognised certificate, the criteria provided for in paragraph 1 shall be deemed to be met to the extent that the criteria for issuing these certificates are identical or correspond to those laid down in this Annex.TITLE IIFACILITATIONS ACCORDED TO AUTHORISED ECONOMIC OPERATORSArticle 6The customs authorities shall accord authorised economic operators the following facilitation in particular:- the customs authorities may notify the authorised economic operator before the arrival of goods into the customs territory or departure of goods from it that, as a result of security and safety risk analysis, the consignment has been selected for further physical inspection, as long as this does not adversely affect the inspection to be carried out; the customs authorities may, however, carry out a physical inspection even when the authorised economic operator has not been notified,- the authorised economic operator may lodge entry or exit summary declarations subject to the reduced requirements regarding the information to be given as laid down in Annex 30a to Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the Community Customs Code [1]; however, if the authorised economic operator is a carrier, freight forwarder or customs agent, he may benefit from these reduced requirements only if he is involved in the import or export of goods on behalf of an authorised economic operator,- authorised economic operators shall be subject to fewer physical and document-based controls than other economic operators; the customs authorities may, however, decide otherwise in order to take into account a specific threat or control obligations set out in other, non-customs legislation,- if the customs authority decides to proceed with the inspection of a consignment covered by an entry or exit summary declaration lodged by an authorised economic operator, this inspection shall be given priority; in addition, at the request of the authorised economic operator, and in agreement with the customs authority, this inspection may be carried out in a place other than that in which the authority normally carries out its inspections.TITLE IIISUSPENSION AND REVOCATION OF THE STATUS OF AUTHORISED ECONOMIC OPERATORArticle 7Suspension of status1. The status of authorised economic operator shall be suspended by the issuing customs authority in the following cases:(a) where non-compliance with the conditions or criteria for authorised economic operator status has been established;(b) where the customs authorities have sufficient reason to believe that an act which gives rise to criminal court proceedings and linked to an infringement of the customs rules has been perpetrated by the authorised economic operator;(c) where an authorised economic operator so requests because he is temporarily unable to meet the conditions or criteria for granting the status.2. However, in the case referred to in paragraph 1(b), the customs authority may decide not to suspend the status of authorised economic operator if it considers an infringement to be of negligible importance in relation to the number or size of the customs-related operations and it does not raise doubts concerning the good faith of the authorised economic operator.3. Where the nature or the level of the threat to citizens′ security and safety, to public health or to the environment so requires, suspension shall take place immediately.4. The suspension shall not affect any customs procedure already started before the date of suspension and not yet completed.5. Each Contracting Party shall set the length of the suspension period with a view to enabling the economic operator to regularise the situation.6. When the economic operator concerned has, to the satisfaction of the customs authorities, taken the necessary measures to comply with the conditions and criteria that have to be met by any authorised economic operator, the issuing customs authority shall lift the suspension.Article 8Revocation of the status1. The status of authorised economic operator shall be revoked by the issuing customs authority in the following cases:(a) where serious infringements of customs rules have been committed by the authorised economic operator and the avenues of appeal are exhausted;(b) where the authorised economic operator fails to take the necessary measures during the suspension period referred to in Article 7(5);(c) at the request of the authorised economic operator.2. However, in the case referred to in point (a), the customs authority may decide not to revoke the authorised economic operator status if it considers the infringement to be of negligible importance in relation to the number or size of the customs-related operations and it does not raise doubts concerning the good faith of the authorised economic operator.3. Revocation shall take effect on the day following its notification.TITLE IVEXCHANGE OF INFORMATIONArticle 9The Commission and the competent Swiss authorities shall regularly inform each other of the identities of their authorised economic operators for the purposes of security, and include the following information:(a) the Trader Identification Number (TIN) in a format compatible with Economic Operator Registration and Identification (EORI) legislation;(b) the name and address of the authorised economic operator;(c) the number of the document granting the status of authorised economic operator;(d) current status (current, suspended, revoked);(e) periods of changed status;(f) the date on which the certificate becomes effective;(g) the authority which issued the certificate.[1] OJ L 253, 11.10.1993, p. 1.--------------------------------------------------ANNEX IIIARBITRATION PROCEDURE1. If a dispute has been referred to arbitration there shall be three arbitrators, unless the Contracting Parties decide otherwise.2. Each of the Contracting Parties shall each appoint one arbitrator within 30 days.3. The two arbitrators so appointed shall nominate by common agreement one umpire who shall not be a national of either of the Contracting Parties. If they cannot agree within two months of their appointment, the umpire shall be chosen by them from seven persons on a list established by the Joint Committee. The Joint Committee shall draw up and update this list in accordance with its rules of procedure.4. Unless the Contracting Parties decide otherwise, the arbitration tribunal shall adopt its rules of procedure. It shall take its decisions by majority vote.--------------------------------------------------

Summary: EU–Switzerland agreement on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures EU–Switzerland agreement on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures SUMMARY OF: Agreement between the European Community and Switzerland on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures Decision No 1/2013 of the EU–Switzerland Joint Committee amending Annexes I and II to the Agreement between the European Community and Switzerland on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures Decision No 1/2021 of the EU–Switzerland Joint Committee amending Chapter III of, and Annexes I and II to, the Agreement between the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures WHAT IS THE AIM OF THE AGREEMENT AND THE DECISIONS? The 2009 agreement aims to simplify customs inspections and formalities. It covers: goods crossing frontiers between Switzerland and the European Union (EU);customs security measures on goods to and from non-EU countries. Decision No 1/2013 amends the agreement to bring it into line with subsequent EU customs security measures to ensure the EU and Switzerland provide the same level of security. Decision No 1/2021 amends the customs security measures (Chapter III) of the 2009 agreement and Annexes I and II to take account, in particular, of new customs security measures introduced by an implementing act of the European Commission, Decision (EU) 2019/2151. KEY POINTS The agreement applies to the customs territory of the EU and Switzerland, including its customs enclaves, and to the customs territory of Liechtenstein, as long as it is linked to Switzerland by a customs union. The EU and Switzerland agree to do as follows. Carry out: inspections and formalities with the minimum possible delay and, as far as possible, in one place;random inspections, based on the number of consignments passing through a frontier post and not the total number of goods in each consignment, except when circumstances justify otherwise. Deploy customs offices on their territory to take account of commercial operators’ requirements. Delegate to the relevant services the authority to inspect the validity and authenticity of documents and goods. Recognise each other’s inspections and the validity of documents they issue. Ensure frontier posts are open, where traffic volume warrants, so: frontiers can be crossed 24 hours a day and any inspections and formalities can be carried out on goods being transported under a customs transit procedure;inspections and formalities for goods not under a customs transit procedure may be carried out, except on public holidays, for continuous periods (10 hours from Monday to Friday, 6 hours on Saturdays). Establish express lanes at frontier posts, where technically possible and traffic volumes justify, for goods under a customs transit procedure. Cooperate nationally, regionally and locally between authorities and departments carrying out inspections and formalities on either side of frontiers. Inform one another when planning to introduce new inspections or formalities. Take measures to prevent excessive waiting times at inspections. Provide each other, either when requested or on their own initiative, with all available information to ensure trade runs smoothly. The agreement establishes the following administrative bodies. A joint committee that: acts by mutual agreement;meets at least once a year;administers the agreement and ensures its proper implementation;makes recommendations and takes decisions;monitors and, where necessary, amends the agreement’s provisions on customs security measures (Chapter III) and the relevant annexes;seeks an amicable settlement to any dispute between the EU and Switzerland over the interpretation or application of the agreement. Consultation groups to deal with practical, technical or organisational issues. Provisions on the development of law require: the EU, when drafting legislation covering areas in Chapter III, to seek informal opinions from Swiss experts, just as it routinely does from EU national experts; the Commission to send a copy of the draft legislation to Switzerland; a preliminary exchange of views if either party so requests; amendments to Chapter III due to developments in EU legislation to be decided as soon as possible so both may be implemented at the same time. The EU allows Swiss experts to participate as observers in the Customs Code Committee when items covered by Chapter III are discussed. The EU and Switzerland confirm that any agreement either signs with a non-EU country on issues covered by Chapter III will not create obligations for the other, unless the joint committee so decides. The agreement does not: prevent bans or restrictions on the import, export or transit of goods on grounds such as public morality, policy, security or health, protection of national treasures or industrial and commercial property; apply to inspections of or formalities on ships or planes, but does apply to the vehicles and goods they carry. Annex III sets out the details of an arbitration procedure. Decision No 1/2013 made initial amendments to Annexes I and II to the agreement. Decision No 1/2021 of the EU–Switzerland joint committee replaces Articles 9 to 14 of Chapter III (customs security measures) and Annexes I and II to the agreement. The EU and Switzerland: ensure the same level of security and safety at their external borders by applying identical customs security measures to goods to and from non-EU countries; do not apply those customs security measures to goods transported between themselves; consult with each other before concluding arrangements with a non-EU country to guarantee consistency in implementing the 2009 agreement. Entry and exit summaries: are required for goods transported to and from non-EU countries, except for those transiting by sea or air; must be provided before the goods enter or leave either party’s customs area; are lodged by the carrier, importer or person presenting the goods (entry summaries) and by people identified by the EU and Switzerland (exit summaries). Annex I gives details of the entry and exit summary declarations. It covers the: electronic import control system 2 (ICS2) used; form and particulars of the declarations; exceptions where summaries are not required; location and time limits for lodging declarations; technical arrangements for the electronic systems; financing arrangements of the import control system. Each party designates authorised economic operators (AEOs) within their jurisdiction. In the case of Switzerland, this includes its customs enclaves of Samnaun and Sampuoir. The operators: enjoy facilitations during security-related customs controls; are recognised by the other party, particularly when agreements with non-EU countries are implemented. Annex II lays down the: criteria for granting AEO status and the conditions for applying it; type of facilitations given (i.e. AEOs have fewer physical and document-based security controls than others); rules on suspending, annulling and revoking the status; arrangements for exchanging information between the EU and Switzerland on their AEO. Security- and safety-related customs controls are: based primarily on risk analysis using electronic data processing techniques to identify and evaluate risks and develop countermeasures; carried out within a common risk management framework that is also used to exchange risk-related information, subject to professional secrecy and personal data protection rules. In March 2021, Decision No 130/2021 of the Joint Committee of the European Economic Area was adopted. It: amends Protocol 10 to the European Economic Area Agreement on the simplification of inspections and formalities to enable Norway to join the EU’s ICS2 customs control system on basically the same terms as Switzerland; takes account of the Commission’s Implementing Decision (EU) 2019/2151 establishing a work programme for developing and deploying electronic customs systems; does not apply to Iceland and Liechtenstein, but could in the future. DATE OF ENTRY INTO FORCE The agreement entered into force on 1 July 2009. Decision No 1/2013 took effect on 7 June 2013. Decision No 1/2021 took effect on 15 March 2021. BACKGROUND ICS2 helps manage customs border controls and supports the EU’s customs pre-arrival security and safety programme. It enables customs officers to better assess risk on the basis of common information, protecting the EU and its citizens from hazardous, dangerous or illegal imports. The EU–Switzerland Joint Committee decision of 12 March 2021 and the European Economic Area Joint Committee decision of 15 March 2021 ensure Switzerland and Norway apply the same security and safety measures as the EU. As a result, trade between the two countries and the EU does not require entry or exit summary declarations. For more information, see: New customs agreements with Switzerland and Norway (European Commission) Import control system 2 (ICS2) (European Commission). MAIN DOCUMENTS Agreement between the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures (OJ L 199, 31.7.2009, pp. 24–42). Successive amendments to the agreement have been incorporated in the original text. This consolidated version is of documentary value only. Decision No 1/2013 of the EU-Switzerland Joint Committee of 6 June 2013 amending Annexes I and II to the Agreement between the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures (2013/330/EU) (OJ L 175, 27.6.2013, pp. 73–75). Decision No 1/2021 of the EU-Switzerland Joint Committee of 12 March 2021 amending Chapter III of, and Annexes I and II to, the Agreement between the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures [2021/714] (OJ L 152, 3.5.2021, pp. 1–32). RELATED DOCUMENTS Decision of the EEA Joint Committee No 130/2021 of 15 March 2021 amending Protocol 10 to the EEA Agreement, on simplification of inspections and formalities in respect of carriage of goods [2021/1039] (OJ L 226, 25.6.2021, pp. 41–72). Commission Implementing Decision (EU) 2019/2151 of 13 December 2019 establishing the work programme relating to the development and deployment of the electronic systems provided for in the Union Customs Code (OJ L 325, 16.12.2019, pp. 168–182). Agreement on the European Economic Area — Final Act — Joint Declarations — Declarations by the Governments of the Member States of the Community and the EFTA States — Arrangements — Agreed Minutes — Declarations by one or several of the Contracting Parties of the Agreement on the European Economic Area (OJ L 1, 3.1.1994, pp. 3–522). See consolidated version. last update 08.12.2021


11.6.2009 EN Official Journal of the European Union L 148/1 COUNCIL REGULATION (EC) No 487/2009 of 25 May 2009 on the application of Article 81(3) of the Treaty to certain categories of agreements and concerted practices in the air transport sector (Codified version) (Text with EEA relevance) THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing the European Community and in particular Article 83 thereof, Having regard to the proposal from the Commission, Having regard to the Opinion of the European Parliament (1), Whereas: (1) Council Regulation (EEC) No 3976/87 of 14 December 1987 on the application of Article 85(3) of the Treaty to certain categories of agreements and concerted practices in the air transport sector (2) has been substantially amended several times (3). In the interests of clarity and rationality the said Regulation should be codified. (2) Common provisions for the application of Article 81(3) of the Treaty should be adopted by way of Regulation or Directive pursuant to Article 83 of the Treaty. The Commission should be enabled to declare by way of regulation that the provisions of Article 81(1) of the Treaty do not apply to certain categories of agreements between undertakings, decisions by associations of undertakings and concerted practices. (3) The Commission should be empowered to grant block exemptions in the air transport sector in respect of traffic within the Community, as well as in respect of traffic between the Community and third countries. (4) It should be laid down under what specific conditions and in what circumstances the Commission may exercise such powers in close and constant liaison with the competent authorities of the Member States. (5) It is desirable, in particular, that block exemptions be granted for certain categories of agreements, decisions and concerted practices. Those exemptions should be granted for a limited period during which air carriers can adapt to a more competitive environment. The Commission, in close liaison with the Member States, should be able to define precisely the scope of those exemptions and the conditions attached to them. (6) This Regulation is without prejudice to the application of Article 86 of the Treaty, HAS ADOPTED THIS REGULATION: Article 1 This Regulation shall apply to air transport. Article 2 1. In accordance with Article 81(3) of the Treaty, the Commission may by Regulation declare that Article 81(1) of the Treaty shall not apply to certain categories of agreements between undertakings, decisions of associations of undertakings and concerted practices. The Commission may, in particular, adopt such Regulations in respect of agreements, decisions or concerted practices which have as their object any of the following: (a) joint planning and coordination of airline schedules; (b) consultations on tariffs for the carriage of passengers and baggage and of freight on scheduled air services; (c) joint operations on new less busy scheduled air services; (d) slot allocation at airports and airport scheduling; the Commission shall take care to ensure consistency with Council Regulation (EEC) No 95/93 of 18 January 1993 on common rules for the allocation of slots at Community airports (4); (e) common purchase, development and operation of computer reservation systems relating to timetabling, reservations and ticketing by air transport undertakings; the Commission shall take care to ensure consistency with Council Regulation (EEC) No 2299/89 of 24 July 1989 on a code of conduct for computerised reservation systems (5). 2. Without prejudice to the second subparagraph of paragraph 1, the Commission Regulations referred to therein shall define the categories of agreements, decisions or concerted practices to which they apply and shall specify in particular: (a) the restrictions or clauses which may, or may not, appear in the agreements, decisions and concerted practices; (b) the clauses which must be contained in the agreements, decisions and concerted practices, or any other conditions which must be satisfied. Article 3 Any Regulation adopted pursuant to Article 2 shall apply for a specified period. It may be repealed or amended where circumstances have changed with respect to any of the factors which prompted its adoption; in such a case, a period shall be fixed for amendment of the agreements and concerted practices to which the earlier Regulation applied before repeal or amendment. Article 4 Regulations adopted pursuant to Article 2 shall include a provision stating that they apply with retroactive effect to agreements, decisions and concerted practices which were in existence at the date of the entry into force of such Regulations. Article 5 A Regulation adopted pursuant to Article 2 may stipulate that the prohibition contained in Article 81(1) of the Treaty shall not apply, for such a period as fixed by that Regulation, to agreements, decisions and concerted practices already in existence at the date of accession to which Article 81(1) applies by virtue of the accession of Austria, Finland and Sweden and which do not satisfy the conditions of Article 81(3) of the Treaty. However, this Article shall not apply to agreements, decisions and concerted practices which at the date of accession already fall under Article 53(1) of the EEA Agreement. Article 6 Before adopting a Regulation pursuant to Article 2, the Commission shall publish a draft thereof and invite all persons and organisations concerned to submit their comments within a reasonable time-limit, being not less than one month, as the Commission shall fix. Article 7 The Commission shall consult the Advisory Committee on Restrictive Practices and Dominant Positions referred to in Article 14 of Council Regulation (EC) No 1/2003 of 16 December 2002 on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty (6) before publishing a draft Regulation and before adopting a Regulation pursuant to Article 2. Article 8 Regulation (EEC) No 3976/87 is repealed. References to the repealed Regulation shall be construed as references to this Regulation and be read in accordance with the correlation table set out in Annex II. Article 9 This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union. This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Brussels, 25 May 2009. For the Council The President J. ŠEBESTA (1) Opinion of 21 October 2008 (not yet published in the Official Journal). (2) OJ L 374, 31.12.1987, p. 9. (3) See Annex I. (4) OJ L 14, 22.1.1993, p. 1. (5) OJ L 220, 29.7.1989, p. 1. (6) OJ L 1, 4.1.2003, p. 1. ANNEX I Repealed Regulation with list of its successive amendments Council Regulation (EEC) No 3976/87 (OJ L 374, 31.12.1987, p. 9). Council Regulation (EEC) No 2344/90 (OJ L 217, 11.8.1990, p. 15). Council Regulation (EEC) No 2411/92 (OJ L 240, 24.8.1992, p. 19). 1994 Act of Accession, Annex I, Point III.A.3 (JO C 241, 29.8.1994, p. 56). Council Regulation (EC) No 1/2003 (OJ L 1, 4.1.2003, p. 1). Only Article 41 Council Regulation (EC) No 411/2004 (OJ L 68, 6.3.2004, p. 1). Only Article 2 ANNEX II CORRELATION TABLE Regulation (EEC) No 3976/87 This Regulation Article 1 Article 1 Article 2(1) Article 2(1), first subparagraph Article 2(2), introductory wording Article 2(1), second subparagraph, introductory wording Article 2(2), first indent Article 2(1), second subparagraph, point (a) Article 2(2), second indent Article 2(1), second subparagraph, point (b) Article 2(2), third indent Article 2(1), second subparagraph, point (c) Article 2(2), fourth indent Article 2(1), second subparagraph, point (d) Article 2(2), fifth indent Article 2(1), second subparagraph, point (e) Article 2(3) Article 2(2) Articles 3 and 4 Articles 3 and 4 Article 4a, first sentence Article 5, first paragraph Article 4a, second sentence Article 5, second paragraph Article 5 Article 6 Article 6 Article 7 — Article 8 Article 9 Article 9 — Annex I — Annex II

Summary: Exemption of certain air transport agreements from EU competition rules Exemption of certain air transport agreements from EU competition rules SUMMARY OF: Regulation (EC) No 487/2009 on the application of the Treaty on the Functioning of the European Union to certain categories of agreements and concerted practices in the air transport sector WHAT IS THE AIM OF THE REGULATION? The regulation gives the European Commission the power to grant block exemptions in the air transport sector with regard to traffic within the European Union (EU) and between the EU and non-EU countries. It lays down the specific conditions and circumstances in which the Commission may exercise this power alongside the EU Member States’ national competition authorities. It should be noted that the treaty article in the regulation’s title — Article 81(3) of the Treaty Establishing the European Community (TEC) — has since become Article 101(3) of the Treaty on the Functioning of the European Union (TFEU). KEY POINTS Article 101 TFEU Article 101(3) TFEU allows the Commission to adopt a regulation declaring that certain agreements, decisions and concerted practices* are exempt from Article 101(1) TFEU, which bans agreements and concerted practices between companies and groups of companies that may affect trade between Member States and whose purpose is to prevent, restrict or distort competition within the EU’s internal market. The Commission may, in particular, adopt such a block exemption regulation in relation to agreements, decisions or concerted practices that concern any of the following: joint planning and coordination of airline schedules; consultation on tariffs for the carriage of passengers, baggage and freight on scheduled air services; joint operations on new, less busy scheduled air services; slot allocation at airports and airport scheduling; the common purchase, development and operation of computer reservation systems relating to timetabling, reservations and ticketing by air transport undertakings. Changing circumstances Where circumstances have changed concerning any of the factors that prompted its adoption, the act may be repealed or amended. In this case there must be a transitional period to amend the agreements and concerted practices to which the earlier regulation applied before repeal or amendment. Limited duration Any such block exemption regulation is adopted for a specified period and applies retroactively to agreements, decisions and concerted practices that existed on the date on which the regulation entered into force. Information and consultation Before adopting a block exemption regulation, the Commission must publish a draft of the proposed regulation and invite all persons and organisations concerned to submit their comments within a reasonable deadline. The Commission must consult the Advisory Committee on Restrictive Practices and Dominant Positions in accordance with Regulation (EC) No 1/2003, once before publishing a draft regulation, and again after the public consultation before adopting the regulation (see summary). FROM WHEN DOES THE REGULATION APPLY? It has applied since 1 July 2009. Regulation (EC) No 487/2009 codifies and repeals Regulation (EEC) No 3976/87. BACKGROUND For more information, see: Antitrust (European Commission) Block exemption regulations (European Commission). KEY TERMS Concerted practices. Practices that are anti-competitive, whether a formal agreement has been concluded between the parties or not. They may result from either direct or indirect contact between companies whose intention is either to influence the conduct of the market or to disclose intended future behaviour to competitors. MAIN DOCUMENT Council Regulation (EC) No 487/2009 of 25 May 2009 on the application of Article 81(3) of the Treaty to certain categories of agreements and concerted practices in the air transport sector (Codified version) (OJ L 148, 11.6.2009, pp. 1–4). RELATED DOCUMENTS Consolidated version of the Treaty on the Functioning of the European Union — Part Three — Union policies and internal actions — Title VII — Common rules on competition, taxation and approximation of laws — Chapter 1 — Rules on competition — Section 1 — Rules applying to undertakings — Article 101 (formerly Article 81 TEC) (OJ C 202, 7.6.2016, pp. 88–89). Regulation (EC) No 80/2009 of the European Parliament and of the Council of 14 January 2009 on a Code of Conduct for computerised reservation systems and repealing Council Regulation (EEC) No 2299/89 (OJ L 35, 4.2.2009, pp. 47–55). Council Regulation (EC) No 1/2003 of 16 December 2002 on the implementation of the rules on competition laid down in Articles 81 and 82 of the Treaty (OJ L 1, 4.1.2003, pp. 1–25). Successive amendments to Regulation (EC) No 1/2003 have been incorporated in the original text. This consolidated version is of documentary value only. Council Regulation (EEC) No 95/93 of 18 January 1993 on common rules for the allocation of slots at Community airports (OJ L 14, 22.1.1993, pp. 1–6). See consolidated version. last update 08.12.2021