This document is an excerpt from the EUR-Lex website
Document 02021A0430(01)-20240101
Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
Consolidated text: Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
ELI: http://data.europa.eu/eli/agree_internation/2021/689(1)/2024-01-01
02021A0430(01) — EN — 01.01.2024 — 003.002
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
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TRADE AND COOPERATION (OJ L 149 30.4.2021, p. 10) |
Amended by:
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1.12.2021 |
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L 199 |
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9.8.2023 |
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TRADE AND COOPERATION
Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
PREAMBLE
THE EUROPEAN UNION AND THE EUROPEAN ATOMIC ENERGY COMMUNITY
AND
THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND,
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1. |
REAFFIRMING their commitment to democratic principles, to the rule of law, to human rights, to countering proliferation of weapons of mass destruction and to the fight against climate change, which constitute essential elements of this and supplementing agreements, |
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2. |
RECOGNISING the importance of global cooperation to address issues of shared interest, |
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3. |
RECOGNISING the importance of transparency in international trade and investment to the benefit of all stakeholders, |
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4. |
SEEKING to establish clear and mutually advantageous rules governing trade and investment between the Parties, |
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5. |
CONSIDERING that in order to guarantee the efficient management and correct interpretation and application of this Agreement and any supplementing agreement, as well as compliance with the obligations under those agreements, it is essential to establish provisions ensuring overall governance, in particular dispute settlement and enforcement rules that fully respect the autonomy of the respective legal orders of the Union and of the United Kingdom, as well as the United Kingdom's status as a country outside the European Union, |
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6. |
BUILDING upon their respective rights and obligations under the Marrakesh Agreement Establishing the World Trade Organization, done on 15 April 1994, and other multilateral and bilateral instruments of cooperation, |
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7. |
RECOGNISING the Parties' respective autonomy and rights to regulate within their territories in order to achieve legitimate public policy objectives such as the protection and promotion of public health, social services, public education, safety, the environment including climate change, public morals, social or consumer protection, animal welfare, privacy and data protection and the promotion and protection of cultural diversity, while striving to improve their respective high levels of protection, |
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8. |
BELIEVING in the benefits of a predictable commercial environment that fosters trade and investment between the Parties and prevents the distortion of trade and unfair competitive advantages, in a manner conducive to sustainable development in its economic, social and environmental dimensions, |
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9. |
RECOGNISING the need for an ambitious, wide-ranging and balanced economic partnership to be underpinned by a level playing field for open and fair competition and sustainable development, through effective and robust frameworks for subsidies and competition and a commitment to uphold their respective high levels of protection in the areas of labour and social standards, environment, the fight against climate change, and taxation, |
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10. |
RECOGNISING the need to ensure an open and secure market for businesses, including small and medium-sized enterprises, and their goods and services through addressing unjustified barriers to trade and investment, |
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11. |
NOTING the importance of facilitating new opportunities for businesses and consumers through digital trade, and addressing unjustified barriers to data flows and trade enabled by electronic means, whilst respecting the Parties' personal data protection rules, |
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12. |
DESIRING that this Agreement contribute to consumer welfare through policies ensuring a high level of consumer protection and economic well-being, as well as encouraging cooperation between relevant authorities, |
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13. |
CONSIDERING the importance of cross-border connectivity by air, by road and by sea, for passengers and for goods, and the need to ensure high standards in the provision of transportation services between the Parties, |
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14. |
RECOGNISING the benefits of trade and investment in energy and raw materials and the importance of supporting the delivery of cost efficient, clean and secure energy supplies to the Union and the United Kingdom, |
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15. |
NOTING the interest of the Parties in establishing a framework to facilitate technical cooperation and to develop new trading arrangements for interconnectors which deliver robust and efficient outcomes for all timeframes, |
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16. |
NOTING that cooperation and trade between the Parties in these areas should be based on fair competition in energy markets and non-discriminatory access to networks, |
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17. |
RECOGNISING the benefits of sustainable energy, renewable energy, in particular offshore generation in the North Sea, and energy efficiency, |
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18. |
DESIRING to promote the peaceful use of the waters adjacent to their coasts and the optimum and equitable utilisation of the marine living resources in those waters including the continued sustainable management of shared stocks, |
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NOTING that the United Kingdom withdrew from the European Union and that with effect from 1 January 2021, the United Kingdom is an independent coastal State with corresponding rights and obligations under international law, |
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AFFIRMING that the sovereign rights of the coastal States exercised by the Parties for the purpose of exploring, exploiting, conserving and managing the living resources in their waters should be conducted pursuant to and in accordance with the principles of international law, including the United Nations Convention on the Law of the Sea, done at Montego Bay on 10 December 1982 (United Nations Convention on the Law of the Sea), |
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RECOGNISING the importance of the coordination of social security rights enjoyed by persons moving between the Parties to work, to stay or to reside, as well as the rights enjoyed by their family members and survivors, |
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CONSIDERING that cooperation in areas of shared interest, such as science, research and innovation, nuclear research and space, in the form of the participation of the United Kingdom in the corresponding Union programmes under fair and appropriate conditions will benefit both Parties, |
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CONSIDERING that cooperation between the United Kingdom and the Union relating to the prevention, investigation, detection or prosecution of criminal offences and to the execution of criminal penalties, including the safeguarding against and prevention of threats to public security, will enable the security of the United Kingdom and the Union to be strengthened, |
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24. |
DESIRING that an agreement is concluded between the United Kingdom and the Union to provide a legal base for such cooperation, |
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25. |
ACKNOWLEDGING that the Parties may supplement this Agreement with other agreements forming an integral part of their overall bilateral relations as governed by this Agreement and that the Agreement on Security Procedures for Exchanging and Protecting Classified Information is concluded as such a supplementing agreement and enables the exchange of classified information between the Parties under this Agreement or any other supplementing agreement, |
HAVE AGREED AS FOLLOWS:
PART ONE
COMMON AND INSTITUTIONAL PROVISIONS
TITLE I
GENERAL PROVISIONS
Article 1
Purpose
This Agreement establishes the basis for a broad relationship between the Parties, within an area of prosperity and good neighbourliness characterised by close and peaceful relations based on cooperation, respectful of the Parties' autonomy and sovereignty.
Article 2
Supplementing agreements
Paragraph 1 also applies to:
agreements between the Union and its Member States, of the one part, and the United Kingdom, of the other part; and
agreements between the European Atomic Energy Community, of the one part, and the United Kingdom, of the other part.
Article 3
Good faith
TITLE II
PRINCIPLES OF INTERPRETATION AND DEFINITIONS
Article 4
Public international law
Article 5
Private rights
Article 6
Definitions
For the purposes of this Agreement and any supplementing agreement, and unless otherwise specified, the following definitions apply:
"data subject" means an identified or identifiable natural person; an identifiable person being a person who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data or an online identifier, or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person;
"day" means a calendar day;
"Member State" means a Member State of the European Union;
"personal data" means any information relating to a data subject;
"State" means a Member State or the United Kingdom, as the context requires;
"territory" of a Party means in respect of each Party the territories to which this Agreement applies in accordance with Article 774;
"the transition period" means the transition period provided for in Article 126 of the Withdrawal Agreement; and
"Withdrawal Agreement" means the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community, including its Protocols.
TITLE III
INSTITUTIONAL FRAMEWORK
Article 7
Partnership Council
The Partnership Council shall have the power to:
adopt decisions in respect of all matters where this Agreement or any supplementing agreement so provides;
make recommendations to the Parties regarding the implementation and application of this Agreement or of any supplementing agreement;
adopt, by decision, amendments to this Agreement or to any supplementing agreement in the cases provided for in this Agreement or in any supplementing agreement;
except in relation to Title III of Part One, until the end of the fourth year following the entry into force of this Agreement, adopt decisions amending this Agreement or any supplementing agreement, provided that such amendments are necessary to correct errors, or to address omissions or other deficiencies;
discuss any matter related to the areas covered by this Agreement or by any supplementing agreement;
delegate certain of its powers to the Trade Partnership Committee or to a Specialised Committee, except those powers and responsibilities referred to in point (g) of this paragraph;
by decision, establish Trade Specialised Committees and Specialised Committees, other than those referred to in Article 8(1), dissolve any Trade Specialised Committee or Specialised Committee, or change the tasks assigned to them; and
make recommendations to the Parties regarding the transfer of personal data in specific areas covered by this Agreement or any supplementing agreement.
Article 8
Committees
The following Committees are hereby established:
the Trade Partnership Committee, which addresses matters covered by Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two, Heading Six of Part Two, and Annex 27;
the Trade Specialised Committee on Goods which addresses matters covered by Chapter 1 of Title I of Heading One of Part Two and Chapter 4 of Title VIII of Heading One of Part Two;
the Trade Specialised Committee on Customs Cooperation and Rules of Origin, which addresses matters covered by Chapters 2 and 5 of Title I of Heading One of Part Two, the Protocol on mutual administrative assistance in customs matters and the provisions on customs enforcement of intellectual property rights, fees and charges, customs valuation and repaired goods;
the Trade Specialised Committee on Sanitary and Phytosanitary Measures, which addresses matters covered by Chapter 3 of Title I of Heading One of Part Two;
the Trade Specialised Committee on Technical Barriers to Trade, which addresses matters covered by Chapter 4 of Title I of Heading One of Part Two and Article 323;
the Trade Specialised Committee on Services, Investment and Digital Trade, which addresses matters covered by Titles II to IV of Heading One of Part Two and Chapter 4 of Title VIII of Heading One of Part Two;
the Trade Specialised Committee on Intellectual Property, which addresses matters covered by Title V of Heading One of Part Two;
the Trade Specialised Committee on Public Procurement, which addresses matters covered by Title VI of Heading One of Part Two;
the Trade Specialised Committee on Regulatory Cooperation, which addresses matters covered by Title X of Heading One of Part Two;
the Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development, which addresses matters covered by Title XI of Heading One of Part Two and Annex 27;
the Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties, which addresses matters covered by the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties;
the Specialised Committee on Energy,
which addresses matters covered by Title VIII of Heading One of Part Two, with the exception of Chapter 4, Article 323 and Annex 27, and
which can discuss and provide expertise to the relevant Trade Specialised Committee on matters pertaining to Chapter 4 and Article 323;
the Specialised Committee on Air Transport, which addresses matters covered by Title I of Heading Two of Part Two;
the Specialised Committee on Aviation Safety, which addresses matters covered by Title II of Heading Two of Part Two;
the Specialised Committee on Road Transport, which addresses matters covered by Heading Three of Part Two;
the Specialised Committee on Social Security Coordination, which addresses matters covered by Heading Four of Part Two and the Protocol on Social Security Coordination;
the Specialised Committee on Fisheries, which addresses matters covered by Heading Five of Part Two;
the Specialised Committee on Law Enforcement and Judicial Cooperation, which addresses matters covered by Part Three; and
the Specialised Committee on Participation in Union Programmes, which addresses matters covered by Part Five.
With respect to issues related to Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two, Heading Six of Part Two and Annex 27, the Trade Partnership Committee referred to in paragraph 1 of this Article shall have the power to:
assist the Partnership Council in the performance of its tasks and, in particular, report to the Partnership Council and carry out any task assigned to it by the latter;
supervise the implementation of this Agreement or any supplementing agreement;
adopt decisions or make recommendations as provided for in this Agreement or any supplementing agreement or where such power has been delegated to it by the Partnership Council;
supervise the work of the Trade Specialised Committees referred to in paragraph 1 of this Article;
explore the most appropriate way to prevent or solve any difficulty that may arise in relation to the interpretation and application of this Agreement or any supplementing agreement, without prejudice to Title I of Part Six;
exercise the powers delegated to it by the Partnership Council pursuant to point (f) of Article 7(4);
establish, by decision, Trade Specialised Committees other than those referred to in paragraph 1 of this Article, dissolve any such Trade Specialised Committee, or change the tasks assigned to them; and
establish, supervise, coordinate and dissolve Working Groups, or delegate their supervision to a Trade Specialised Committee.
With respect to issues related to their area of competence, Trade Specialised Committees shall have the power to:
monitor and review the implementation and ensure the proper functioning of this Agreement or any supplementing agreement;
assist the Trade Partnership Committee in the performance of its tasks and, in particular, report to the Trade Partnership Committee and carry out any task assigned to them by it;
conduct the preparatory technical work necessary to support the functions of the Partnership Council and the Trade Partnership Committee, including when those bodies have to adopt decisions or recommendations;
adopt decisions in respect of all matters where this Agreement or any supplementing agreement so provides;
discuss technical issues arising from the implementation of this Agreement or of any supplementing agreement, without prejudice to Title I of Part Six; and
provide a forum for the Parties to exchange information, discuss best practices and share implementation experience.
With respect to issues related to their area of competence, Specialised Committees shall have the power to:
monitor and review the implementation and ensure the proper functioning of this Agreement or any supplementing agreement;
assist the Partnership Council in the performance of its tasks and, in particular, report to the Partnership Council and carry out any task assigned to them by it;
adopt decisions, including amendments, and recommendations in respect of all matters where this Agreement or any supplementing agreement so provides or for which the Partnership Council has delegated its powers to a Specialised Committee in accordance with point (f) of Article 7(4);
discuss technical issues arising from the implementation of this Agreement or any supplementing agreement;
provide a forum for the Parties to exchange information, discuss best practices and share implementation experience;
establish, supervise, coordinate and dissolve Working Groups; and
provide a forum for consultation pursuant to Article 738(7).
Article 9
Working Groups
The following Working Groups are hereby established:
the Working Group on Organic Products, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
the Working Group on Motor Vehicles and Parts, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
the Working Group on Medicinal Products, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
the Working Group on Social Security Coordination, under the supervision of the Specialised Committee on Social Security Coordination.
Article 10
Decisions and recommendations
Article 11
Parliamentary cooperation
Upon its establishment, the Parliamentary Partnership Assembly:
may request relevant information regarding the implementation of this Agreement and any supplementing agreement from the Partnership Council, which shall then supply that Assembly with the requested information;
shall be informed of the decisions and recommendations of the Partnership Council; and
may make recommendations to the Partnership Council.
Article 12
Participation of civil society
The Parties shall consult civil society on the implementation of this Agreement and any supplementing agreement, in particular through interaction with the domestic advisory groups and the Civil Society Forum referred to in Articles 13 and 14.
Article 13
Domestic advisory groups
Article 14
Civil Society Forum
PART TWO
TRADE, TRANSPORT, FISHERIES AND OTHER ARRANGEMENTS
HEADING ONE
TRADE
TITLE I
TRADE IN GOODS
CHAPTER 1
NATIONAL TREATMENT AND MARKET ACCESS FOR GOODS (INCLUDING TRADE REMEDIES)
Article 15
Objective
The objective of this Chapter is to facilitate trade in goods between the Parties and to maintain liberalised trade in goods in accordance with the provisions of this Agreement.
Article 16
Scope
Except as otherwise provided, this Chapter applies to trade in goods of a Party.
Article 17
Definitions
For the purposes of this Chapter, the following definitions apply:
"consular transactions" means the procedure of obtaining from a consul of the importing Party in the territory of the exporting Party, or in the territory of a third party, a consular invoice or a consular visa for a commercial invoice, certificate of origin, manifest, shipper's export declaration or any other customs documentation in connection with the importation of the good;
"Customs Valuation Agreement" means the Agreement on Implementation of Article VII of GATT 1994;
"export licensing procedure" means an administrative procedure, whether or not referred to as licensing, used by a Party for the operation of export licensing regimes, requiring the submission of an application or other documentation, other than that generally required for customs clearance purposes, to the relevant administrative body as a prior condition for exportation from that Party;
"import licensing procedure" means an administrative procedure, whether or not referred to as licensing, used by a Party for the operation of import licensing regimes, requiring the submission of an application or other documentation, other than that generally required for customs clearance purposes, to the relevant administrative body or bodies as a prior condition for importation into the territory of the importing Party;
"originating goods" means, unless otherwise provided, a good qualifying under the rules of origin set out in Chapter 2 of this Title;
"performance requirement" means a requirement that:
a given quantity, value or percentage of goods be exported;
goods of the Party granting an import licence be substituted for imported goods;
a person benefiting from an import licence purchase other goods in the territory of the Party granting the import licence, or accord a preference to domestically produced goods;
a person benefiting from an import licence produce goods in the territory of the Party granting the import licence, with a given quantity, value or percentage of domestic content; or
relates in whatever form to the volume or value of imports, to the volume or value of exports or to the amount of foreign exchange flows;
"remanufactured good" means a good classified under HS Chapters 32, 40, 84 to 90, 94 or 95 that:
is entirely or partially composed of parts obtained from used goods;
has similar life expectancy and performance compared with such goods, when new; and
is given an equivalent warranty to as that applicable to such goods when new; and
"repair" means any processing operation undertaken on a good to remedy operating defects or material damage and entailing the re-establishment of the good to its original function or to ensure compliance with technical requirements for its use. Repair of a good includes restoration and maintenance, with a possible increase in the value of the good from restoring the original functionality of that good, but does not include an operation or process that:
destroys the essential characteristics of a good, or creates a new or commercially different good;
transforms an unfinished good into a finished good; or
is used to improve or upgrade the technical performance of a good.
Article 18
Classification of goods
The classification of goods in trade between the Parties under this Agreement is set out in each Party's respective tariff nomenclature in conformity with the Harmonised System.
Article 19
National treatment on internal taxation and regulation
Each Party shall accord national treatment to the goods of the other Party in accordance with Article III of GATT 1994 including its Notes and Supplementary Provisions. To that end, Article III of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, mutatis mutandis.
Article 20
Freedom of transit
Each Party shall accord freedom of transit through its territory, via the routes most convenient for international transit, for traffic in transit to or from the territory of the other Party or of any other third country. To that end, Article V of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, mutatis mutandis. The Parties understand that Article V of GATT 1994 includes the movement of energy goods via inter alia pipelines or electricity grids.
Article 21
Prohibition of customs duties
Except as otherwise provided for in this Agreement, customs duties on all goods originating in the other Party shall be prohibited.
Article 22
Export duties, taxes or other charges
Article 23
Fees and formalities
Each Party may impose charges or recover costs only where specific services are rendered, in particular, but not limited to, the following:
attendance, where requested, by customs staff outside official office hours or at premises other than customs premises;
analyses or expert reports on goods and postal fees for the return of goods to an applicant, particularly in respect of decisions relating to binding information or the provision of information concerning the application of the customs laws and regulations;
the examination or sampling of goods for verification purposes, or the destruction of goods, where costs other than the cost of using customs staff are involved; and
exceptional control measures, if these are necessary due to the nature of the goods or to a potential risk.
Article 24
Repaired goods
Article 25
Remanufactured goods
Article 26
Import and export restrictions
A Party shall not adopt or maintain:
export and import price requirements, except as permitted in enforcement of countervailing and anti-dumping duty orders and undertakings; or
import licensing conditioned on the fulfilment of a performance requirement.
Article 27
Import and export monopolies
A Party shall not designate or maintain an import or export monopoly. For the purposes of this Article, import or export monopoly means the exclusive right or grant of authority by a Party to an entity to import a good from, or export a good to, the other Party.
Article 28
Import licensing procedures
Article 29
Export licensing procedures
The publication of export licensing procedures shall include the following information:
the texts of the Party's export licensing procedures, or of any modifications the Party makes to those procedures;
the goods subject to each licensing procedure;
for each procedure, a description of the process for applying for a licence and any criteria an applicant must meet to be eligible to apply for a licence, such as possessing an activity licence, establishing or maintaining an investment, or operating through a particular form of establishment in a Party's territory;
a contact point or points from which interested persons can obtain further information on the conditions for obtaining an export licence;
the administrative body or bodies to which an application or other relevant documentation are to be submitted;
a description of any measure or measures being implemented through the export licensing procedure;
the period during which each export licensing procedure will be in effect, unless the procedure remains in effect until withdrawn or revised in a new publication;
if the Party intends to use a licensing procedure to administer an export quota, the overall quantity and, if applicable, the value of the quota and the opening and closing dates of the quota; and
any exemptions or exceptions that replace the requirement to obtain an export licence, how to request or use those exemptions or exceptions, and the criteria for granting them.
Article 30
Customs valuation
Each Party shall determine the customs value of goods of the other Party imported into its territory in accordance with Article VII of GATT 1994 and the Customs Valuation Agreement. To that end, Article VII of GATT 1994 including its Notes and Supplementary Provisions, and Articles 1 to 17 of the Customs Valuation Agreement including its Interpretative Notes, are incorporated into and made part of this Agreement, mutatis mutandis.
Article 31
Preference utilisation
Article 32
Trade remedies
A Party shall not apply or maintain, with respect to the same good, at the same time:
a measure pursuant to Article 5 of the Agreement on Agriculture; and
a measure pursuant to Article XIX of GATT 1994 and the Safeguards Agreement.
Article 33
Use of existing WTO tariff rate quotas
Article 34
Measures in case of breaches or circumventions of customs legislation
Subject to the possibility of exemption for compliant traders under paragraph 7, a Party may temporarily suspend the relevant preferential treatment of the product or products concerned in accordance with the procedure laid down in paragraphs 3 and 4 if:
that Party has made a finding, based on objective, compelling and verifiable information, that systematic and large-scale breaches or circumventions of customs legislation have been committed, and;
the other Party repeatedly and unjustifiably refuses or otherwise fails to comply with the obligations referred to in paragraph 1.
Article 35
Management of administrative errors
In case of systematic errors by the competent authorities or issues concerning the proper management of the preferential system at export, concerning notably the application of the provisions of Chapter 2 of this Title or the application of the Protocol on Mutual Administrative Assistance in Customs Matters, and if these errors or issues lead to consequences in terms of import duties, the Party facing such consequences may request the Trade Partnership Committee to examine the possibility of adopting decisions, as appropriate, to resolve the situation.
Article 36
Cultural property
For the purposes of this Article, the following definitions apply:
"cultural property" means property classified or defined as being among the national treasures possessing artistic, historic or archaeological value under the respective rules and procedures of each Party; and
"illicitly removed from the territory of a Party" means:
removed from the territory of a Party on or after 1 January 1993 in breach of that Party's rules on the protection of national treasures or in breach of its rules on the export of cultural property; or
not returned at the end of a period of lawful temporary removal or any breach of another condition governing such temporary removal, on or after 1 January 1993.
The competent authorities of the Parties shall cooperate with each other in particular by:
notifying the other Party where cultural property is found in their territory and there are reasonable grounds for believing that the cultural property has been illicitly removed from the territory of the other Party;
addressing requests of the other Party for the return of cultural property which has been illicitly removed from the territory of that Party;
preventing any actions to evade the return of such cultural property, by means of any necessary interim measures; and
taking any necessary measures for the physical preservation of cultural property which has been illicitly removed from the territory of the other Party.
CHAPTER 2
RULES OF ORIGIN
SECTION 1
RULES OF ORIGIN
Article 37
Objective
The objective of this Chapter is to lay down the provisions determining the origin of goods for the purpose of application of preferential tariff treatment under this Agreement, and setting out related origin procedures.
Article 38
Definitions
For the purposes of this Chapter, the following definitions apply:
"classification" means the classification of a product or material under a particular chapter, heading, or sub-heading of the Harmonised System;
"consignment" means products which are either sent simultaneously from one exporter to one consignee or covered by a single transport document covering their shipment from the exporter to the consignee or, in the absence of such a document, by a single invoice;
"exporter" means a person, located in a Party, who, in accordance with the requirements laid down in the laws and regulations of that Party, exports or produces the originating product and makes out a statement on origin;
"importer" means a person who imports the originating product and claims preferential tariff treatment for it;
"material" means any substance used in the production of a product, including any components, ingredients, raw materials, or parts;
"non-originating material" means a material which does not qualify as originating under this Chapter, including a material whose originating status cannot be determined;
"product" means the product resulting from the production, even if it is intended for use as a material in the production of another product;
"production" means any kind of working or processing including assembly.
Article 39
General requirements
For the purposes of applying the preferential tariff treatment by a Party to the originating good of the other Party in accordance with this Agreement, provided that the products satisfy all other applicable requirements of this Chapter, the following products shall be considered as originating in the other Party:
products wholly obtained in that Party within the meaning of Article 41;
products produced in that Party exclusively from originating materials in that Party; and
products produced in that Party incorporating non-originating materials provided they satisfy the requirements set out in Annex 3.
Article 40
Cumulation of origin
Article 41
Wholly obtained products
The following products shall be considered as wholly obtained in a Party:
mineral products extracted or taken from its soil or from its seabed;
plants and vegetable products grown or harvested there;
live animals born and raised there;
products obtained from live animals raised there;
products obtained from slaughtered animals born and raised there;
products obtained by hunting or fishing conducted there;
products obtained from aquaculture there if aquatic organisms, including fish, molluscs, crustaceans, other aquatic invertebrates and aquatic plants are born or raised from seed stock such as eggs, roes, fry, fingerlings, larvae, parr, smolts or other immature fish at a post-larval stage by intervention in the rearing or growth processes to enhance production such as regular stocking, feeding or protection from predators;
products of sea fishing and other products taken from the sea outside any territorial sea by a vessel of a Party;
products made aboard of a factory ship of a Party exclusively from products referred to in point (h);
products extracted from the seabed or subsoil outside any territorial sea provided that they have rights to exploit or work such seabed or subsoil;
waste and scrap resulting from production operations conducted there;
waste and scrap derived from used products collected there, provided that those products are fit only for the recovery of raw materials;
products produced there exclusively from the products specified in points (a) to (l).
The terms "vessel of a Party" and "factory ship of a Party" in points (h) and (i) of paragraph 1 mean a vessel and factory ship which:
is registered in a Member State or in the United Kingdom;
sails under the flag of a Member State or of the United Kingdom; and
meets one of the following conditions:
it is at least 50 % owned by nationals of a Member State or of the United Kingdom; or
it is owned by legal persons which each:
have their head office and main place of business in the Union or the United Kingdom; and
are at least 50 % owned by public entities, nationals or legal persons of a Member State or the United Kingdom.
Article 42
Tolerances
If a product does not satisfy the requirements set out in Annex 3 due to the use of a non-originating material in its production, that product shall nevertheless be considered as originating in a Party, provided that:
the total weight of non-originating materials used in the production of products classified under Chapters 2 and 4 to 24 of the Harmonised System, other than processed fishery products classified under Chapter 16, does not exceed 15 % of the weight of the product;
the total value of non-originating materials for all other products, except for products classified under Chapters 50 to 63 of the Harmonised System, does not exceed 10 % of the ex-works price of the product; or
for a product classified under Chapters 50 to 63 of the Harmonised System, the tolerances set out in Notes 7 and 8 of Annex 2 apply.
Article 43
Insufficient production
Notwithstanding point (c) of Article 39(1), a product shall not be considered as originating in a Party if the production of the product in a Party consists only of one or more of the following operations conducted on non-originating materials:
preserving operations such as drying, freezing, keeping in brine and other similar operations where their sole purpose is to ensure that the products remain in good condition during transport and storage; ( 2 )
breaking-up or assembly of packages;
washing, cleaning; removal of dust, oxide, oil, paint or other coverings;
ironing or pressing of textiles and textile articles;
simple painting and polishing operations;
husking and partial or total milling of rice; polishing and glazing of cereals and rice; bleaching of rice;
operations to colour or flavour sugar or form sugar lumps; partial or total milling of sugar in solid form;
peeling, stoning and shelling, of fruits, nuts and vegetables;
sharpening, simple grinding or simple cutting;
sifting, screening, sorting, classifying, grading, matching including the making-up of sets of articles;
simple placing in bottles, cans, flasks, bags, cases, boxes, fixing on cards or boards and all other simple packaging operations;
affixing or printing marks, labels, logos and other like distinguishing signs on products or their packaging;
simple mixing of products, whether or not of different kinds; mixing of sugar with any material;
simple addition of water or dilution with water or another substance that does not materially alter the characteristics of the product, or dehydration or denaturation of products;
simple assembly of parts of articles to constitute a complete article or disassembly of products into parts;
slaughter of animals.
Article 44
Unit of qualification
Article 45
Packing materials and containers for shipment
Packing materials and containers for shipment that are used to protect a product during transportation shall be disregarded in determining whether a product is originating.
Article 46
Packaging materials and containers for retail sale
Packaging materials and containers in which the product is packaged for retail sale, if classified with the product, shall be disregarded in determining the origin of the product, except for the purposes of calculating the value of non-originating materials if the product is subject to a maximum value of non-originating materials in accordance with Annex 3.
Article 47
Accessories, spare parts and tools
Accessories, spare parts, tools and instructional or other information materials shall be regarded as one product with the piece of equipment, machine, apparatus or vehicle in question if they:
are classified and delivered with, but not invoiced separately from, the product; and
are of the types, quantities and value which are customary for that product.
Article 48
Sets
Sets, as defined in General Rule 3 for the Interpretation of the Harmonised System, shall be considered as originating in a Party if all of their components are originating. If a set is composed of originating and non-originating components, the set as a whole shall be considered as originating in a Party if the value of the non-originating components does not exceed 15 % of the ex-works price of the set.
Article 49
Neutral elements
In order to determine whether a product is originating in a Party, it shall not be necessary to determine the origin of the following elements, which might be used in its production:
fuel, energy, catalysts and solvents;
plant, equipment, spare parts and materials used in the maintenance of equipment and buildings;
machines, tools, dies and moulds;
lubricants, greases, compounding materials and other materials used in production or used to operate equipment and buildings;
gloves, glasses, footwear, clothing, safety equipment and supplies;
equipment, devices and supplies used for testing or inspecting the product; and
other materials used in the production which are not incorporated into the product nor intended to be incorporated into the final composition of the product.
Article 50
Accounting segregation
Article 51
Returned products
If a product originating in a Party exported from that Party to a third country returns to that Party, it shall be considered as a non-originating product unless it can be demonstrated to the satisfaction of the customs authority of that Party that the returning product:
is the same as that exported; and
has not undergone any operation other than what was necessary to preserve it in good condition while in that third country or while being exported.
Article 52
Non-alteration
Article 53
Review of drawback of, or exemption from, customs duties
Not earlier than two years from the entry into force of this Agreement, at the request of either Party, the Trade Specialised Committee on Customs Cooperation and Rules of Origin shall review the Parties' respective duty drawback and inward-processing schemes. For that purpose, at the request of a Party, no later than 60 days from that request, the other Party shall provide the requesting Party with available information and detailed statistics covering the period from the entry into force of this Agreement, or the previous five years if that period is shorter, on the operation of its duty-drawback and inward-processing scheme. In the light of this review, the Trade Specialised Committee on Customs Cooperation and Rules of Origin may make recommendations to the Partnership Council for the amendment of the provisions of this Chapter and its Annexes, with a view to introducing limitations or restrictions with respect to drawback of or exemption from customs duties.
SECTION 2
ORIGIN PROCEDURES
Article 54
Claim for preferential tariff treatment
A claim for preferential tariff treatment shall be based on:
a statement on origin that the product is originating made out by the exporter; or
the importer's knowledge that the product is originating.
Article 55
Time of the claim for preferential tariff treatment
By way of derogation from paragraph 1 of this Article, if the importer did not make a claim for preferential tariff treatment at the time of importation, the importing Party shall grant preferential tariff treatment and repay or remit any excess customs duty paid provided that:
the claim for preferential tariff treatment is made no later than three years after the date of importation, or such longer time period as specified in the laws and regulations of the importing Party;
the importer provides the basis for the claim as referred to in Article 54(2); and
the product would have been considered originating and would have satisfied all other applicable requirements within the meaning of Section 1 of this Chapter if it had been claimed by the importer at the time of importation.
The other obligations applicable to the importer under Article 54 remain unchanged.
Article 56
Statement on origin
A statement on origin may apply to:
a single shipment of one or more products imported into a Party; or
multiple shipments of identical products imported into a Party within the period specified in the statement on origin, which shall not exceed 12 months.
Article 57
Discrepancies
The customs authority of the importing Party shall not reject a claim for preferential tariff treatment due to minor errors or discrepancies in the statement on origin, or for the sole reason that an invoice was issued in a third country.
Article 58
Importer's knowledge
Article 59
Record-keeping requirements
For a minimum of three years after the date of importation of the product, an importer making a claim for preferential tariff treatment for a product imported into the importing Party shall keep:
if the claim was based on a statement on origin, the statement on origin made out by the exporter; or
if the claim was based on the importer's knowledge, all records demonstrating that the product satisfies the requirements for obtaining originating status.
Article 60
Small consignments
By way of derogation from Articles 54 to 58, provided that the product has been declared as meeting the requirements of this Chapter and the customs authority of the importing Party has no doubts as to the veracity of that declaration, the importing Party shall grant preferential tariff treatment to:
a product sent in a small package from private persons to private persons;
a product forming part of a traveller's personal luggage; and
for the United Kingdom, in addition to points (a) and (b) of this Article, other low value consignments.
The following products are excluded from the application of paragraph 1 of this Article:
products, the importation of which forms part of a series of importations that may reasonably be considered to have been made separately for the purpose of avoiding the requirements of Article 54;
for the Union:
a product imported by way of trade; the imports which are occasional and consist solely of products for the personal use of the recipients or travellers or their families are not be considered as imports by way of trade if it is evident from the nature and quantity of the products that no commercial purpose is intended; and
products, the total value of which exceeds EUR 500 in the case of products sent in small packages, or EUR 1 200 in the case of products forming part of a traveller's personal luggage. The amounts to be used in a given national currency shall be the equivalent in that currency of the amounts expressed in euro as at the first working day of October. The exchange rate amounts shall be those published for that day by the European Central Bank, unless a different amount is communicated to the European Commission by 15 October, and shall apply from 1 January the following year. The European Commission shall notify the United Kingdom of the relevant amounts. The Union may establish other limits which it will communicate to the United Kingdom; and
for the United Kingdom, products whose total value exceeds the limits set under the domestic law of the United Kingdom. The United Kingdom will communicate these limits to the Union.
Article 61
Verification
The information requested pursuant to paragraph 1 shall cover no more than the following elements:
if the claim was based on a statement on origin, that statement on origin; and
information pertaining to the fulfilment of origin criteria, which is:
where the origin criterion is "wholly obtained", the applicable category (such as harvesting, mining, fishing) and the place of production;
where the origin criterion is based on change in tariff classification, a list of all the non-originating materials, including their tariff classification (in 2, 4 or 6-digit format, depending on the origin criterion);
where the origin criterion is based on a value method, the value of the final product as well as the value of all the non-originating materials used in the production of that product;
where the origin criterion is based on weight, the weight of the final product as well as the weight of the relevant non-originating materials used in the final product;
where the origin criterion is based on a specific production process, a description of that specific process.
Article 62
Administrative cooperation
If the claim for preferential tariff treatment was based on a statement on origin, as appropriate after having first requested information in accordance with Article 61(1) and based on the reply from the importer, the customs authority of the importing Party conducting the verification may also request information from the customs authority of the exporting Party within a period of two years after the importation of the products, or from the moment the claim is made pursuant to point (a) of Article 55(2) if the customs authority of the importing Party conducting the verification considers that additional information is necessary in order to verify the originating status of the product or to verify that the other requirements provided for in this Chapter have been met. The request for information shall include the following elements:
the statement on origin;
the identity of the customs authority issuing the request;
the name of the exporter;
the subject and scope of the verification; and
any relevant documentation.
In addition, the customs authority of the importing Party may request the customs authority of the exporting Party to provide specific documentation and information, where appropriate.
Without prejudice to paragraph 5, the customs authority of the exporting Party receiving the request referred to in paragraph 2 shall provide the customs authority of the importing Party with the following information:
the requested documentation, where available;
an opinion on the originating status of the product;
the description of the product that is subject to examination and the tariff classification relevant to the application of this Chapter;
a description and explanation of the production process that is sufficient to support the originating status of the product;
information on the manner in which the examination of the product was conducted; and
supporting documentation, where appropriate.
Article 63
Denial of preferential tariff treatment
Without prejudice to paragraph 3, the customs authority of the importing Party may deny preferential tariff treatment, if:
within three months after the date of a request for information pursuant to Article 61(1):
no reply has been provided by the importer;
where the claim for preferential tariff treatment was based on a statement on origin, no statement on origin has been provided; or
where the claim for preferential tariff treatment was based on the importer's knowledge, the information provided by the importer is inadequate to confirm that the product is originating;
within three months after the date of a request for additional information pursuant to Article 61(5):
no reply has been provided by the importer; or
the information provided by the importer is inadequate to confirm that the product is originating;
within 10 months ( 3 ) after the date of a request for information pursuant to Article 62(2):
no reply has been provided by the customs authority of the exporting Party; or
the information provided by the customs authority of the exporting Party is inadequate to confirm that the product is originating.
If such notification is made, consultations shall be held at the request of either Party, within three months after the date of the notification. The period for consultation may be extended on a case-by-case basis by mutual agreement between the customs authorities of the Parties. The consultation may take place in accordance with the procedure set by the Trade Specialised Committee on Customs Cooperation and Rules of Origin.
Upon the expiry of the period for consultation, if the customs authority of the importing Party cannot confirm that the product is originating, it may deny the preferential tariff treatment if it has a sufficient justification for doing so and after having granted the importer the right to be heard. However, when the customs authority of the exporting Party confirms the originating status of the products and provides justification for such conclusion, the customs authority of the importing Party shall not deny preferential tariff treatment to a product on the sole ground that Article 62(5) has been applied.
Article 64
Confidentiality
Article 65
Administrative measures and sanctions
Each Party shall ensure the effective enforcement of this Chapter. Each Party shall ensure that the competent authorities are able to impose administrative measures, and, where appropriate, sanctions, in accordance with its laws and regulations, on any person who draws up a document, or causes a document to be drawn up, which contains incorrect information that was provided for the purpose of obtaining a preferential tariff treatment for a product, who does not comply with the requirements set out in Article 59, or who does not provide the evidence, or refuses to submit to a visit, as referred to in Article 62(3).
SECTION 3
OTHER PROVISIONS
Article 66
Ceuta and Melilla
Article 67
Transitional provisions for products in transit or storage
The provisions of this Agreement may be applied to products which comply with the provisions of this Chapter and which on the date of entry into force of this Agreement are either in transit from the exporting Party to the importing Party or under customs control in the importing Party without payment of import duties and taxes, subject to the making of a claim for preferential tariff treatment referred to in Article 54 to the customs authority of the importing Party, within 12 months of that date.
Article 68
Amendment to this Chapter and its Annexes
Paragraph 1 shall not apply to:
Annex 5 to this Agreement;
the product-specific rules of origin set out in Annex 3 for products listed in Annex 5, until 1 January 2032; and
this Article, insofar as it relates to Annex 3 for products listed in Annex 5, and Annex 5, until 1 January 2032;
However, paragraph 1 shall apply where the product-specific rules of origin set out in Annex 3 for products listed in Annex 5, or in Annex 5 are amended due to updates of the Harmonised System.
CHAPTER 3
SANITARY AND PHYTOSANITARY MEASURES
Article 69
Objectives
The objectives of this Chapter are to:
protect human, animal and plant life or health in the territories of the Parties while facilitating trade between the Parties;
further the implementation of the SPS Agreement;
ensure that the Parties' sanitary and phytosanitary ("SPS") measures do not create unnecessary barriers to trade;
promote greater transparency and understanding on the application of each Party's SPS measures;
enhance cooperation between the Parties in the fight against antimicrobial resistance, promotion of sustainable food systems, protection of animal welfare, and on electronic certification;
enhance cooperation in the relevant international organisations to develop international standards, guidelines and recommendations on animal health, food safety and plant health; and
promote implementation by each Party of international standards, guidelines and recommendations.
Article 70
Scope
Article 71
Definitions
For the purposes of this Chapter, the following definitions apply:
the definitions contained in Annex A of the SPS Agreement;
the definitions adopted under the auspices of the Codex Alimentarius Commission (the "Codex");
the definitions adopted under the auspices of the World Organisation for Animal Health (the "OIE"); and
the definitions adopted under the auspices of the International Plant Protection Convention (the "IPPC").
For the purposes of this Chapter, the following definitions apply:
"import conditions" means any SPS measures that are required to be fulfilled for the import of products; and
"protected zone" for a specified regulated plant pest means an officially defined geographical area in which that pest is not established in spite of favourable conditions and its presence in other parts of the territory of the Party, and into which that pest is not allowed to be introduced.
Article 72
Rights and obligations
The Parties reaffirm their rights and obligations under the SPS Agreement. This includes the right to adopt measures in accordance with Article 5(7) of the SPS Agreement.
Article 73
General principles
Regarding trade-related SPS procedures and approvals established under this Chapter, each Party shall ensure that those procedures and related SPS measures:
are initiated and completed without undue delay;
do not include unnecessary, scientifically and technically unjustified or unduly burdensome information requests that might delay access to each other's markets;
are not applied in a manner which would constitute arbitrary or unjustifiable discrimination against the other Party's entire territory or parts of the other Party's territory where identical or similar SPS conditions exist; and
are proportionate to the risks identified and not more trade restrictive than necessary to achieve the importing Party's appropriate level of protection.
Article 74
Official certification
Where the importing Party requires official certificates, the model certificates shall be:
set in line with the principles as laid down in the international standards of the Codex, the IPPC and the OIE; and
applicable to imports from all parts of the territory of the exporting Party.
Article 75
Import conditions and procedures
In relation to the processes set out in paragraphs 3 to 8, the following actions shall be taken:
as soon as the importing Party has positively concluded its assessment, it shall promptly take all necessary legislative and administrative measures to allow trade to take place without undue delay;
the exporting Party shall:
provide all relevant information required by the importing Party; and
give reasonable access to the importing Party for audit and other relevant procedures.
the importing party shall establish a list of regulated pests for products, or other related objects, where a phytosanitary concern exists. That list shall contain:
the pests not known to occur within any part of its own territory;
the pests known to occur within its own territory and under official control;
the pests known to occur within parts of its own territory and for which pest free areas or protected zones are established; and
non-quarantine pests known to occur within its own territory and under official control for specified planting material.
Article 76
Lists of approved establishments
Article 77
Transparency and exchange of information
Each Party shall pursue transparency as regards SPS measures applicable to trade and shall for those purposes undertake the following actions:
promptly communicate to the other Party any changes to its SPS measures and approval procedures, including changes that may affect its capacity to fulfil the SPS import requirements of the other Party for certain products;
enhance mutual understanding of its SPS measures and their application;
exchange information with the other Party on matters related to the development and application of SPS measures, including the progress on new available scientific evidence, that affect, or may affect, trade between the Parties with a view to minimising negative trade effects;
upon request of the other Party, communicate the conditions that apply for the import of specific products within 20 working days;
upon request of the other Party, communicate the state of play of the procedure for the authorisation of specific products within 20 working days;
communicate to the other Party any significant change to the structure or organisation of a Party's competent authority;
on request, communicate the results of a Party's official control and a report that concerns the results of the control carried out;
on request, communicate the results of an import check provided for in case of a rejected or a non-compliant consignment; and
on request, communicate, without undue delay, a risk assessment or scientific opinion produced by a Party that is relevant to this Chapter.
Article 78
Adaptation to regional conditions
Article 79
Audits and verifications
The importing Party may carry out audits and verifications of the following:
all or part of the other Party's authorities' inspection and certification system;
the results of the controls carried out under the exporting Party's inspection and certification system.
For the purposes of carrying out such audits and verifications, the importing Party may conduct audits and verifications by means of requests of information from the exporting Party or audit and verification visits to the exporting Party, which may include:
an assessment of all or part of the responsible authorities' total control programme, including, where appropriate, reviews of regulatory audit and inspection activities;
on-the-spot checks; and
the collection of information and data to assess the causes of recurring or emerging problems in relation to exports of products.
Article 80
Notification and consultation
A Party shall notify the other Party without undue delay of:
a significant change to pest or disease status;
the emergence of a new animal disease;
a finding of epidemiological importance with respect to an animal disease;
a significant food safety issue identified by a Party;
any additional measures beyond the basic requirements of their respective SPS measures taken to control or eradicate animal disease or protect human health, and any changes in preventive policies, including vaccination policies;
on request, the results of a Party's official control and a report that concerns the results of the control carried out; and
any significant changes to the functions of a system or database.
Article 81
Emergency measures
Article 82
Multilateral international fora
The Parties agree to cooperate in multilateral international fora on the development of international standards, guidelines and recommendations in the areas under the scope of this Chapter.
Article 83
Implementation and competent authorities
For the purposes of the implementation of this Chapter, each Party shall take all of the following into account:
decisions of the WTO SPS Committee;
the work of the relevant international standard setting bodies;
any knowledge and past experience it has of trading with the exporting Party; and
information provided by the other Party.
Article 84
Cooperation on animal welfare
Article 85
Cooperation on antimicrobial resistance
The dialogue referred to in paragraph 1 shall cover, inter alia:
collaboration to follow up existing and future guidelines, standards, recommendations and actions developed in relevant international organisations and existing and future initiatives and national plans aiming to promote the prudent and responsible use of antibiotics and relating to animal production and veterinary practices;
collaboration in the implementation of the recommendations of OIE, WHO and Codex, in particular CAC-RCP61/2005;
the exchange of information on good farming practices;
the promotion of research, innovation and development;
the promotion of multidisciplinary approaches to combat antimicrobial resistance, including the One Health approach of the WHO, OIE and Codex.
Article 86
Sustainable food systems
Each Party shall encourage its food safety, animal and plant health services to cooperate with their counterparts in the other Party with the aim of promoting sustainable food production methods and food systems.
Article 87
Trade Specialised Committee on Sanitary and Phytosanitary Measures
The Trade Specialised Committee on Sanitary and Phytosanitary Measures shall supervise the implementation and operation of this Chapter and have the following functions:
promptly clarifying and addressing, where possible, any issue raised by a Party relating to the development, adoption or application of sanitary and phytosanitary requirements, standards and recommendations under this Chapter or the SPS Agreement;
discussing ongoing processes on the development of new regulations;
discussing as expeditiously as possible concerns expressed by a Party with regard to the SPS import conditions and procedures applied by the other Party;
regularly reviewing the Parties' SPS measures, including certification requirements and border clearance processes, and their application, in order to facilitate trade between the Parties, in accordance with the principles, objectives and procedures set out in Article 5 of the SPS Agreement. Each Party shall identify any appropriate action it will take, including in relation to the frequency of identity and physical checks, taking into consideration the results of this review and based on the criteria laid down in Annex 10 of this Agreement;
exchanging views, information, and experiences with respect to the cooperation activities on protecting animal welfare and the fight against antimicrobial resistance carried out under Articles 84 and 85;
on request of a Party, considering what constitutes a significant change in the disease or pest situation referred to in Article 78(9);
adopting decisions to:
add definitions as referred to in Article 71;
define the specific cases referred to in Article 74(2);
define details for the procedures referred to in Article 78(1);
establish other ways to support the explanations referred to in Article 78(5) and (7).
CHAPTER 4
TECHNICAL BARRIERS TO TRADE
Article 88
Objective
The objective of this Chapter is to facilitate trade in goods between the Parties by preventing, identifying and eliminating unnecessary technical barriers to trade.
Article 89
Scope
This Chapter does not apply to:
purchasing specifications prepared by governmental bodies for production or consumption requirements of such bodies; or
SPS measures that fall within the scope of Chapter 3 of this Title.
Article 90
Relationship with the TBT Agreement
Article 91
Technical regulations
A standard developed by other international organisations may also be considered a relevant international standard within the meaning of Article 2, Article 5 and Annex 3 of the TBT Agreement, provided that:
it has been developed by a standardising body which seeks to establish consensus either:
among national delegations of the participating WTO Members representing all the national standardising bodies in their territory that have adopted, or expect to adopt, standards on the subject matter to which the international standardisation activity relates, or,
among governmental bodies of participating WTO Members; and
it has been developed in accordance with the Decision of the WTO Committee on Technical Barriers to Trade on Principles for the Development of International Standards, Guides and Recommendations with relation to Articles 2, 5, and Annex 3 of the TBT Agreement. ( 4 )
Article 92
Standards
Each Party shall encourage the standardising bodies established within its territory, as well as the regional standardising bodies of which a Party or the standardising bodies established in its territory are members:
to participate, within the limits of their resources, in the preparation of international standards by relevant international standardising bodies;
to use relevant international standards as a basis for the standards they develop, except where such international standards would be ineffective or inappropriate, for example because of an insufficient level of protection, fundamental climatic or geographical factors or fundamental technological problems;
to avoid duplications of, or overlaps with, the work of international standardising bodies;
to review national and regional standards that are not based on relevant international standards at regular intervals, with a view to increasing the convergence of those standards with relevant international standards;
to cooperate with the relevant standardising bodies of the other Party in international standardisation activities, including through cooperation in the international standardising bodies or at regional level;
to foster bilateral cooperation with the standardising bodies of the other Party; and
to exchange information between standardising bodies.
The Parties shall exchange information on:
their respective use of standards in support of technical regulations; and
their respective standardisation processes, and the extent to which they use international, regional or sub-regional standards as a basis for their national standards.
Article 93
Conformity assessment
Where a Party requires conformity assessment as a positive assurance that a product conforms with a technical regulation, it shall:
select conformity assessment procedures that are proportionate to the risks involved, as determined on the basis of a risk-assessment;
consider as proof of compliance with technical regulations the use of a supplier's declaration of conformity, i.e. a declaration of conformity issued by the manufacturer on the sole responsibility of the manufacturer without a mandatory third-party assessment, as assurance of conformity among the options for showing compliance with technical regulations;
where requested by the other Party, provide information on the criteria used to select the conformity assessment procedures for specific products.
Where a Party requires third party conformity assessment as a positive assurance that a product conforms with a technical regulation and it has not reserved this task to a government authority as specified in paragraph 4, it shall:
use accreditation, as appropriate, as a means to demonstrate technical competence to qualify conformity assessment bodies. Without prejudice to its right to establish requirements for conformity assessment bodies, each Party recognises the valuable role that accreditation operated with authority derived from government and on a non-commercial basis can play in the qualification of conformity assessment bodies;
use relevant international standards for accreditation and conformity assessment;
encourage accreditation bodies and conformity assessment bodies located within its territory to join any relevant functioning international agreements or arrangements for harmonisation or facilitation of acceptance of conformity assessment results;
if two or more conformity assessment bodies are authorised by a Party to carry out conformity assessment procedures required for placing a product on the market, ensure that economic operators have a choice amongst the conformity assessment bodies designated by the authorities of a Party for a particular product or set of products;
ensure that conformity assessment bodies are independent of manufacturers, importers and economic operators in general and that there are no conflicts of interest between accreditation bodies and conformity assessment bodies;
allow conformity assessment bodies to use subcontractors to perform testing or inspections in relation to the conformity assessment, including subcontractors located in the territory of the other Party, and may require subcontractors to meet the same requirements the conformity assessment body must meet to perform such testing or inspections itself; and
publish on a single website a list of the bodies that it has designated to perform such conformity assessment and the relevant information on the scope of designation of each such body.
Nothing in this Article shall preclude a Party from requiring that conformity assessment in relation to specific products is performed by its specified government authorities. If a Party requires that conformity assessment is performed by its specified government authorities, that Party shall:
limit the conformity assessment fees to the approximate cost of the services rendered and, at the request of an applicant for conformity assessment, explain how any fees it imposes for that conformity assessment are limited to the approximate cost of services rendered; and
make publicly available the conformity assessment fees.
Article 94
Transparency
If a Party receives written comments on its proposed technical regulation or conformity assessment procedure from the other Party, it shall:
if requested by the other Party, discuss the written comments with the participation of its competent regulatory authority, at a time when they can be taken into account; and
reply in writing to the comments no later than the date of publication of the technical regulation or conformity assessment procedure.
Article 95
Marking and labelling
Where a Party requires mandatory marking or labelling of products, all of the following conditions shall apply:
it shall only require information which is relevant for consumers or users of the product or information that indicates that the product conforms to the mandatory technical requirements;
it shall not require any prior approval, registration or certification of the labels or markings of products, nor any fee disbursement, as a precondition for placing on its market products that otherwise comply with its mandatory technical requirements unless it is necessary in view of legitimate objectives;
where the Party requires the use of a unique identification number by economic operators, it shall issue such a number to the economic operators of the other Party without undue delay and on a non-discriminatory basis;
unless the information listed in point (i), (ii) or (iii) would be misleading, contradictory or confusing in relation to the information that the importing Party requires with respect to the goods, the importing Party shall permit:
information in other languages in addition to the language required in the importing Party of the goods;
internationally-accepted nomenclatures, pictograms, symbols or graphics; and
additional information to that required in the importing Party of the goods;
it shall accept that labelling, including supplementary labelling or corrections to labelling, take place in customs warehouses or other designated areas in the country of import as an alternative to labelling in the country of origin, unless such labelling is required to be carried out by approved persons for reasons of public health or safety; and
unless it considers that legitimate objectives may be undermined, it shall endeavour to accept the use of non-permanent or detachable labels, or marking or labelling in the accompanying documentation, rather than requiring labels or marking to be physically attached to the product.
Article 96
Cooperation on market surveillance and non-food product safety and compliance
To guarantee the independent and impartial functioning of market surveillance, the Parties shall ensure:
the separation of market surveillance functions from conformity assessment functions; and
the absence of any interests that would affect the impartiality of market surveillance authorities in the performance of their control or supervision of economic operators.
The Parties shall cooperate and exchange information in the area of non-food product safety and compliance, which may include in particular the following:
market surveillance and enforcement activities and measures;
risk assessment methods and product testing;
coordinated product recalls or other similar actions;
scientific, technical and regulatory matters in order to improve non-food product safety and compliance;
emerging issues of significant health and safety relevance;
standardisation-related activities;
exchanges of officials.
The arrangement shall set out the modalities under which:
the Union is to provide the United Kingdom with selected information from its RAPEX alert system, or its successor, as referred to in Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety, or its successor;
the United Kingdom is to provide the Union with selected information from its database relating to market surveillance and product safety established under the General Product Safety Regulations 2005, or its successor; and
the Parties are to inform each other of any follow-up actions and measures taken in response to the information exchanged.
Article 97
Technical discussions
If a Party considers that a draft or proposed technical regulation or conformity assessment procedure of the other Party might have a significant effect on trade between the Parties, it may request technical discussions on the matter. The request shall be made in writing to the other Party and shall identify:
the measure at issue;
the provisions of this Chapter or of an Annex to this Chapter to which the concerns relate; and
the reasons for the request, including a description of the requesting Party's concerns regarding the measure.
Article 98
Cooperation
For the purposes of paragraph 1, the Parties shall seek to identify, develop and promote cooperation activities of mutual interest. These activities may in particular relate to:
the exchange of information, experience and data related to technical regulations, standards and conformity assessment procedures;
ensuring efficient interaction and cooperation of their respective regulatory authorities at international, regional or national level;
exchanging information, to the extent possible, about international agreements and arrangements regarding technical barriers to trade to which one or both Parties are party; and
establishment of or participation in trade facilitating initiatives.
Article 99
Contact points
Article 100
Trade Specialised Committee on Technical Barriers to Trade
The Trade Specialised Committee on Technical Barriers to Trade shall supervise the implementation and operation of this Chapter and its Annexes and shall promptly clarify and address, where possible, any issue raised by a Party relating to the development, adoption or application of technical regulations, standards and conformity assessment procedures under this Chapter or the TBT Agreement.
CHAPTER 5
CUSTOMS AND TRADE FACILITATION
Article 101
Objective
The objectives of this Chapter are:
to reinforce cooperation between the Parties in the area of customs and trade facilitation and to support or maintain, where relevant, appropriate levels of compatibility of their customs legislation and practices with a view to ensuring that relevant legislation and procedures, as well as the administrative capacity of the relevant administrations, fulfil the objectives of promoting trade facilitation while ensuring effective customs controls and effective enforcement of customs legislation and trade related laws and regulations, the proper protection of security and safety of citizens and the respect of prohibitions and restrictions and financial interests of the Parties;
to reinforce administrative cooperation between the Parties in the field of VAT and mutual assistance in claims related to taxes and duties;
to ensure that the legislation of each Party is non-discriminatory and that customs procedures are based upon the use of modern methods and effective controls to combat fraud and to promote legitimate trade; and
to ensure that legitimate public policy objectives, including in relation to security, safety and the fight against fraud are not compromised in any way.
Article 102
Definitions
For the purposes of this Chapter and Annex 18 and the Protocol on mutual administrative assistance in customs matters and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the following definitions apply:
"Agreement on Pre-shipment Inspection" means the Agreement on Pre-shipment Inspection, contained in Annex 1A to the WTO Agreement;
"ATA and Istanbul Conventions" means the Customs Convention on the ATA Carnet for the Temporary Admission of Goods done in Brussels on 6 December 1961 and the Istanbul Convention on Temporary Admission done on 26 June 1990;
"Common Transit Convention" means the Convention of 20 May 1987 on a common transit procedure;
"Customs Data Model of the WCO" means the library of data components and electronic templates for the exchange of business data and compilation of international standards on data and information used in applying regulatory facilitation and controls in global trade, as published by the WCO Data Model Project Team from time to time;
"customs legislation" means any legal or regulatory provision applicable in the territory of either Party, governing the entry or import of goods, exit or export of goods, the transit of goods and the placing of goods under any other customs regime or procedure, including measures of prohibition, restriction and control;
"information" means any data, document, image, report, communication or authenticated copy, in any format, including in electronic format, whether or not processed or analysed;
"person" means any person as defined in point (l) of Article 512 ( 5 );
"SAFE Framework" means the SAFE Framework of Standards to Secure and Facilitate Global Trade adopted at the June 2005 World Customs Organisation Session in Brussels and as updated from time to time; and
"WTO Trade Facilitation Agreement" means the Agreement on Trade Facilitation annexed to the Protocol Amending the WTO Agreement (decision of 27 November 2014).
Article 103
Customs cooperation
The Parties shall develop cooperation, including in the following areas:
exchanging information concerning customs legislation, the implementation of customs legislation and customs procedures; particularly in the following areas:
the simplification and modernisation of customs procedures;
the facilitation of transit movements and transhipment;
relations with the business community; and
supply chain security and risk management;
working together on the customs-related aspects of securing and facilitating the international trade supply chain in accordance with the SAFE Framework;
considering developing joint initiatives relating to import, export and other customs procedures including technical assistance, as well as towards ensuring an effective service to the business community;
strengthening their cooperation in the field of customs in international organisations such as the WTO and the WCO, and exchanging information or holding discussions with a view to establishing where possible common positions in those international organisations and in UNCTAD, UNECE;
endeavouring to harmonise their data requirements for import, export and other customs procedures by implementing common standards and data elements in accordance with the Customs Data Model of the WCO;
strengthening their cooperation on risk management techniques, including sharing best practices, and, where appropriate, risk information and control results. Where relevant and appropriate, the Parties may also consider mutual recognition of risk management techniques, risk standards and controls and customs security measures; the Parties may also consider, where relevant and appropriate, the development of compatible risk criteria and standards, control measures and priority control areas;
establishing mutual recognition of Authorised Economic Operator programmes to secure and facilitate trade;
fostering cooperation between customs and other government authorities or agencies in relation to Authorised Economic Operator programmes, which may be achieved, inter alia, by agreeing on the highest standards, facilitating access to benefits and minimising unnecessary duplication;
enforcing intellectual property rights by customs authorities, including exchanging information and best practices in customs operations focusing in particular on intellectual property rights enforcement;
maintaining compatible customs procedures, where appropriate and practicable to do so, including the application of a single administrative document for customs declaration; and
exchanging, where relevant and appropriate and under arrangements to be agreed, certain categories of customs-related information between the customs authorities of the Parties through structured and recurrent communication, for the purposes of improving risk management and the effectiveness of customs controls, targeting goods at risk in terms of revenue collection or safety and security, and facilitating legitimate trade; such exchanges may include export and import declaration data on trade between the Parties, with the possibility of exploring, through pilot initiatives, the development of interoperable mechanisms to avoid duplication in the submission of such information. Exchanges under this point shall be without prejudice to exchanges of information that may take place between the Parties pursuant to the Protocol on mutual administrative assistance in customs matters.
Article 104
Customs and other trade related legislation and procedures
Each Party shall ensure that its customs provisions and procedures:
are consistent with international instruments and standards applicable in the area of customs and trade, including the WTO Trade Facilitation Agreement, the substantive elements of the Revised Kyoto Convention on the Simplification and Harmonisation of Customs Procedures, the International Convention on the Harmonised Commodity Description and Coding System, as well as the SAFE Framework and the Customs Data Model of the WCO;
provide the protection and facilitation of legitimate trade taking into account the evolution of trade practices through effective enforcement including in case of breaches of its laws and regulations, duty evasion and smuggling and through ensuring compliance with legislative requirements;
are based on legislation that is proportionate and non-discriminatory, avoids unnecessary burdens on economic operators, provides for further facilitation for operators with high levels of compliance including favourable treatment with respect to customs controls prior to the release of goods, and ensures safeguards against fraud and illicit or damageable activities while ensuring a high level of protection of security and safety of citizens and the respect of prohibitions and restrictions and financial interests of the Parties; and
contain rules that ensure that any penalty imposed for breaches of customs regulations or procedural requirements is proportionate and non-discriminatory and that the imposition of such penalties does not result in unjustified delays.
Each Party should periodically review its legislation and customs procedures. Customs procedures should also be applied in a manner that is predictable, consistent and transparent.
In order to improve working methods and to ensure non-discrimination, transparency, efficiency, integrity and the accountability of operations, each Party shall:
simplify and review requirements and formalities wherever possible with a view to ensuring the rapid release and clearance of goods;
work towards the further simplification and standardisation of the data and documentation required by customs and other agencies; and
promote coordination between all border agencies, both internally and across borders, to facilitate border-crossing processes and enhance control, taking into account joint border controls where feasible and appropriate.
Article 105
Release of goods
Each Party shall adopt or maintain customs procedures that:
provide for the prompt release of goods within a period that is no longer than necessary to ensure compliance with its laws and regulations;
provide for advance electronic submission and processing of documentation and any other required information prior to the arrival of the goods, to enable the release of goods promptly upon arrival if no risk has been identified through risk analysis or if no random checks or other checks are to be performed;
provide for the possibility, where appropriate and if the necessary conditions are satisfied, of releasing goods for free circulation at the first point of arrival; and
allow for the release of goods prior to the final determination of customs duties, taxes, fees and charges, if such a determination is not done prior to, or upon arrival, or as rapidly as possible after arrival and provided that all other regulatory requirements have been met.
Article 106
Simplified customs procedures
Each Party shall adopt or maintain measures allowing traders or operators fulfilling criteria specified in its laws and regulations to benefit from further simplification of customs procedures. Such measures may include inter alia:
customs declarations containing a reduced set of data or supporting documents;
periodical customs declarations for the determination and payment of customs duties and taxes covering multiple imports within a given period after the release of those imported goods;
self-assessment of and the deferred payment of customs duties and taxes until after the release of those imported goods; and
the use of a guarantee with a reduced amount or a waiver from the obligation to provide a guarantee.
Article 107
Transit and transhipment
Article 108
Risk management
Article 109
Post-clearance audit
Article 110
Authorised Economic Operators
Article 111
Publication and availability of information
Each Party shall promptly publish new legislation and general procedures related to customs and trade facilitation issues as early as possible prior to the entry into force of any such legislation or procedures, and shall promptly publish any changes to and interpretations of such legislation and procedures. Such publication shall include:
relevant notices of an administrative nature;
importation, exportation and transit procedures (including port, airport, and other entry-point procedures) and required forms and documents;
applied rates of duty and taxes of any kind imposed on or in connection with importation or exportation;
fees and charges imposed by or for governmental agencies on or in connection with importation, exportation or transit;
rules for the classification or valuation of products for customs purposes;
laws, regulations and administrative rulings of general application relating to rules of origin;
import, export or transit restrictions or prohibitions;
penalty provisions against breaches of import, export or transit formalities;
appeal procedures;
agreements or parts thereof with any country or countries relating to importation, exportation or transit;
procedures relating to the administration of tariff quotas;
hours of operation and operating procedures for customs offices at ports and border crossing points; and
points of contact for information enquiries.
Each Party shall make the following available through the internet:
a description of its importation, exportation and transit procedures, including appeal procedures, informing of the practical steps needed to import and export, and for transit;
the forms and documents required for importation into, exportation from, or transit through the territory of that Party; and
contact information regarding enquiry points.
Each party shall ensure that the descriptions, forms, documents and information referred to in points (a), (b) and (c) of the first subparagraph are kept up to date.
Article 112
Advance rulings
Each Party shall publish, at least:
the requirements for applying for an advance ruling, including the information to be provided and the format;
the time period by which it will issue an advance ruling; and
the length of time for which the advance ruling is valid.
Advance rulings shall be issued with regard to:
the tariff classification of goods;
the origin of goods; and
any other matter the Parties may agree upon.
Article 113
Customs brokers
The customs provisions and procedures of a Party shall not require the mandatory use of customs brokers or other agents. Each Party shall publish its measures on the use of customs brokers. Each Party shall apply transparent, non-discriminatory and proportionate rules if and when licensing customs brokers.
Article 114
Pre-shipment inspections
A Party shall not require the mandatory use of pre-shipment inspections as defined in the WTO Agreement on Pre-shipment Inspection, or any other inspection activity performed at destination, by private companies, before customs clearance.
Article 115
Review and appeal
The procedures referred to in paragraph 1 shall include:
an administrative appeal to or review by an administrative authority higher than or independent of the official or office that issued the decision; and
a judicial appeal or review of the decision.
Article 116
Relations with the business community
Article 117
Temporary admission
Each Party shall grant temporary admission, with total conditional relief from import duties and taxes and without application of import restrictions or prohibitions of economic character, as provided for in its laws and regulations, to the following types of goods:
goods for display or use at exhibitions, fairs, meetings or similar events (goods intended for display or demonstration at an event; goods intended for use in connection with the display of foreign products at an event; equipment including interpretation equipment, sound and image recording apparatus and films of an educational, scientific or cultural character intended for use at international meetings, conferences or congresses); products obtained incidentally during the event from temporarily imported goods, as a result of the demonstration of displayed machinery or apparatus;
professional equipment (equipment for the press, for sound or television broadcasting which is necessary for representatives of the press, of broadcasting or television organisations visiting the territory of another country for purposes of reporting, in order to transmit or record material for specified programmes; cinematographic equipment necessary for a person visiting the territory of another country in order to make a specified film or films; any other equipment necessary for the exercise of the calling, trade or profession of a person visiting the territory of another country to perform a specified task, insofar as it is not to be used for the industrial manufacture or packaging of goods or (except in the case of hand tools) for the exploitation of natural resources, for the construction, repair or maintenance of buildings or for earth moving and like projects; ancillary apparatus for the equipment mentioned above, and accessories therefor); component parts imported for repair of professional equipment temporarily admitted;
goods imported in connection with a commercial operation but whose importation does not in itself constitute a commercial operation (packings which are imported filled for re-exportation empty or filled, or are imported empty for re-exportation filled; containers, whether or not filled with goods, and accessories and equipment for temporarily admitted containers, which are either imported with a container to be re-exported separately or with another container, or are imported separately to be re-exported with a container and component parts intended for the repair of containers granted temporary admission; pallets; samples; advertising films; other goods imported in connection with a commercial operation);
goods imported in connection with a manufacturing operation (matrices, blocks, plates, moulds, drawings, plans, models and other similar articles; measuring, controlling and checking instruments and other similar articles; special tools and instruments, imported for use during a manufacturing process); replacement means of production (instruments, apparatus and machines made available to a customer by a supplier or repairer, pending the delivery or repair of similar goods);
goods imported exclusively for educational, scientific or cultural purposes (scientific equipment, pedagogic material, welfare material for seafarers, and any other goods imported in connection with educational, scientific or cultural activities); spare parts for scientific equipment and pedagogic material which has been granted temporary admission; tools specially designed for the maintenance, checking, gauging or repair of such equipment;
personal effects (all articles, new or used, which a traveller may reasonably require for his or her personal use during the journey, taking into account all the circumstances of the journey, but excluding any goods imported for commercial purposes); goods imported for sports purposes (sports requisites and other articles for use by travellers in sports contests or demonstrations or for training in the territory of temporary admission);
tourist publicity material (goods imported for the purpose of encouraging the public to visit another foreign country, in particular in order to attend cultural, religious, touristic, sporting or professional meetings or demonstrations held there);
goods imported for humanitarian purposes (medical, surgical and laboratory equipment and relief consignments, such as vehicles and other means of transport, blankets, tents, prefabricated houses or other goods of prime necessity, forwarded as aid to those affected by natural disaster and similar catastrophes); and
animals imported for specific purposes (dressage, training, breeding, shoeing or weighing, veterinary treatment, testing (for example, with a view to purchase), participation in shows, exhibitions, contests, competitions or demonstrations, entertainment (circus animals, etc.), touring (including pet animals of travellers), exercise of function (police dogs or horses; detector dogs, dogs for the blind, etc.), rescue operations, transhumance or grazing, performance of work or transport, medical purposes (delivery of snake poison, etc.).
Article 118
Single window
Each Party shall endeavour to establish a single window that enables traders to submit documentation or data required for importation, exportation, or transit of goods through a single entry point to the participating authorities or agencies.
Article 119
Facilitation of roll-on, roll-off traffic
The Parties acknowledge:
the right of each Party to adopt trade facilitating customs formalities and procedures for traffic between the Parties within their respective legal frameworks; and
the right of ports, port authorities and operators to act, within the legal orders of their respective Parties, in accordance with their rules and their operating and business models.
To this effect the Parties:
shall adopt or maintain procedures allowing for the submission of import documentation and other required information, including manifests, in order to begin processing prior to the arrival of goods with a view to expediting the release of goods upon arrival; and
undertake to facilitate the use by operators of the transit procedure, including simplifications of the transit procedure as provided for under the Common Transit Convention.
Article 120
Administrative cooperation in VAT and mutual assistance for recovery of taxes and duties
The competent authorities of the Parties shall cooperate with each other to ensure compliance with VAT legislation and in recovering claims relating to taxes and duties in accordance with the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
Article 121
Trade Specialised Committee on Customs Cooperation and Rules of Origin
The Trade Specialised Committee on Customs Cooperation and Rules of Origin shall:
hold regular consultations; and
in relation to the review of the provisions of Annex 18:
jointly validate programme members to identify strengths and weaknesses in implementing Annex 18; and
exchange views on data to be shared and treatment of operators.
The Trade Specialised Committee on Customs Cooperation and Rules of Origin may adopt decisions or recommendations:
on the exchange of customs-related information, on mutual recognition of risk management techniques, risk standards and controls, customs security measures, on advanced rulings, on common approaches to customs valuation and on other issues related to the implementation of this Chapter;
on the arrangements relating to the automatic exchange of information as referred to in Article 10 of the Protocol on mutual administrative assistance in customs matters, and on other issues relating to the implementation of that Protocol;
on any issues relating to the implementation of Annex 18; and
on the procedures for the consultation established in Article 63 and on any technical or administrative matters relating to the implementation of Chapter 2 of this Title, including on interpretative notes aimed at ensuring the uniform administration of the rules of origin.
Article 122
Amendments
The Partnership Council may amend:
Annex 18, the Protocol on mutual administrative assistance in customs matters and the list of goods set out in Article 117(2); and
the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
TITLE II
SERVICES AND INVESTMENT
CHAPTER 1
GENERAL PROVISIONS
Article 123
Objective and scope
This Title does not apply to:
air services or related services in support of air services ( 6 ), other than:
aircraft repair and maintenance services;
computer reservation system services;
ground handling services;
the following services provided using a manned aircraft, subject to compliance with the Parties' respective laws and regulations governing the admission of aircrafts to, departure from and operation within, their territory: aerial fire-fighting; flight training; spraying; surveying; mapping; photography; and other airborne agricultural, industrial and inspection services; and
the selling and marketing of air transport services;
audio-visual services;
national maritime cabotage ( 7 ); and
inland waterways transport.
Article 124
Definitions
For the purposes of this Title, the following definitions apply:
"activities performed in the exercise of governmental authority" means activities which are performed, including services which are supplied, neither on a commercial basis nor in competition with one or more economic operators; ( 8 )
"aircraft repair and maintenance services" means such activities when undertaken on an aircraft or a part thereof while it is withdrawn from service and does not include so-called line maintenance;
"computer reservation system services" means services provided by computerised systems that contain information about air carriers' schedules, availability, fares and fare rules, through which reservations can be made or tickets may be issued;
"covered enterprise" means an enterprise in the territory of a Party established in accordance with point (h) by an investor of the other Party, in accordance with the applicable law, existing on the date of entry into force of this Agreement or established thereafter;
"cross-border trade in services" means the supply of a service:
from the territory of a Party into the territory of the other Party; or
in the territory of a Party to the service consumer of the other Party;
"economic activity" means any activity of an industrial, commercial or professional character or activities of craftsmen, including the supply of services, except for activities performed in the exercise of governmental authority;
"enterprise" means a legal person or a branch or a representative office of a legal person;
"establishment" means the setting up or the acquisition of a legal person, including through capital participation, or the creation of a branch or representative office in the territory of a Party, with a view to creating or maintaining lasting economic links;
"ground handling services" means the supply at an airport, on a fee or contract basis, of the following services: airline representation, administration and supervision; passenger handling; baggage handling; ramp services; catering; air cargo and mail handling; fuelling of an aircraft; aircraft servicing and cleaning; surface transport; and flight operations, crew administration and flight planning; ground handling services do not include: self-handling; security; aircraft repair and maintenance; or management or operation of essential centralised airport infrastructure, such as de-icing facilities, fuel distribution systems, baggage handling systems and fixed intra airport transport systems;
"investor of a Party" means a natural or legal person of a Party that seeks to establish, is establishing or has established an enterprise in accordance with point (h) in the territory of the other Party;
"legal person of a Party" ( 9 ) means:
for the Union:
a legal person constituted or organised under the law of the Union or at least one of its Member States and engaged, in the territory of the Union, in substantive business operations, understood by the Union, in line with its notification of the Treaty establishing the European Community to the WTO (WT/REG39/1), as equivalent to the concept of "effective and continuous link" with the economy of a Member State enshrined in Article 54 of the Treaty on the Functioning of the European Union (TFEU); and
shipping companies established outside the Union, and controlled by natural persons of a Member State, whose vessels are registered in, and fly the flag of, a Member State;
for the United Kingdom:
a legal person constituted or organised under the law of the United Kingdom and engaged in substantive business operations in the territory of the United Kingdom; and
shipping companies established outside the United Kingdom and controlled by natural persons of the United Kingdom, whose vessels are registered in, and fly the flag of, the United Kingdom;
"operation" means the conduct, management, maintenance, use, enjoyment, or sale or other form of disposal of an enterprise;
"professional qualifications" means qualifications attested by evidence of formal qualification, professional experience, or other attestation of competence;
"selling and marketing of air transport services" means opportunities for the air carrier concerned to sell and market freely its air transport services including all aspects of marketing such as market research, advertising and distribution, but not including the pricing of air transport services nor the applicable conditions;
"service" means any service in any sector except services supplied in the exercise of governmental authority;
"services supplied in the exercise of governmental authority" means any service which is supplied neither on a commercial basis, nor in competition with one or more service suppliers;
"service supplier" means any natural or legal person that seeks to supply or supplies a service;
"service supplier of a Party" means a natural or legal person of a Party that seeks to supply or supplies a service.
Article 125
Denial of benefits
A Party may deny the benefits of this Title and Title IV of this Heading to an investor or service supplier of the other Party, or to a covered enterprise, if the denying Party adopts or maintains measures related to the maintenance of international peace and security, including the protection of human rights, which:
prohibit transactions with that investor, service supplier or covered enterprise; or
would be violated or circumvented if the benefits of this Title and Title IV of this Heading were accorded to that investor, service supplier or covered enterprise, including where the measures prohibit transactions with a natural or legal person which owns or controls any of them.
Article 126
Review
CHAPTER 2
INVESTMENT LIBERALISATION
Article 127
Scope
This Chapter applies to measures of a Party affecting the establishment of an enterprise to perform economic activities and the operation of such an enterprise by:
investors of the other Party;
covered enterprises; and
for the purposes of Article 132, any enterprise in the territory of the Party which adopts or maintains the measure.
Article 128
Market access
A Party shall not adopt or maintain, with regard to establishment of an enterprise by an investor of the other Party or by a covered enterprise, or operation of a covered enterprise, either on the basis of its entire territory or on the basis of a territorial sub-division, measures that:
impose limitations on:
the number of enterprises that may carry out a specific economic activity, whether in the form of numerical quotas, monopolies, exclusive rights or the requirement of an economic needs test;
the total value of transactions or assets in the form of numerical quotas or the requirement of an economic needs test;
the participation of foreign capital in terms of maximum percentage limit on foreign shareholding or the total value of individual or aggregate foreign investment; or
the total number of natural persons that may be employed in a particular sector or that an enterprise may employ and who are necessary for, and directly related to, the performance of an economic activity, in the form of numerical quotas or the requirement of an economic needs test; or
restrict or require specific types of legal entity or joint venture through which an investor of the other Party may perform an economic activity.
Article 129
National treatment
The treatment accorded by a Party under paragraph 1 means:
with respect to a regional or local level of government of the United Kingdom, treatment no less favourable than the most favourable treatment accorded, in like situations, by that level of government to investors of the United Kingdom and to their enterprises in its territory; and
with respect to a government of, or in, a Member State, treatment no less favourable than the most favourable treatment accorded, in like situations, by that government to investors of that Member State and to their enterprises in its territory.
Article 130
Most-favoured-nation-treatment
Paragraphs 1 and 2 shall not be construed as obliging a Party to extend to investors of the other Party or to covered enterprises the benefit of any treatment resulting from:
an international agreement for the avoidance of double taxation or other international agreement or arrangement relating wholly or mainly to taxation; or
measures providing for recognition, including the recognition of the standards or criteria for the authorisation, licencing, or certification of a natural person or enterprise to carry out an economic activity, or the recognition of prudential measures as referred to in paragraph 3 of the GATS Annex on Financial Services.
Article 131
Senior management and boards of directors
A Party shall not require a covered enterprise to appoint individuals of any particular nationality as executives, managers or members of boards of directors.
Article 132
Performance requirements
A Party shall not impose or enforce any requirement, or enforce any commitment or undertaking, in connection with the establishment or operation of any enterprise in its territory:
to export a given level or percentage of goods or services;
to achieve a given level or percentage of domestic content;
to purchase, use or accord a preference to goods produced or services provided in its territory or to purchase goods or services from natural or legal persons or any other entities in its territory;
to relate in any way the volume or value of imports to the volume or value of exports or to the amount of foreign exchange inflows associated with such enterprise;
to restrict sales of goods or services in its territory that such enterprise produces or supplies, by relating those sales in any way to the volume or value of its exports or foreign exchange inflows;
to transfer technology, a production process or other proprietary knowledge to a natural or legal person or any other entity in its territory ( 12 );
to supply exclusively from the territory of that Party a good produced or a service supplied by the enterprise to a specific regional or world market;
to locate the headquarters for a specific region of the world which is broader than the territory of the Party or the world market in its territory;
to employ a given number or percentage of natural persons of that Party;
to achieve a given level or value of research and development in its territory;
to restrict the exportation or sale for export; or
with regard to any licence contract in existence at the time the requirement is imposed or enforced, or any commitment or undertaking is enforced, or with regard to any future licence contract freely entered into between the enterprise and a natural or legal person or any other entity in its territory, if the requirement is imposed or enforced or the commitment or undertaking is enforced, in a manner that constitutes direct interference with that licence contract by an exercise of non-judicial governmental authority of a Party, to adopt:
a rate or amount of royalty below a certain level; or
a given duration of the term of a licence contract.
This point does not apply where the licence contract is concluded between the enterprise and the Party. For the purposes of this point, a "licence contract" means any contract concerning the licensing of technology, a production process, or other proprietary knowledge.
A Party shall not condition the receipt or continued receipt of an advantage, in connection with the establishment or operation of an enterprise in its territory, on compliance with any of the following requirements:
achieving a given level or percentage of domestic content;
purchasing, using or according a preference to goods produced or services supplied in its territory, or to purchase goods or services from natural or legal persons or any other entity in its territory;
relating in any way the volume or value of imports to the volume or value of exports or to the amount of foreign exchange inflows associated with that enterprise;
restricting the sales of goods or services in its territory that that enterprise produces or supplies by relating those sales in any way to the volume or value of its exports or foreign exchange inflows; or
restricting the exportation or sale for export.
Points (f) and (l) of paragraph 1 of this Article do not apply where:
the requirement is imposed or enforced, or the commitment or undertaking is enforced, by a court or administrative tribunal, or by a competition authority pursuant to a Party's competition law to prevent or remedy a restriction or a distortion of competition; or
a Party authorises the use of an intellectual property right in accordance with Article 31 or Article 31bis of the TRIPS Agreement, or adopts or maintains measures requiring the disclosure of data or proprietary information that fall within the scope of, and are consistent with, paragraph 3 of Article 39 of the TRIPS Agreement.
Article 133
Non-conforming measures and exceptions
Articles 128, 129, 130, 131 and 132 do not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
The central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional government, as set out in the Schedule of the United Kingdom in Annex 19;
or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph, to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Article 128, 129, 130, 131 or 132.
CHAPTER 3
CROSS-BORDER TRADE IN SERVICES
Article 134
Scope
This Chapter applies to measures of a Party affecting the cross-border trade in services by service suppliers of the other Party.
Article 135
Market access
A Party shall not adopt or maintain, either on the basis of its entire territory or on the basis of a territorial sub-division, measures that:
impose limitations on:
the number of service suppliers that may supply a specific service, whether in the form of numerical quotas, monopolies, exclusive service suppliers or the requirement of an economic needs test;
the total value of service transactions or assets in the form of numerical quotas or the requirement of an economic needs test; or
the total number of service operations or on the total quantity of service output expressed in the terms of designated numerical units in the form of quotas or the requirement of an economic needs test ( 13 ); or
restrict or require specific types of legal entity or joint venture through which a service supplier may supply a service.
Article 136
Local presence
A Party shall not require a service supplier of the other Party to establish or maintain an enterprise or to be resident in its territory as a condition for the cross-border supply of a service.
Article 137
National treatment
Article 138
Most-favoured-nation treatment
Paragraph 1 shall not be construed as obliging a Party to extend to services and service suppliers of the other Party the benefit of any treatment resulting from:
an international agreement for the avoidance of double taxation or other international agreement or arrangement relating wholly or mainly to taxation; or
measures providing for recognition, including of the standards or criteria for the authorisation, licencing, or certification of a natural person or enterprise to carry out an economic activity, or of prudential measures as referred to in paragraph 3 of the GATS Annex on Financial Services.
Article 139
Non-conforming measures
Articles 135, 136, 137 and 138 do not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional government, as set out in the Schedule of the United Kingdom in Annex 19; or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Articles 135, 136, 137 and 138.
CHAPTER 4
ENTRY AND TEMPORARY STAY OF NATURAL PERSONS FOR BUSINESS PURPOSES
Article 140
Scope and definitions
For the purposes of this Chapter:
"business visitors for establishment purposes" means natural persons working in a senior position within a legal person of a Party, who:
are responsible for setting up an enterprise of such legal person in the territory of the other Party;
do not offer or provide services or engage in any economic activity other than that which is required for the purposes of the establishment of that enterprise; and
do not receive remuneration from a source located within the other Party;
"contractual service suppliers" means natural persons employed by a legal person of a Party (other than through an agency for placement and supply services of personnel), which is not established in the territory of the other Party and has concluded a bona fide contract, not exceeding 12 months, to supply services to a final consumer in the other Party requiring the temporary presence of its employees who:
have offered the same type of services as employees of the legal person for a period of not less than one year immediately preceding the date of their application for entry and temporary stay;
possess, on that date, at least three years professional experience, obtained after having reached the age of majority, in the sector of activity that is the object of the contract, a university degree or a qualification demonstrating knowledge of an equivalent level and the professional qualifications legally required to exercise that activity in the other Party ( 14 ); and
do not receive remuneration from a source located within the other Party;
"independent professionals" means natural persons engaged in the supply of a service and established as self-employed in the territory of a Party who:
have not established in the territory of the other Party;
have concluded a bona fide contract (other than through an agency for placement and supply services of personnel) for a period not exceeding 12 months to supply services to a final consumer in the other Party, requiring their presence on a temporary basis; and
possess, on the date of their application for entry and temporary stay, at least six years professional experience in the relevant activity, a university degree or a qualification demonstrating knowledge of an equivalent level and the professional qualifications legally required to exercise that activity in the other Party ( 15 );
"intra-corporate transferees" means natural persons, who:
have been employed by a legal person of a Party, or have been partners in it, for a period, immediately preceding the date of the intra-corporate transfer, of not less than one year in the case of managers and specialists and of not less than six months in the case of trainee employees;
at the time of application reside outside the territory of the other Party;
are temporarily transferred to an enterprise of the legal person in the territory of the other Party which is a member of the same group as the originating legal person, including its representative office, subsidiary, branch or head company ( 16 ); and
belong to one of the following categories:
managers ( 17 );
specialists; or
trainee employees;
"manager" means a natural person working in a senior position, who primarily directs the management of the enterprise in the other Party, receiving general supervision or direction principally from the board of directors or from shareholders of the business or their equivalent and whose responsibilities include:
directing the enterprise or a department or subdivision thereof;
supervising and controlling the work of other supervisory, professional or managerial employees; and
having the authority to recommend hiring, dismissing or other personnel-related actions;
"specialist" means a natural person possessing specialised knowledge, essential to the enterprise's areas of activity, techniques or management, which is to be assessed taking into account not only knowledge specific to the enterprise, but also whether the person has a high level of qualification, including adequate professional experience of a type of work or activity requiring specific technical knowledge, including possible membership of an accredited profession; and
"trainee employee" means a natural person possessing a university degree who is temporarily transferred for career development purposes or to obtain training in business techniques or methods and is paid during the period of the transfer. ( 18 )
Article 141
Intra-corporate transferees and business visitors for establishment purposes
Subject to the relevant conditions and qualifications specified in Annex 21:
each Party shall allow:
the entry and temporary stay of intra-corporate transferees;
the entry and temporary stay of business visitors for establishment purposes without requiring a work permit or other prior approval procedure of similar intent; and
the employment in its territory of intra-corporate transferees of the other Party;
a Party shall not maintain or adopt limitations in the form of numerical quotas or economic needs tests regarding the total number of natural persons that, in a specific sector, are allowed entry as business visitors for establishment purposes or that an investor of the other Party may employ as intra-corporate transferees, either on the basis of a territorial subdivision or on the basis of its entire territory; and
each Party shall accord to intra-corporate transferees and business visitors for establishment purposes of the other Party, during their temporary stay in its territory, treatment no less favourable than that it accords, in like situations, to its own natural persons.
Article 142
Short-term business visitors
Subject to the relevant conditions and qualifications specified in Annex 21, each Party shall allow the entry and temporary stay of short-term business visitors of the other Party for the purposes of carrying out the activities listed in Annex 21, subject to the following conditions:
the short-term business visitors are not engaged in selling their goods or supplying services to the general public;
the short-term business visitors do not, on their own behalf, receive remuneration from within the Party where they are staying temporarily; and
the short-term business visitors are not engaged in the supply of a service in the framework of a contract concluded between a legal person that has not established in the territory of the Party where they are staying temporarily, and a consumer there, except as provided for in Annex 21.
Article 143
Contractual service suppliers and independent professionals
In the sectors, subsectors and activities specified in Annex 22 and subject to the relevant conditions and qualifications specified therein:
a Party shall allow the entry and temporary stay of contractual service suppliers and independent professionals in its territory;
a Party shall not adopt or maintain limitations on the total number of contractual service suppliers and independent professionals of the other Party allowed entry and temporary stay, in the form of numerical quotas or an economic needs test; and
each Party shall accord to contractual service suppliers and independent professionals of the other Party, with regard to the supply of their services in its territory, treatment no less favourable than that it accords, in like situations, to its own service suppliers.
Article 144
Non-conforming measures
To the extent that the relevant measure affects the temporary stay of natural persons for business purposes, points (b) and (c) of Article 141(1), Article 142(3) and points (b) and (c) of Article 143(1) do not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional subdivision, as set out in the Schedule of the United Kingdom in Annex 19; or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this Article;
a modification to any non-conforming measure referred to in points (a) and (b) of this Article to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with points (b) and (c) of Article 141(1), Article 142(3) and points (b) and (c) of Article 143(1); or
any measure of a Party consistent with a condition or qualification specified in Annex 20.
Article 145
Transparency
The information referred to in paragraph 1 shall, to the extent possible, include the following information relevant to the entry and temporary stay of natural persons:
categories of visa, permits or any similar type of authorisation regarding the entry and temporary stay;
documentation required and conditions to be met;
method of filing an application and options on where to file, such as consular offices or online;
application fees and an indicative timeframe of the processing of an application;
the maximum length of stay under each type of authorisation described in point (a);
conditions for any available extension or renewal;
rules regarding accompanying dependants;
available review or appeal procedures; and
relevant laws of general application pertaining to the entry and temporary stay of natural persons for business purposes.
CHAPTER 5
REGULATORY FRAMEWORK
SECTION 1
DOMESTIC REGULATION
Article 146
Scope and definitions
This Section applies to measures by the Parties relating to licensing requirements and procedures, qualification requirements and procedures, formalities and technical standards that affect:
cross-border trade in services;
establishment or operation; or
the supply of a service through the presence of a natural person of a Party in the territory of the other Party as set out in Article 140.
As far as measures relating to technical standards are concerned, this Section only applies to measures that affect trade in services. For the purposes of this Section, the term "technical standards" does not include regulatory or implementing technical standards for financial services.
This Section does not apply to licensing requirements and procedures, qualification requirements and procedures, formalities and technical standards pursuant to a measure:
that does not conform with Article 128 or 129 and is referred to in points (a) to (c) of Article 133(1) or with Article 135, 136 or 137 and is referred to in points (a) to (c) of Article 139(1) or with points (b) and (c) of Article 141(1), or Article 142(3) or with points (b) and (c) of Article 143(1) and is referred to in Article 144; or
referred to in Article 133(2) or Article 139(2).
For the purposes of this Section, the following definitions apply:
"authorisation" means the permission to carry out any of the activities referred to in points (a) to (c) of paragraph 1 resulting from a procedure a natural or legal person must adhere to in order to demonstrate compliance with licensing requirements, qualification requirements, technical standards or formalities for the purposes of obtaining, maintaining or renewing that permission; and
"competent authority" means a central, regional or local government or authority or non-governmental body in the exercise of powers delegated by central, regional or local governments or authorities, which is entitled to take a decision concerning the authorisation referred to in point (a).
Article 147
Submission of applications
Each Party shall, to the extent practicable, avoid requiring an applicant to approach more than one competent authority for each application for authorisation. If an activity for which authorisation is requested is within the jurisdiction of multiple competent authorities, multiple applications for authorisation may be required.
Article 148
Application timeframes
If a Party requires authorisation, it shall ensure that its competent authorities, to the extent practicable, permit the submission of an application at any time throughout the year. If a specific time period for applying for authorisation exists, the Party shall ensure that the competent authorities allow a reasonable period of time for the submission of an application.
Article 149
Electronic applications and acceptance of copies
If a Party requires authorisation, it shall ensure that its competent authorities:
to the extent possible provide for applications to be completed by electronic means, including from within the territory of the other Party; and
accept copies of documents, that are authenticated in accordance with the Party's domestic law, in place of original documents, unless the competent authorities require original documents to protect the integrity of the authorisation process.
Article 150
Processing of applications
If a Party requires authorisation, it shall ensure that its competent authorities:
process applications throughout the year. Where that is not possible, this information should be made public in advance, to the extent practicable;
to the extent practicable, provide an indicative timeframe for the processing of an application. That timeframe shall be reasonable to the extent practicable;
at the request of the applicant, provide without undue delay information concerning the status of the application;
to the extent practicable, ascertain without undue delay the completeness of an application for processing under the Party's domestic laws and regulations;
if they consider an application complete for the purposes of processing under the Party's domestic laws and regulations, ( 19 ) within a reasonable period of time after the submission of the application ensure that:
the processing of the application is completed; and
the applicant is informed of the decision concerning the application, to the extent possible, in writing; ( 20 )
if they consider an application incomplete for the purposes of processing under the Party's domestic laws and regulations, within a reasonable period of time, to the extent practicable:
inform the applicant that the application is incomplete;
at the request of the applicant identify the additional information required to complete the application or otherwise provide guidance on why the application is considered incomplete; and
provide the applicant with the opportunity to provide the additional information that is required to complete the application; ( 21 )
however, if none of the actions referred to in points (i), (ii) and (iii) is practicable, and the application is rejected due to incompleteness, the competent authorities shall ensure that they inform the applicant within a reasonable period of time; and
if an application is rejected, either upon their own initiative or upon request of the applicant, inform the applicant of the reasons for rejection and of the timeframe for an appeal against that decision and, if applicable, the procedures for resubmission of an application; an applicant shall not be prevented from submitting another application solely on the basis of a previously rejected application.
Article 151
Fees
Article 152
Assessment of qualifications
If a Party requires an examination to assess the qualifications of an applicant for authorisation, it shall ensure that its competent authorities schedule such an examination at reasonably frequent intervals and provide a reasonable period of time to enable applicants to request to take the examination. To the extent practicable, each Party shall accept requests in electronic format to take such examinations and shall consider the use of electronic means in other aspects of examination processes.
Article 153
Publication and information available
If a Party requires authorisation, the Party shall promptly publish the information necessary for persons carrying out or seeking to carry out the activities referred to in Article 146(1) for which the authorisation is required to comply with the requirements, formalities, technical standards and procedures for obtaining, maintaining, amending and renewing such authorisation. Such information shall include, to the extent it exists:
the licensing and qualification requirements and procedures and formalities;
contact information of relevant competent authorities;
authorisation fees;
applicable technical standards;
procedures for appeal or review of decisions concerning applications;
procedures for monitoring or enforcing compliance with the terms and conditions of licences or qualifications;
opportunities for public involvement, such as through hearings or comments; and
indicative timeframes for the processing of an application.
For the purposes of this Section, "publish" means to include in an official publication, such as an official journal, or on an official website. Parties shall consolidate electronic publications into a single online portal or otherwise ensure that competent authorities make them easily accessible through alternative electronic means.
Article 154
Technical standards
Each Party shall encourage its competent authorities, when adopting technical standards, to adopt technical standards developed through open and transparent processes, and shall encourage any body, including relevant international organisations, designated to develop technical standards to do so through open and transparent processes.
Article 155
Conditions for authorisation
The criteria referred to in paragraph 1 shall be:
clear and unambiguous;
objective and transparent;
pre-established;
made public in advance;
impartial; and
easily accessible.
If a Party adopts or maintains a measure relating to authorisation, it shall ensure that:
the competent authority concerned processes applications, and reaches and administers its decisions, objectively and impartially and in a manner independent of the undue influence of any person carrying out the economic activity for which authorisation is required; and
the procedures themselves do not prevent fulfilment of the requirements.
Article 156
Limited numbers of licences
If the number of licences available for a given activity is limited because of the scarcity of available natural resources or technical capacity, a Party shall apply a selection procedure to potential candidates which provides full guarantees of impartiality, objectivity and transparency, including, in particular, adequate publicity about the launch, conduct and completion of the procedure. In establishing the rules for the selection procedure, a Party may take into account legitimate policy objectives, including considerations of health, safety, the protection of the environment and the preservation of cultural heritage.
SECTION 2
PROVISIONS OF GENERAL APPLICATION
Article 157
Review procedures for administrative decisions
A Party shall maintain judicial, arbitral or administrative tribunals or procedures which provide, on request of an affected investor or service supplier of the other Party, for the prompt review of, and if justified appropriate remedies for, administrative decisions that affect establishment or operation, cross-border trade in services or the supply of a service through the presence of a natural person of a Party in the territory of the other Party. For the purposes of this Section, "administrative decisions" means a decision or action with a legal effect that applies to a specific person, good or service in an individual case and covers the failure to take an administrative decision or take such action when that is so required by a Party's law. If such procedures are not independent of the competent authority entrusted with the administrative decision concerned, a Party shall ensure that the procedures in fact provide for an objective and impartial review.
Article 158
Professional qualifications
The professional bodies or authorities, which are relevant for the sector of activity concerned in their respective territories, may develop and provide joint recommendations on the recognition of professional qualifications to the Partnership Council. Such joint recommendations shall be supported by an evidence-based assessment of:
the economic value of an envisaged arrangement on the recognition of professional qualifications; and
the compatibility of the respective regimes, that is, the extent to which the requirements applied by each Party for the authorisation, licensing, operation and certification are compatible.
SECTION 3
DELIVERY SERVICES
Article 159
Scope and definitions
For the purposes of this Section, the following definitions apply:
"delivery services" means postal services, courier services, express delivery services or express mail services, which include the following activities: the collection, sorting, transport, and delivery of postal items;
"express delivery services" means the collection, sorting, transport and delivery of postal items at accelerated speed and reliability and may include value added elements such as collection from point of origin, personal delivery to the addressee, tracing, possibility of changing the destination and addressee in transit or confirmation of receipt;
"express mail services" means international express delivery services supplied through the EMS Cooperative, which is the voluntary association of designated postal operators under Universal Postal Union (UPU);
"licence" means an authorisation that a regulatory authority of a Party may require of an individual supplier in order for that supplier to offer postal or courier services;
"postal item" means an item up to 31.5 kg addressed in the final form in which it is to be carried by any type of supplier of delivery services, whether public or private and may include items such as a letter, parcel, newspaper or catalogue;
"postal monopoly" means the exclusive right to supply specified delivery services within a Party's territory or a subdivision thereof pursuant to the law of that Party; and
"universal service" means the permanent supply of a delivery service of specified quality at all points in the territory of a Party or a subdivision thereof at affordable prices for all users.
Article 160
Universal service
Article 161
Universal service funding
A party shall not impose fees or other charges on the supply of a delivery service that is not a universal service for the purposes of funding the supply of a universal service. This Article does not apply to generally applicable taxation measures or administrative fees.
Article 162
Prevention of market distortive practices
Each party shall ensure that suppliers of delivery services subject to a universal service obligation or postal monopolies do not engage in market distortive practices such as:
using revenues derived from the supply of the service subject to a universal service obligation or from a postal monopoly to cross-subsidise the supply of an express delivery service or any delivery service which is not subject to a universal service obligation; or
unjustifiably differentiating between consumers with respect to tariffs or other terms and conditions for the supply of a service subject to a universal service or a postal monopoly.
Article 163
Licences
If a Party requires a licence for the provision of delivery services, it shall make publicly available:
all the licensing requirements and the period of time normally required to reach a decision concerning an application for a licence; and
the terms and conditions of licences.
Article 164
Independence of the regulatory body
SECTION 4
TELECOMMUNICATIONS SERVICES
Article 165
Scope
This Section applies to measures of a Party affecting the supply of telecommunications services in addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2 of this Chapter.
Article 166
Definitions
For the purposes of this Section, the following definitions apply:
"associated facilities" means associated services, physical infrastructure and other facilities or elements associated with a telecommunications network or telecommunications service which enable or support the supply of services via that network or service or have the potential to do so;
"end user" means a final consumer of, or subscriber to, a public telecommunications service, including a service supplier other than a supplier of public telecommunications services;
"essential facilities" means facilities of a public telecommunications network or a public telecommunications service that:
are exclusively or predominantly provided by a single or limited number of suppliers; and
cannot feasibly be economically or technically substituted in order to provide a service;
"interconnection" means the linking of public telecommunications networks used by the same or different suppliers of telecommunications networks or telecommunications services in order to allow the users of one supplier to communicate with users of the same or another supplier or to access services provided by another supplier, irrespective of whether those services are provided by the suppliers involved or any other supplier who has access to the network;
"international mobile roaming service" means a commercial mobile service provided pursuant to a commercial agreement between suppliers of public telecommunications services that enables an end user to use its home mobile handset or other device for voice, data or messaging services while outside the territory in which the end user's home public telecommunications network is located;
"internet access service" means a public telecommunications service that provides access to the internet and thereby connectivity to virtually all end points of the internet, irrespective of the network technology and terminal equipment used;
"leased circuit" means telecommunications services or facilities, including those of a virtual nature, that set aside capacity for the dedicated use by, or availability to, a user between two or more designated points;
"major supplier" means a supplier of telecommunications networks or telecommunications services which has the ability to materially affect the terms of participation, having regard to price and supply, in a relevant market for telecommunications networks or telecommunications services as a result of control over essential facilities or the use of its position in that market;
"network element" means a facility or equipment used in supplying a telecommunications service, including features, functions and capabilities provided by means of that facility or equipment;
"number portability" means the ability of subscribers who so request to retain the same telephone numbers, at the same location in the case of a fixed line, without impairment of quality, reliability or convenience when switching between the same category of suppliers of public telecommunications services;
"public telecommunications network" means any telecommunications network used wholly or mainly for the provision of public telecommunications services which supports the transfer of information between network termination points;
"public telecommunications service" means any telecommunications service that is offered to the public generally;
"subscriber" means any natural or legal person which is party to a contract with a supplier of public telecommunications services for the supply of such services;
"telecommunications" means the transmission and reception of signals by any electromagnetic means;
"telecommunications network" means transmission systems and, where applicable, switching or routing equipment and other resources, including network elements which are not active, which permit the transmission and reception of signals by wire, radio, optical, or other electromagnetic means;
"telecommunications regulatory authority" means the body or bodies charged by a Party with the regulation of telecommunications networks and telecommunications services covered by this Section;
"telecommunications service" means a service which consists wholly or mainly in the transmission and reception of signals, including broadcasting signals, over telecommunications networks, including those used for broadcasting, but not a service providing, or exercising editorial control over, content transmitted using telecommunications networks and telecommunications services;
"universal service" means the minimum set of services of specified quality that must be made available to all users, or to a set of users, in the territory of a Party, or in a subdivision thereof, regardless of their geographical location and at an affordable price; and
"user" means any natural or legal person using a public telecommunications service.
Article 167
Telecommunications regulatory authority
Each Party shall establish or maintain a telecommunications regulatory authority that:
is legally distinct and functionally independent from any supplier of telecommunications networks, telecommunications services or telecommunications equipment;
uses procedures and issues decisions that are impartial with respect to all market participants;
acts independently and does not seek or take instructions from any other body in relation to the exercise of the tasks assigned to it by law to enforce the obligations set out in Articles 169, 170, 171, 173 and 174;
has the regulatory power, as well as adequate financial and human resources, to carry out the tasks mentioned in point (c) of this Article;
has the power to ensure that suppliers of telecommunications networks or telecommunications services provide it, promptly upon request, with all the information ( 25 ), including financial information, which is necessary to enable it to carry out the tasks mentioned in point (c) of this Article; and
exercises its powers transparently and in a timely manner.
Article 168
Authorisation to provide telecommunications networks or services
Article 169
Interconnection
Each Party shall ensure that a supplier of public telecommunications networks or public telecommunications services has the right and, when so requested by another supplier of public telecommunications networks or public telecommunications services, the obligation to negotiate interconnection for the purposes of providing public telecommunications networks or public telecommunications services.
Article 170
Access and use
Each Party shall ensure that covered enterprises or service suppliers of the other Party have access to and use of any public telecommunications network or public telecommunications service offered within or across its border, including private leased circuits, and to that end shall ensure, subject to paragraph 5, that such enterprises and suppliers are permitted:
to purchase or lease and attach terminal or other equipment which interfaces with the network and which is necessary to conduct their operations;
to interconnect private leased or owned circuits with public telecommunications networks or with circuits leased or owned by another covered enterprise or service supplier; and
to use the operating protocols of their choice in their operations, other than as necessary to ensure the availability of telecommunications services to the public generally.
Each Party shall ensure that no condition is imposed on access to and use of public telecommunications networks or services other than as necessary:
to safeguard the public service responsibilities of suppliers of public telecommunications networks or public telecommunications services, in particular their ability to make their services available to the public generally; or
to protect the technical integrity of public telecommunications networks or services.
Article 171
Resolution of telecommunications disputes
Article 172
Competitive safeguards on major suppliers
Each Party shall introduce or maintain appropriate measures for the purpose of preventing suppliers of telecommunications networks or telecommunications services who, alone or together, are a major supplier from engaging in or continuing anti-competitive practices. These anti-competitive practices shall include in particular:
engaging in anti-competitive cross-subsidisation;
using information obtained from competitors with anti-competitive results; and
not making available to other service suppliers on a timely basis technical information about essential facilities and commercially relevant information which are necessary for them to provide services.
Article 173
Interconnection with major suppliers
Each Party shall ensure that major suppliers of public telecommunications networks or public telecommunications services provide interconnection at any technically feasible point in the network. Such interconnection shall be provided:
under non-discriminatory terms and conditions (including as regards rates, technical standards, specifications, quality and maintenance) and of a quality no less favourable than that provided for the own like services of such major supplier, or for like services of its subsidiaries or other affiliates;
in a timely fashion, on terms and conditions (including as regards rates, technical standards, specifications, quality and maintenance) that are transparent, reasonable, having regard to economic feasibility, and sufficiently unbundled so that the supplier need not pay for network elements or facilities that it does not require for the service to be provided; and
upon request, at points in addition to the network termination points offered to the majority of users, subject to charges that reflect the cost of construction of necessary additional facilities.
Article 174
Access to major suppliers' essential facilities
Each Party shall ensure that major suppliers in its territory make their essential facilities available to suppliers of telecommunications networks or telecommunications services on reasonable, transparent and non-discriminatory terms and conditions for the purpose of providing public telecommunications services, except where this is not necessary to achieve effective competition on the basis of the facts collected and the assessment of the market conducted by the telecommunications regulatory authority. The major supplier's essential facilities may include network elements, leased circuits services and associated facilities.
Article 175
Scarce resources
Article 176
Universal service
Article 177
Number portability
Each Party shall ensure that suppliers of public telecommunications services provide number portability on reasonable terms and conditions.
Article 178
Open internet access
Each Party shall ensure that, subject to its laws and regulations, suppliers of internet access services enable users of those services to:
access and distribute information and content, use and provide applications and services of their choice, subject to non-discriminatory, reasonable, transparent and proportionate network management; and
use devices of their choice, provided that such devices do not harm the security of other devices, the network or services provided over the network.
Article 179
Confidentiality of information
Article 180
Foreign shareholding
With regard to the provision of telecommunications networks or telecommunications services through establishment and notwithstanding Article 133, a Party shall not impose joint venture requirements or limit the participation of foreign capital in terms of maximum percentage limits on foreign shareholding or the total value of individual or aggregate foreign investment.
Article 181
International mobile roaming ( 28 )
Parties may choose to take steps to enhance transparency and competition with respect to international mobile roaming rates and technological alternatives to roaming services, such as:
ensuring that information regarding retail rates is easily accessible to end users; and
minimising impediments to the use of technological alternatives to roaming, whereby end users visiting the territory of a Party from the territory of the other Party can access telecommunications services using the device of their choice.
SECTION 5
FINANCIAL SERVICES
Article 182
Scope
For the purposes of this Section, the term "activities performed in the exercise of governmental authority" referred to in point (f) of Article 124 means the following ( 29 ):
activities conducted by a central bank or a monetary authority or by any other public entity in pursuit of monetary or exchange rate policies;
activities forming part of a statutory system of social security or public retirement plans; and
other activities conducted by a public entity for the account or with the guarantee or using the financial resources of the Party or its public entities.
Article 183
Definitions
For the purposes of this Title, the following definitions apply:
"financial service" means any service of a financial nature offered by a financial service supplier of a Party and includes the following activities:
insurance and insurance-related services:
direct insurance (including co-insurance):
life;
non-life;
reinsurance and retrocession;
insurance intermediation, such as brokerage and agency; and
services auxiliary to insurance, such as consultancy, actuarial, risk assessment and claim settlement services;
banking and other financial services (excluding insurance):
acceptance of deposits and other repayable funds from the public;
lending of all types, including consumer credit, mortgage credit, factoring and financing of commercial transaction;
financial leasing;
all payment and money transmission services, including credit, charge and debit cards, travellers cheques and bankers drafts;
guarantees and commitments;
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market or otherwise, the following:
money market instruments (including cheques, bills, certificates of deposits);
foreign exchange;
derivative products including, but not limited to, futures and options;
exchange rate and interest rate instruments, including products such as swaps, forward rate agreements;
transferable securities; and
other negotiable instruments and financial assets, including bullion;
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
money broking;
asset management, such as cash or portfolio management, all forms of collective investment management, pension fund management, custodial, depository and trust services;
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
provision and transfer of financial information, and financial data processing and related software; and
advisory, intermediation and other auxiliary financial services on all the activities listed in points (A) to (K), including credit reference and analysis, investment and portfolio research and advice, advice on acquisitions and on corporate restructuring and strategy;
"financial service supplier" means any natural or legal person of a Party that seeks to supply or supplies financial services and does not include a public entity;
"new financial service" means a service of a financial nature including services related to existing and new products or the manner in which a product is delivered, that is not supplied by any financial service supplier in the territory of a Party but which is supplied in the territory of the other Party;
"public entity" means:
a government, a central bank or a monetary authority, of a Party, or an entity owned or controlled by a Party, that is principally engaged in carrying out governmental functions or activities for governmental purposes, not including an entity principally engaged in supplying financial services on commercial terms; or
a private entity, performing functions normally performed by a central bank or monetary authority, when exercising those functions;
"self-regulatory organisation" means any non-governmental body, including a securities or futures exchange or market, clearing agency, other organisation or association, that exercises regulatory or supervisory authority over financial service suppliers by statute or delegation from central, regional or local governments or authorities, where applicable.
Article 184
Prudential carve-out
Nothing in this Agreement shall prevent a Party from adopting or maintaining measures for prudential reasons ( 30 ), such as:
the protection of investors, depositors, policy-holders or persons to whom a fiduciary duty is owed by a financial service supplier; or
ensuring the integrity and stability of a Party's financial system.
Article 185
Confidential information
Without prejudice to Part Three, nothing in this Agreement shall be construed to require a Party to disclose information relating to the affairs and accounts of individual consumers or any confidential or proprietary information in the possession of public entities.
Article 186
International standards
The Parties shall make their best endeavours to ensure that internationally agreed standards in the financial services sector for regulation and supervision, for the fight against money laundering and terrorist financing and for the fight against tax evasion and avoidance, are implemented and applied in their territory. Such internationally agreed standards are, inter alia, those adopted by: the G20; the Financial Stability Board; the Basel Committee on Banking Supervision, in particular its "Core Principle for Effective Banking Supervision"; the International Association of Insurance Supervisors, in particular its "Insurance Core Principles"; the International Organisation of Securities Commissions, in particular its "Objectives and Principles of Securities Regulation"; the Financial Action Task Force; and the Global Forum on Transparency and Exchange of Information for Tax Purposes of the Organisation for Economic Cooperation and Development.
Article 187
Financial services new to the territory of a Party
Article 188
Self-regulatory organisations
Where a Party requires membership of, participation in, or access to, any self-regulatory organisation in order for financial service suppliers of the other Party to supply financial services in its territory, the Party shall ensure observance by that self-regulatory organisation of the obligations under Articles 129, 130, 137 and 138.
Article 189
Clearing and payment systems
Under terms and conditions that accord national treatment, each Party shall grant to financial service suppliers of the other Party established in its territory access to payment and clearing systems operated by public entities, and to official funding and refinancing facilities available in the normal course of ordinary business. This Article does not confer access to the Party's lender of last resort facilities.
SECTION 6
INTERNATIONAL MARITIME TRANSPORT SERVICES
Article 190
Scope and definitions
For the purposes of this Section and Chapters 1, 2, 3 and 4 of this Title, the following definitions apply:
"international maritime transport services" means the transport of passengers or cargo by sea-going vessels between a port of one Party and a port of the other Party or of a third country, or between ports of different Member States, including the direct contracting with providers of other transport services, with a view to covering door-to-door or multimodal transport operations under a single transport document, but does not include the right to provide such other transport services;
"door-to-door or multimodal transport operations" means the transport of international cargo using more than one mode of transport, that includes an international sea-leg, under a single transport document;
"international cargo" means cargo transported between a port of one Party and a port of the other Party or of a third country, or between ports of different Member States;
"maritime auxiliary services" means maritime cargo handling services, customs clearance services, container station and depot services, maritime agency services, maritime freight forwarding services and storage and warehousing services;
"maritime cargo handling services" means activities exercised by stevedore companies, including terminal operators but not including the direct activities of dockers if the workforce is organised independently of the stevedoring or terminal operator companies; the activities covered include the organisation and supervision of:
loading or discharging of cargo to or from a ship;
the lashing or unlashing of cargo; and
the reception or delivery and safekeeping of cargoes before shipment or after discharge;
"customs clearance services" means activities consisting in carrying out, on behalf of another party, customs formalities concerning import, export or through transport of cargoes, irrespective of whether these services are the main activity of the service supplier or a usual complement of its main activity;
"container station and depot services" means activities that consist of storing, stuffing, stripping or repairing of containers and making containers available for shipment, whether in port areas or inland;
"maritime agency services" means activities that consist of representing, within a given geographic area, as an agent the business interests of one or more shipping lines or shipping companies, for the following purposes:
marketing and sales of maritime transport and related services, from quotation to invoicing, issuance of bills of lading on behalf of the lines or companies, acquisition and resale of the necessary related services, preparation of documentation and provision of business information; and
acting on behalf of the lines or companies organising the call of the ship or taking over cargoes when required;
"feeder services" means, without prejudice to the scope of activities that may be considered cabotage under the relevant national legislation, the pre- and onward transportation by sea of international cargo, including containerised, break bulk and dry or liquid bulk cargo, between ports located in the territory of a Party, provided such international cargo is "en route", that is, directed to a destination, or coming from a port of shipment, outside the territory of that Party;
"maritime freight forwarding services" means the activity consisting of organising and monitoring shipment operations on behalf of shippers, through the arrangement of transport and related services, preparation of documentation and provision of business information;
"port services" means services provided inside a maritime port area or on the waterway access to such area by the managing body of a port, its subcontractors, or other service providers to support the transport of cargo or passengers; and
"storage and warehousing services" means storage services of frozen or refrigerated goods, bulk storage services of liquids or gases, and other storage or warehousing services.
Article 191
Obligations
Without prejudice to non-conforming measures or other measures referred to in Articles 133 and 139, each Party shall implement the principle of unrestricted access to the international maritime markets and trades on a commercial and non-discriminatory basis by:
according to ships flying the flag of the other Party, or operated by service suppliers of the other Party, treatment no less favourable than that accorded to its own ships with regard to, inter alia:
access to ports;
the use of port infrastructure;
the use of maritime auxiliary services; and
customs facilities and the assignment of berths and facilities for loading and unloading, including related fees and charges;
making available to international maritime transport service suppliers of the other Party, on terms and conditions which are both reasonable and no less favourable than those applicable to its own suppliers or vessels or to vessels or suppliers of a third country (including fees and charges, specifications and quality of the service to be provided), the following port services: pilotage, towing and tug assistance, provisioning, fuelling and watering, garbage collecting and ballast waste disposal, port captain's services, navigation aids, emergency repair facilities, anchorage, berth, berthing and unberthing services and shore-based operational services essential to ship operations, including communications, water and electrical supplies;
permitting international maritime transport service suppliers of the other Party, subject to the authorisation by the competent authority where applicable, to re-position owned or leased empty containers, which are not being carried as cargo against payment, between ports of the United Kingdom or between ports of a Member State; and
permitting international maritime transport service suppliers of the other Party to provide feeder services between ports of the United Kingdom or between ports of a Member State, subject to the authorisation by the competent authority where applicable.
In applying the principle referred to in paragraph 1, a Party shall:
not introduce cargo-sharing arrangements in future agreements with third countries concerning international maritime transport services, including dry and liquid bulk and liner trade, and terminate, within a reasonable period of time, such cargo-sharing arrangements in case they exist in previous agreements;
not adopt or maintain a measure that requires all or part of any international cargo to be transported exclusively by vessels registered in that Party or owned or controlled by natural persons of that Party;
abolish and abstain from introducing any unilateral measures or administrative, technical and other obstacles which could constitute a disguised restriction or have discriminatory effects on the free supply of international maritime transport services; and
not prevent international maritime transport service suppliers of the other Party from directly contracting with other transport service suppliers for door-to-door or multimodal transport operations.
SECTION 7
LEGAL SERVICES
Article 192
Scope
Article 193
Definitions
For the purposes of this Section, the following definitions apply:
"designated legal services" means legal services in relation to home jurisdiction law and public international law, excluding Union law;
"home jurisdiction" means the jurisdiction (or a part of the jurisdiction) of the Member State or of the United Kingdom in which a lawyer acquired their home jurisdiction professional title or, in the case of a lawyer who has acquired a home jurisdiction professional title in more than one jurisdiction, any of those jurisdictions;
"home jurisdiction law" means the law of the lawyer's home jurisdiction ( 31 );
"home jurisdiction professional title" means:
for a lawyer of the Union, a professional title acquired in a Member State authorising the supply of legal services in that Member State; or
for a lawyer of the United Kingdom, the title of advocate, barrister or solicitor, authorising the supply of legal services in any part of the jurisdiction of the United Kingdom;
"lawyer" means:
a natural person of the Union who is authorised in a Member State to supply legal services under a home jurisdiction professional title; or
a natural person of the United Kingdom who is authorised in any part of the jurisdiction of the United Kingdom to supply legal services under a home jurisdiction professional title;
"lawyer of the other Party" means:
where "the other Party" is the Union, a lawyer referred to in point (e)(i); or
where "the other Party" is the United Kingdom, a lawyer referred to in point (e)(ii); and
"legal services" means the following services:
legal advisory services; and
legal arbitration, conciliation and mediation services (but excluding such services when supplied by natural persons as set out in Article 140). ( 32 )
"Legal services" do not include legal representation before administrative agencies, the courts, and other duly constituted official tribunals of a Party, legal advisory and legal authorisation, documentation and certification services supplied by legal professionals entrusted with public functions in the administration of justice such as notaries, "huissiers de justice" or other "officiers publics et ministériels", and services supplied by bailiffs who are appointed by an official act of government.
Article 194
Obligations
Where a Party (the "host jurisdiction") requires registration in its territory as a condition for a lawyer of the other Party to supply designated legal services pursuant to paragraph 1, the requirements and process for such registration shall not:
be less favourable than those which apply to a natural person of a third country who is supplying legal services in relation to third country law or public international law under that person's third country professional title in the territory of the host jurisdiction; and
amount to or be equivalent to any requirement to requalify into or be admitted to the legal profession of the host jurisdiction.
Article 195
Non-conforming measures
Article 194 does not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional government, as set out in the Schedule of the United Kingdom in Annex 19; or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Article 194.
TITLE III
DIGITAL TRADE
CHAPTER 1
GENERAL PROVISIONS
Article 196
Objective
The objective of this Title is to facilitate digital trade, to address unjustified barriers to trade enabled by electronic means and to ensure an open, secure and trustworthy online environment for businesses and consumers.
Article 197
Scope
Article 198
Right to regulate
The Parties reaffirm the right to regulate within their territories to achieve legitimate policy objectives, such as the protection of public health, social services, public education, safety, the environment including climate change, public morals, social or consumer protection, privacy and data protection, or the promotion and protection of cultural diversity.
Article 199
Exceptions
For greater certainty, nothing in this Title prevents the Parties from adopting or maintaining measures in accordance with Articles 184, 412 and 415 for the public interest reasons set out therein.
Article 200
Definitions
For the purposes of this Title, the following definitions apply:
"consumer" means any natural person using a public telecommunications service for other than professional purposes;
"direct marketing communication" means any form of commercial advertising by which a natural or legal person communicates marketing messages directly to a user via a public telecommunications service and covers at least electronic mail and text and multimedia messages (SMS and MMS);
"electronic authentication" means an electronic process that enables the confirmation of:
the electronic identification of a natural or legal person, or
the origin and integrity of data in electronic form;
"electronic registered delivery service" means a service that makes it possible to transmit data between third parties by electronic means and provides evidence relating to the handling of the transmitted data, including proof of sending and receiving the data, and that protects transmitted data against the risk of loss, theft, damage or any unauthorised alterations;
"electronic seal" means data in electronic form used by a legal person which is attached to or logically associated with other data in electronic form to ensure the latter's origin and integrity;
"electronic signature" means data in electronic form which is attached to or logically associated with other data in electronic form that:
is used by a natural person to agree on the data in electronic form to which it relates; and
is linked to the data in electronic form to which it relates in such a way that any subsequent alteration in the data is detectable;
"electronic time stamp" means data in electronic form which binds other data in electronic form to a particular time establishing evidence that the latter data existed at that time;
"electronic trust service" means an electronic service consisting of:
the creation, verification and validation of electronic signatures, electronic seals, electronic time stamps, electronic registered delivery services and certificates related to those services;
the creation, verification and validation of certificates for website authentication; or
the preservation of electronic signatures, seals or certificates related to those services;
"government data" means data owned or held by any level of government and by non-governmental bodies in the exercise of powers conferred on them by any level of government;
"public telecommunications service" means any telecommunications service that is offered to the public generally;
"user" means any natural or legal person using a public telecommunications service.
CHAPTER 2
DATA FLOWS AND PERSONAL DATA PROTECTION
Article 201
Cross-border data flows
The Parties are committed to ensuring cross-border data flows to facilitate trade in the digital economy. To that end, cross-border data flows shall not be restricted between the Parties by a Party:
requiring the use of computing facilities or network elements in the Party's territory for processing, including by imposing the use of computing facilities or network elements that are certified or approved in the territory of a Party;
requiring the localisation of data in the Party's territory for storage or processing;
prohibiting the storage or processing in the territory of the other Party; or
making the cross-border transfer of data contingent upon use of computing facilities or network elements in the Parties' territory or upon localisation requirements in the Parties' territory.
Article 202
Protection of personal data and privacy
CHAPTER 3
SPECIFIC PROVISIONS
Article 203
Customs duties on electronic transmissions
Article 204
No prior authorisation
A service is provided online when it is provided by electronic means and without the parties being simultaneously present.
Article 205
Conclusion of contracts by electronic means
Paragraph 1 does not apply to the following:
broadcasting services;
gambling services;
legal representation services;
the services of notaries or equivalent professions involving a direct and specific connection with the exercise of public authority;
contracts that require witnessing in person;
contracts that establish or transfer rights in real estate;
contracts requiring by law the involvement of courts, public authorities or professions exercising public authority;
contracts of suretyship granted, collateral securities furnished by persons acting for purposes outside their trade, business or profession; or
contracts governed by family law or by the law of succession.
Article 206
Electronic authentication and electronic trust services
A Party shall not adopt or maintain measures that would:
prohibit parties to an electronic transaction from mutually determining the appropriate electronic authentication methods for their transaction; or
prevent parties to an electronic transaction from being able to prove to judicial and administrative authorities that the use of electronic authentication or an electronic trust service in that transaction complies with the applicable legal requirements.
Article 207
Transfer of or access to source code
For greater certainty:
the general exceptions, security exceptions and prudential carve-out referred to in Article 199 apply to measures of a Party adopted or maintained in the context of a certification procedure; and
paragraph 1 of this Article does not apply to the voluntary transfer of, or granting of access to, source code on a commercial basis by a natural or legal person of the other Party, such as in the context of a public procurement transaction or a freely negotiated contract.
Nothing in this Article shall affect:
a requirement by a court or administrative tribunal, or a requirement by a competition authority pursuant to a Party's competition law to prevent or remedy a restriction or a distortion of competition;
a requirement by a regulatory body pursuant to a Party's laws or regulations related to the protection of public safety with regard to users online, subject to safeguards against unauthorised disclosure;
the protection and enforcement of intellectual property rights; and
the right of a Party to take measures in accordance with Article III of the GPA as incorporated by Article 277 of this Agreement.
Article 208
Online consumer trust
Recognising the importance of enhancing consumer trust in digital trade, each Party shall adopt or maintain measures to ensure the effective protection of consumers engaging in electronic commerce transactions, including but not limited to measures that:
proscribe fraudulent and deceptive commercial practices;
require suppliers of goods and services to act in good faith and abide by fair commercial practices, including through the prohibition of charging consumers for unsolicited goods and services;
require suppliers of goods or services to provide consumers with clear and thorough information, including when they act through intermediary service suppliers, regarding their identity and contact details, the transaction concerned, including the main characteristics of the goods or services and the full price inclusive of all applicable charges, and the applicable consumer rights (in the case of intermediary service suppliers, this includes enabling the provision of such information by the supplier of goods or services); and
grant consumers access to redress for breaches of their rights, including a right to remedies if goods or services are paid for and are not delivered or provided as agreed.
Article 209
Unsolicited direct marketing communications
Article 210
Open government data
To the extent that a Party chooses to make government data accessible to the public, it shall endeavour to ensure, to the extent practicable, that the data:
is in a format that allows it to be easily searched, retrieved, used, reused, and redistributed;
is in a machine-readable and spatially-enabled format;
contains descriptive metadata, which is as standard as possible;
is made available via reliable, user-friendly and freely available Application Programming Interfaces;
is regularly updated;
is not subject to use conditions that are discriminatory or that unnecessarily restrict re-use; and
is made available for re-use in full compliance with the Parties' respective personal data protection rules.
Article 211
Cooperation on regulatory issues with regard to digital trade
The Parties shall exchange information on regulatory matters in the context of digital trade, which shall address the following:
the recognition and facilitation of interoperable electronic authentication and electronic trust services;
the treatment of direct marketing communications;
the protection of consumers; and
any other matter relevant for the development of digital trade, including emerging technologies.
Article 212
Understanding on computer services
The Parties agree that, for the purpose of liberalising trade in services and investment in accordance with Title II of this Heading, the following services shall be considered as computer and related services, regardless of whether they are delivered via a network, including the internet:
consulting, adaptation, strategy, analysis, planning, specification, design, development, installation, implementation, integration, testing, debugging, updating, support, technical assistance or management of or for computers or computer systems;
computer programmes defined as the sets of instructions required to make computers work and communicate (in and of themselves), as well as consulting, strategy, analysis, planning, specification, design, development, installation, implementation, integration, testing, debugging, updating, adaptation, maintenance, support, technical assistance, management or use of or for computer programmes;
data processing, data storage, data hosting or database services;
maintenance and repair services for office machinery and equipment, including computers; and
training services for staff of clients, related to computer programmes, computers or computer systems, and not elsewhere classified.
TITLE IV
CAPITAL MOVEMENTS, PAYMENTS, TRANSFERS AND TEMPORARY SAFEGUARD MEASURES
Article 213
Objectives
The objective of this Title is to enable the free movement of capital and payments related to transactions liberalised under this Agreement.
Article 214
Current account
Each Party shall allow, in freely convertible currency and in accordance with the Articles of Agreement of the International Monetary Fund, any payments and transfers with respect to transactions on the current account of the balance of payments that fall within the scope of this Agreement.
Article 215
Capital movements
Article 216
Measures affecting capital movements, payments or transfers
Articles 214 and 215 shall not be construed as preventing a Party from applying its laws and regulations relating to:
bankruptcy, insolvency, or the protection of the rights of creditors;
issuing, trading or dealing in securities, or futures, options and other financial instruments;
financial reporting or record keeping of capital movements, payments or transfers where necessary to assist law enforcement or financial regulatory authorities;
criminal or penal offences, deceptive or fraudulent practices;
ensuring compliance with orders or judgments in judicial or administrative proceedings; or
social security, public retirement or compulsory savings schemes.
Article 217
Temporary safeguard measures
Article 218
Restrictions in case of balance of payments and external financial difficulties
The measures referred to in paragraph 1 shall:
be consistent with the Articles of Agreement of the International Monetary Fund;
not exceed those necessary to deal with the circumstances described in paragraph 1;
be temporary and be phased out progressively as the situation specified in paragraph 1 improves;
avoid unnecessary damage to the commercial, economic and financial interests of the other Party; and
be non-discriminatory as compared with third countries in like situations.
If a Party adopts or maintains restrictions under this Article, the Parties shall promptly hold consultations in the Trade Specialised Committee on Services, Investment and Digital Trade unless consultations are held in other fora. That Committee shall assess the balance of payments or external financial difficulties that led to the respective measures, taking into account factors such as:
the nature and extent of the difficulties;
the external economic and trading environment; and
alternative corrective measures which may be available.
TITLE V
INTELLECTUAL PROPERTY
CHAPTER 1
GENERAL PROVISIONS
Article 219
Objectives
The objectives of this Title are to:
facilitate the production, provision and commercialisation of innovative and creative products and services between the Parties by reducing distortions and impediments to such trade, thereby contributing to a more sustainable and inclusive economy; and
ensure an adequate and effective level of protection and enforcement of intellectual property rights.
Article 220
Scope
Article 221
Definitions
For the purposes of this Title, the following definitions apply:
"Paris Convention" means the Paris Convention for the Protection of Industrial Property of 20 March 1883, as last revised at Stockholm on 14 July 1967;
"Berne Convention" means the Berne Convention for the Protection of Literary and Artistic Works of 9 September 1886 revised at Paris on 24 July 1971 and amended on 28 September 1979;
"Rome Convention" means the International Convention for the Protection of Performers, Producers of Phonograms and Broadcasting Organisations done at Rome on 26 October 1961;
"WIPO" means the World Intellectual Property Organisation;
"intellectual property rights" means all categories of intellectual property that are covered by Articles 225 to 255 of this Agreement or Sections 1 to 7 of Part II of the TRIPS Agreement. The protection of intellectual property includes protection against unfair competition as referred to in Article 10bis of the Paris Convention;
"national" means, in respect of the relevant intellectual property right, a person of a Party that would meet the criteria for eligibility for protection provided for in the TRIPS Agreement and multilateral agreements concluded and administered under the auspices of WIPO, to which a Party is a contracting party.
Article 222
International agreements
The Parties affirm their commitment to comply with the international agreements to which they are party:
the TRIPS Agreement;
the Rome Convention;
the Berne Convention;
the WIPO Copyright Treaty, adopted at Geneva on 20 December 1996;
the WIPO Performances and Phonograms Treaty, adopted at Geneva on 20 December 1996;
the Protocol Relating to the Madrid Agreement Concerning the International Registration of Marks, adopted at Madrid on 27 June 1989, as last amended on 12 November 2007;
the Trademark Law Treaty, adopted at Geneva on 27 October 1994;
the Marrakesh Treaty to Facilitate Access to Published Works for Persons Who Are Blind, Visually Impaired or Otherwise Print Disabled, adopted at Marrakesh on 27 June 2013;
the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs, adopted at Geneva on 2 July 1999.
Each Party shall make all reasonable efforts to ratify or accede to the following international agreements:
the Beijing Treaty on Audiovisual Performances, adopted at Beijing on 24 June 2012;
the Singapore Treaty on the Law of Trademarks adopted at Singapore on 27 March 2006.
Article 223
Exhaustion
This Title does not affect the freedom of the parties to determine whether and under what conditions the exhaustion of intellectual property rights applies.
Article 224
National treatment
A Party may avail itself of the exceptions permitted pursuant to paragraph 1 in relation to its judicial and administrative procedures, including requiring a national of the other Party to designate an address for service in its territory, or to appoint an agent in its territory, if such exceptions are:
necessary to secure compliance with the Party's laws or regulations which are not inconsistent with this Title; or
not applied in a manner which would constitute a disguised restriction on trade.
CHAPTER 2
STANDARDS CONCERNING INTELLECTUAL PROPERTY RIGHTS
SECTION 1
COPYRIGHT AND RELATED RIGHTS
Article 225
Authors
Each Party shall provide authors with the exclusive right to authorise or prohibit:
direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of their works;
any form of distribution to the public by sale or otherwise of the original of their works or of copies thereof;
any communication to the public of their works by wire or wireless means, including the making available to the public of their works in such a way that members of the public may access them from a place and at a time individually chosen by them;
the commercial rental to the public of originals or copies of their works; each Party may provide that this point does not apply to buildings or works of applied art.
Article 226
Performers
Each Party shall provide performers with the exclusive right to authorise or prohibit:
the fixation of their performances;
the direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of fixations of their performances;
the distribution to the public, by sale or otherwise, of the fixations of their performances;
the making available to the public of fixations of their performances, by wire or wireless means, in such a way that members of the public may access them from a place and at a time individually chosen by them;
the broadcasting by wireless means and the communication to the public of their performances, except where the performance is itself already a broadcast performance or is made from a fixation;
the commercial rental to the public of the fixation of their performances.
Article 227
Producers of phonograms
Each Party shall provide phonogram producers with the exclusive right to authorise or prohibit:
the direct or indirect, temporary or permanent, reproduction by any means and in any form, in whole or in part, of their phonograms;
the distribution to the public, by sale or otherwise, of their phonograms, including copies thereof;
the making available to the public of their phonograms, by wire or wireless means, in such a way that members of the public may access them from a place and at a time individually chosen by them;
the commercial rental of their phonograms to the public.
Article 228
Broadcasting organisations
Each Party shall provide broadcasting organisations with the exclusive right to authorise or prohibit:
the fixation of their broadcasts, whether these broadcasts are transmitted by wire or over the air, including by cable or satellite;
the direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of fixations of their broadcasts, whether those broadcasts are transmitted by wire or over the air, including by cable or satellite;
the making available to the public, by wire or wireless means, of fixations of their broadcasts, whether those broadcasts are transmitted by wire or over the air, including by cable or satellite, in such a way that members of the public may access them from a place and at a time individually chosen by them;
the distribution to the public, by sale or otherwise, of fixations, including copies thereof, of their broadcasts, whether these broadcasts are transmitted by wire or over the air, including by cable or satellite;
the rebroadcasting of their broadcasts by wireless means, as well as the communication to the public of their broadcasts if such communication is made in places accessible to the public against payment of an entrance fee.
Article 229
Broadcasting and communication to the public of phonograms published for commercial purposes
Article 230
Term of protection
Article 231
Resale right
Article 232
Collective management of rights
Article 233
Exceptions and limitations
Each Party shall confine limitations or exceptions to the rights set out in Articles 225 to 229 to certain special cases which do not conflict with a normal exploitation of the work or other subject-matter and do not unreasonably prejudice the legitimate interests of the right holders.
Article 234
Protection of technological measures
Each Party shall provide adequate legal protection against the manufacture, import, distribution, sale, rental, advertisement for sale or rental, or possession for commercial purposes of devices, products or components or the provision of services which:
are promoted, advertised or marketed for the purpose of circumvention of;
have only a limited commercially significant purpose or use other than to circumvent; or
are primarily designed, produced, adapted or performed for the purpose of enabling or facilitating the circumvention of, any effective technological measures.
Article 235
Obligations concerning rights management information
Each Party shall provide adequate legal protection against any person knowingly performing without authority any of the following acts:
the removal or alteration of any electronic rights-management information;
the distribution, importation for distribution, broadcasting, communication or making available to the public of works or other subject-matter protected pursuant to this Section from which electronic rights-management information has been removed or altered without authority;
if such person knows, or has reasonable grounds to know, that by so doing he or she is inducing, enabling, facilitating or concealing an infringement of any copyright or any related rights as provided by the law of a Party.
SECTION 2
TRADE MARKS
Article 236
Trade mark classification
Each Party shall maintain a trade mark classification system that is consistent with the Nice Agreement Concerning the International Classification of Goods and Services for the Purposes of the Registration of Marks of 15 June 1957, as amended and revised.
Article 237
Signs of which a trade mark may consist
A trade mark may consist of any signs, in particular words, including personal names, or designs, letters, numerals, colours, the shape of goods or of the packaging of goods, or sounds, provided that such signs are capable of:
distinguishing the goods or services of one undertaking from those of other undertakings; and
being represented on the respective trade mark register of each Party, in a manner which enables the competent authorities and the public to determine the clear and precise subject matter of the protection afforded to its proprietor.
Article 238
Rights conferred by a trade mark
Each Party shall provide that the registration of a trade mark confers on the proprietor exclusive rights therein. The proprietor shall be entitled to prevent all third parties not having the proprietor's consent from using in the course of trade:
any sign which is identical with the registered trade mark in relation to goods or services which are identical with those for which the trade mark is registered;
any sign where, because of its identity with, or similarity to, the registered trade mark and the identity or similarity of the goods or services covered by this trade mark and the sign, there exists a likelihood of confusion on the part of the public, including the likelihood of association between the sign and the registered trade mark.
Article 239
Registration procedure
Article 240
Well-known trade marks
For the purpose of giving effect to protection of well-known trade marks, as referred to in Article 6bis of the Paris Convention and Article 16(2) and (3) of the TRIPS Agreement, each Party shall apply the Joint Recommendation Concerning Provisions on the Protection of Well-Known Marks, adopted by the Assembly of the Paris Union for the Protection of Industrial Property and the General Assembly of the WIPO at the Thirty-Fourth Series of Meetings of the Assemblies of the Member States of WIPO on 20 to 29 September 1999.
Article 241
Exceptions to the rights conferred by a trade mark
The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade:
the name or address of the third party, where the third party is a natural person;
signs or indications concerning the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of goods or services; or
the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of that trade mark, in particular where the use of that trade mark is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts,
provided the third party uses them in accordance with honest practices in industrial or commercial matters.
Article 242
Grounds for revocation
A trade mark shall also be liable to revocation if, after the date on which it was registered:
as a consequence of acts or inactivity of the proprietor, it has become the common name in the trade for a good or service in respect of which it is registered;
as a consequence of the use made of the trade mark by the proprietor of the trade mark or with the proprietor's consent in respect of the goods or services for which it is registered, it is liable to mislead the public, particularly as to the nature, quality or geographical origin of those goods or services.
Article 243
The right to prohibit preparatory acts in relation to the use of packaging or other means
Where the risk exists that the packaging, labels, tags, security or authenticity features or devices, or any other means to which the trade mark is affixed could be used in relation to goods or services and that use would constitute an infringement of the rights of the proprietor of the trade mark, the proprietor of that trade mark shall have the right to prohibit the following acts if carried out in the course of trade:
affixing a sign identical with, or similar to, the trade mark on packaging, labels, tags, security or authenticity features or devices, or any other means to which the mark may be affixed; or
offering or placing on the market, or stocking for those purposes, or importing or exporting, packaging, labels, tags, security or authenticity features or devices, or any other means to which the mark is affixed.
Article 244
Bad faith applications
A trade mark shall be liable to be declared invalid where the application for registration of the trade mark was made in bad faith by the applicant. Each Party may provide that such a trade mark shall not be registered.
SECTION 3
DESIGN
Article 245
Protection of registered designs
For the purposes of this Article, a Party may consider that a design having individual character is original.
A design applied to or incorporated in a product which constitutes a component part of a complex product shall only be considered to be new and original:
if the component part, once it has been incorporated into the complex product, remains visible during normal use of the latter; and
to the extent that those visible features of the component part fulfil in themselves the requirements as to novelty and originality.
Article 246
Duration of protection
The duration of protection available for registered designs, including renewals of registered designs, shall amount to a total term of 25 years from the date on which the application was filed ( 36 ).
Article 247
Protection of unregistered designs
Article 248
Exceptions and exclusions
Article 249
Relationship to copyright
Each Party shall ensure that designs, including unregistered designs, shall also be eligible for protection under the copyright law of that Party as from the date on which the design was created or fixed in any form. The extent to which, and the conditions under which, such a protection is conferred, including the level of originality required, shall be determined by each Party.
SECTION 4
PATENTS
Article 250
Patents and public health
Article 251
Extension of the period of protection conferred by a patent on medicinal products and on plant protection products
For the purposes of this Title, "medicinal product" means:
any substance or combination of substances presented as having properties for treating or preventing disease in human beings or animals; or
any substance or combination of substances which may be used in or administered to human beings or animals either with a view to restoring, correcting or modifying physiological functions by exerting a pharmacological, immunological or metabolic action, or to making a medical diagnosis.
SECTION 5
PROTECTION OF UNDISCLOSED INFORMATION
Article 252
Protection of trade secrets
For the purposes of this Section, the following definitions apply:
"trade secret" means information which meets all of the following requirements:
it is secret in the sense that it is not, as a body or in the precise configuration and assembly of its components, generally known among or readily accessible to persons within the circles that normally deal with the kind of information in question;
it has commercial value because it is secret; and
it has been subject to reasonable steps under the circumstances, by the person lawfully in control of the information, to keep it secret;
"trade secret holder" means any natural or legal person lawfully controlling a trade secret.
For the purposes of this Section, at least the following conduct shall be considered contrary to honest commercial practices:
the acquisition of a trade secret without the consent of the trade secret holder, whenever obtained by unauthorised access to, or by appropriation or copying of, any documents, objects, materials, substances or electronic files that are lawfully under the control of the trade secret holder, and that contain the trade secret or from which the trade secret can be deduced;
the use or disclosure of a trade secret whenever it is carried out, without the consent of the trade secret holder, by a person who is found to meet any of the following conditions:
having acquired the trade secret in a manner referred to in point (a);
being in breach of a confidentiality agreement or any other duty not to disclose the trade secret; or
being in breach of a contractual or any other duty to limit the use of the trade secret;
the acquisition, use or disclosure of a trade secret whenever carried out by a person who, at the time of the acquisition, use or disclosure, knew, or ought to have known, under the circumstances that the trade secret had been obtained directly or indirectly from another person who was using or disclosing the trade secret unlawfully within the meaning of point (b).
Nothing in this Section shall be understood as requiring either Party to consider any of the following conducts as contrary to honest commercial practices:
independent discovery or creation;
the reverse engineering of a product that has been made available to the public or that is lawfully in the possession of the acquirer of the information, where the acquirer of the information is free from any legally valid duty to limit the acquisition of the trade secret;
the acquisition, use or disclosure of a trade secret required or allowed by the law of each Party;
the exercise of the right of workers or workers' representatives to information and consultation in accordance with the laws and regulations of that Party.
Article 253
Protection of data submitted to obtain an authorisation to put a medicinal product on the market
Article 254
Protection of data submitted to obtain marketing authorisation for plant protection products or biocidal products
The test or study report submitted for marketing authorisation of an active substance or plant protection product should fulfil the following conditions:
be necessary for the authorisation or for an amendment of an authorisation in order to allow the use on other crops; and
be certified as compliant with the principles of good laboratory practice or of good experimental practice.
SECTION 6
PLANT VARIETIES
Article 255
Protection of plant varieties rights
Each Party shall protect plant varieties rights in accordance with the International Convention for the Protection of New Varieties of Plants (UPOV) as lastly revised in Geneva on 19 March 1991. The Parties shall cooperate to promote and enforce these rights.
CHAPTER 3
ENFORCEMENT OF INTELLECTUAL PROPERTY RIGHTS
SECTION 1
GENERAL PROVISIONS
Article 256
General obligations
For the purposes of Sections 1, 2 and 4 of this Chapter, the term "intellectual property rights" does not include rights covered by Section 5 of Chapter 2.
The measures, procedures and remedies referred to in paragraph 1 shall:
be fair and equitable;
not be unnecessarily complicated or costly, or entail unreasonable time-limits or unwarranted delays;
be effective, proportionate and dissuasive;
be applied in such a manner as to avoid the creation of barriers to legitimate trade and to provide for safeguards against their abuse.
Article 257
Persons entitled to apply for the application of the measures, procedures and remedies
Each Party shall recognise as persons entitled to seek application of the measures, procedures and remedies referred to in Sections 2 and 4 of this Chapter:
the holders of intellectual property rights in accordance with the law of a Party;
all other persons authorised to use those rights, in particular licensees, in so far as permitted by and in accordance with the law of a Party; and
federations and associations ( 39 ), in so far as permitted by and in accordance with the law of a Party.
SECTION 2
CIVIL AND ADMINISTRATIVE ENFORCEMENT
Article 258
Measures for preserving evidence
Article 259
Evidence
Article 260
Right of information
For the purposes of paragraph 1 "any other person" means a person who:
was found in possession of the infringing goods on a commercial scale;
was found to be using the infringing services on a commercial scale;
was found to be providing on a commercial scale services used in infringing activities; or
was indicated by the person referred to in point (a), (b) or (c), as being involved in the production, manufacture or distribution of the goods or the provision of the services.
The information referred to in paragraph 1 shall, as appropriate, comprise:
the names and addresses of the producers, manufacturers, distributors, suppliers and other previous holders of the goods or services, as well as the intended wholesalers and retailers;
information on the quantities produced, manufactured, delivered, received or ordered, as well as the price obtained for the goods or services in question.
Paragraphs 1 and 2 shall apply without prejudice to other laws of a Party which:
grant the right holder rights to receive fuller information;
govern the use in civil proceedings of the information communicated pursuant to this Article;
govern responsibility for misuse of the right of information;
afford an opportunity for refusing to provide information which would force the person referred to in paragraph 1 to admit their own participation or that of their close relatives in an infringement of an intellectual property right;
govern the protection of confidentiality of information sources or the processing of personal data.
Article 261
Provisional and precautionary measures
Article 262
Corrective measures
Article 263
Injunctions
Each Party shall ensure that, where a judicial decision is taken finding an infringement of an intellectual property right, the judicial authorities may issue against the infringer an injunction aimed at prohibiting the continuation of the infringement. Each Party shall also ensure that the judicial authorities may issue an injunction against intermediaries whose services are used by a third party to infringe an intellectual property right.
Article 264
Alternative measures
Each Party may provide that the judicial authorities, in appropriate cases and at the request of the person liable to be subject to the measures provided for in Article 262 or 263, may order pecuniary compensation to be paid to the injured party instead of applying the measures provided for in these two Articles if that person acted unintentionally and without negligence, if execution of the measures in question would cause the person disproportionate harm and if pecuniary compensation to the injured party appears reasonably satisfactory.
Article 265
Damages
Each Party shall ensure that when its judicial authorities set the damages:
they take into account all appropriate aspects, such as the negative economic consequences, including lost profits, which the injured party has suffered, any unfair profits made by the infringer and, in appropriate cases, elements other than economic factors, such as the moral prejudice caused to the right holder by the infringement; or
as an alternative to point (a), they may, in appropriate cases, set the damages as a lump sum on the basis of elements such as at least the amount of royalties or fees which would have been due if the infringer had requested authorisation to use the intellectual property right in question.
Article 266
Legal costs
Each Party shall ensure that reasonable and proportionate legal costs and other expenses incurred by the successful party shall, as a general rule, be borne by the unsuccessful party, unless equity does not allow this.
Article 267
Publication of judicial decisions
Each Party shall ensure that, in legal proceedings instituted for infringement of an intellectual property right, the judicial authorities may order, at the request of the applicant and at the expense of the infringer, appropriate measures for the dissemination of the information concerning the decision, including displaying the decision and publishing it in full or in part.
Article 268
Presumption of authorship or ownership
For the purposes of applying the measures, procedures and remedies provided for in Chapter 3:
for the author of a literary or artistic work, in the absence of proof to the contrary, to be regarded as such, and consequently to be entitled to institute infringement proceedings, it shall be sufficient for the author's name to appear on the work in the usual manner; and
point (a) applies mutatis mutandis to the holders of rights related to copyright with regard to their protected subject matter.
Article 269
Administrative procedures
To the extent that any civil remedy can be ordered on the merits of a case as a result of administrative procedures, such procedures shall conform to principles equivalent in substance to those set forth in this Section.
SECTION 3
CIVIL JUDICIAL PROCEDURES AND REMEDIES OF TRADE SECRETS
Article 270
Civil judicial procedures and remedies of trade secrets
In the civil judicial proceedings referred to Article 252(1), each Party shall provide that its judicial authorities have the authority at least to:
order provisional measures, in accordance with their respective laws and regulations, to cease and prohibit the use or disclosure of the trade secret in a manner contrary to honest commercial practices;
order measures, in accordance with their respective laws and regulations, ordering the cessation of, or as the case may be, the prohibition of the use or disclosure of the trade secret in a manner contrary to honest commercial practices;
order, in accordance with their respective laws and regulations, any person who has acquired, used or disclosed a trade secret in a manner contrary to honest commercial practices and that knew or ought to have known that he or she or it was acquiring, using or disclosing a trade secret in a manner contrary to honest commercial practices to pay the trade secret holder damages appropriate to the actual prejudice suffered as a result of such acquisition, use or disclosure of the trade secret;
take specific measures necessary to preserve the confidentiality of any trade secret or alleged trade secret used or referred to in proceedings as referred to in Article 252(1). Such specific measures may include, in accordance with each Party's respective laws and regulations, including the rights of defence, the possibility of restricting access to certain documents in whole or in part; of restricting access to hearings and their corresponding records or transcript; and of making available a non-confidential version of judicial decision in which the passages containing trade secrets have been removed or redacted.
impose sanctions on any person participating in the legal proceedings who fail or refuse to comply with the court orders concerning the protection of the trade secret or alleged trade secret.
Each Party shall ensure that an application for the measure, procedures or remedies provided for in this Article is dismissed where the alleged acquisition, use or disclosure of a trade secret contrary to honest commercial practices was carried out, in accordance with its laws and regulations:
to reveal misconduct, wrongdoing or illegal activity for the purpose of protecting the general public interest;
as a disclosure by employees to their representatives as part of, and necessary for, the legitimate exercise by those representatives of their functions;
to protect a legitimate interest recognised by the laws and regulations of that Party.
SECTION 4
BORDER ENFORCEMENT
Article 271
Border measures
Article 272
Consistency with GATT 1994 and the TRIPS Agreement
In implementing border measures for the enforcement of intellectual property rights by customs, whether or not covered by this Section, the Parties shall ensure consistency with their obligations under GATT 1994 and the TRIPS Agreement and, in particular, with Article V of GATT 1994 and Article 41 and Section 4 of Part III of the TRIPS Agreement.
CHAPTER 4
OTHER PROVISIONS
Article 273
Cooperation
The areas of cooperation include, but are not limited to, the following activities:
exchange of information on the legal framework concerning intellectual property rights and relevant rules of protection and enforcement;
exchange of experience on legislative progress, on the enforcement of intellectual property rights and on enforcement at central and sub-central level by customs, police, administrative and judiciary bodies;
coordination to prevent exports of counterfeit goods, including coordination with other countries;
technical assistance, capacity building, exchange and training of personnel;
protection and defence of intellectual property rights and the dissemination of information in this regard in, among others, to business circles and civil society;
public awareness of consumers and right holders;
the enhancement of institutional cooperation, particularly between the intellectual property offices of the Parties;
educating and promoting awareness among the general public regarding policies concerning the protection and enforcement of intellectual property rights;
the promotion of protection and enforcement of intellectual property rights with public-private collaboration involving small and medium-size enterprises;
the formulation of effective strategies to identify audiences and communication programmes to increase consumer and media awareness of the impact of intellectual property rights' violations, including the risk to health and safety and the connection to organised crime.
Article 274
Voluntary stakeholder initiatives
Each Party shall endeavour to facilitate voluntary stakeholder initiatives to reduce intellectual property rights infringement, including online and in other marketplaces focusing on concrete problems and seeking practical solutions that are realistic, balanced, proportionate and fair for all concerned including in the following ways:
each Party shall endeavour to convene stakeholders consensually in its territory to facilitate voluntary initiatives to find solutions and resolve differences regarding the protection and enforcement of intellectual property rights and reducing infringement;
the Parties shall endeavour to exchange information with each other regarding efforts to facilitate voluntary stakeholder initiatives in their respective territories; and
the Parties shall endeavour to promote open dialogue and cooperation among the Parties' stakeholders, and to encourage the Parties' stakeholders to jointly find solutions and resolve differences regarding the protection and enforcement of intellectual property rights and reducing infringement.
Article 275
Review in relation to geographical indications
Noting the relevant provisions of any earlier bilateral agreement between the United Kingdom of the one part and the European Union and European Atomic Energy Community of the other part, the Parties may jointly use reasonable endeavours to agree rules for the protection and effective domestic enforcement of their geographical indications.
TITLE VI
PUBLIC PROCUREMENT
CHAPTER 1
SCOPE
Article 276
Objective
The objective of this Title is to guarantee each Party's suppliers access to increased opportunities to participate in public procurement procedures and to enhance the transparency of public procurement procedures.
Article 277
Incorporation of certain provisions of the GPA and covered procurement
CHAPTER 2
ADDITIONAL RULES FOR COVERED PROCUREMENT
Article 278
Use of electronic means in procurement
A procuring entity is considered as conducting covered procurement by electronic means, if the entity uses electronic means of information and communication for:
the publication of notices and tender documentation in procurement procedures; and
the submission of requests to participate and of tenders.
Article 279
Electronic publication
With regard to covered procurement, all procurement notices including notices of intended procurement, summary notices, notices of planned procurement and contract award notices shall be directly accessible by electronic means, free of charge, through a single point of access on the internet.
Article 280
Supporting evidence
Each Party shall ensure that at the time of submission of requests to participate or at the time of submission of tenders, procuring entities do not require suppliers to submit all or part of the supporting evidence that they are not in one of the situations in which a supplier may be excluded and that they fulfil the conditions for participation unless this is necessary to ensure the proper conduct of the procurement.
Article 281
Conditions for participation
Each Party shall ensure that where its procuring entities require a supplier, as a condition for participation in a covered procurement, to demonstrate prior experience they do not require that the supplier has such experience in the territory of that Party.
Article 282
Registration systems and qualification procedures
A Party that maintains a supplier registration system shall ensure that interested suppliers may request registration at any time. Any interested supplier having made a request shall be informed within a reasonable period of time of the decision to grant or reject this request.
Article 283
Selective tendering
Each Party shall ensure that where a procuring entity uses a selective tendering procedure, the procuring entity addresses invitations to submit a tender to a number of suppliers that is sufficient to ensure genuine competition without affecting the operational efficiency of the procurement system.
Article 284
Abnormally low prices
Further to paragraph 6 of Article XV of the GPA, if a procuring entity receives a tender with a price that is abnormally lower than the prices in other tenders submitted, it may also verify with the supplier whether the price takes into account the grant of subsidies.
Article 285
Environmental, social and labour considerations
Each Party shall ensure that its procuring entities may take into account environmental, labour and social considerations throughout the procurement procedure, provided that those considerations are compatible with the rules established by Chapters 1 and 2 and are indicated in the notice of intended procurement or in another notice used as a notice of intended procurement or tender documentation.
Article 286
Domestic review procedures
Where an impartial administrative authority is designated by a Party under paragraph 4 of Article XVIII of the GPA, that Party shall ensure that:
the members of the designated authority are independent, impartial, and free from external influence during the term of appointment;
the members of the designated authority are not dismissed against their will while they are in office, unless their dismissal is required by the provisions governing the designated authority; and
the President or at least one other member of the designated authority, has legal and professional qualifications equivalent to those necessary for judges, lawyers or other legal experts qualified under the laws and regulations of the Party.
Each Party may provide for:
a standstill period between the contract award decision and the conclusion of a contract in order to give sufficient time to unsuccessful suppliers to assess whether it is appropriate to initiate a review procedure; or
a sufficient period for an interested supplier to submit a challenge, which may constitute grounds for the suspension of the execution of a contract.
Corrective action under subparagraph 7(b) of Article XVIII of the GPA may include one or more of the following:
the removal of discriminatory technical, economic or financial specifications in the invitation to tender, the contract documents or any other document relating to the tendering procedure and conduct of new procurement procedures;
the repetition of the procurement procedure without changing the conditions;
the setting aside of the contract award decision and the adoption of a new contract award decision;
the termination of a contract or the declaration of its ineffectiveness; or
the adoption of other measures with the aim to remedy a breach of Chapters 1 and 2, for example an order to pay a particular sum until the breach has been effectively remedied.
CHAPTER 3
NATIONAL TREATMENT BEYOND COVERED PROCUREMENT
Article 287
Definitions
For the purposes of this Chapter, the treatment accorded by a Party under this Chapter means:
with respect to the United Kingdom, treatment no less favourable than the most favourable treatment accorded, in like situations, to suppliers of the United Kingdom; and
with respect to a Member State, treatment no less favourable than the most favourable treatment accorded, in like situations, within that Member State to suppliers of that Member State.
For the purposes of this Chapter, a supplier of a Party, which is a legal person means:
for the Union, a legal person constituted or organised under the law of the Union or at least one of its Member States and engaged in substantive business operations, understood by the Union, in line with its notification of the Treaty establishing the European Community to the WTO (WT/REG39/1), as equivalent to the concept of "effective and continuous link" with the economy of a Member State enshrined in Article 54 of the TFEU, in the territory of the Union; and
for the United Kingdom, a legal person constituted or organised under the law of the United Kingdom and engaged in substantive business operations in the territory of the United Kingdom.
Article 288
National treatment of locally established suppliers
CHAPTER 4
OTHER PROVISIONS
Article 289
Modifications and rectifications of market access commitments
Each Party may modify or rectify its market access commitments in its respective Sub-section under Section B of Annex 25 in accordance with the procedures set out in Articles 290 to 293.
Article 290
Modifications
A Party intending to modify a Sub-section of Section B of Annex 25, shall:
notify the other Party in writing; and
include in the notification a proposal for appropriate compensatory adjustments to the other Party to maintain a level of market access commitments comparable to that existing prior to the modification.
A Party's control or influence over the covered procurement of procuring entities is presumed to be effectively eliminated if the procuring entity is exposed to competition in markets to which access is not restricted.
The other Party may object to the modification referred to in point (a) of paragraph 1 if it disputes that:
a compensatory adjustment proposed under point (b) of paragraph 1 is adequate to maintain a comparable level of mutually agreed market access commitments; or
the modification covers a procuring entity over which the Party has effectively eliminated its control or influence as provided for in paragraph 2.
The other Party shall object in writing within 45 days of receipt of the notification referred to in point (a) of paragraph 1 or be deemed to have accepted the compensatory adjustment or modification, including for the purposes of Title I of Part Six.
Article 291
Rectifications
The following changes to a Sub-section under Section B of Annex 25 shall be considered a rectification, provided that they do not affect the mutually agreed market access commitments provided for in this Title:
a change in the name of a procuring entity;
a merger of two or more procuring entities listed within that Sub-section; and
the separation of a procuring entity listed in that Sub-section into two or more procuring entities that are added to the procuring entities listed in the same Sub-section.
Article 292
Consultations and dispute resolution
If a Party objects to the proposed modification or the proposed compensatory adjustments referred to in Article 290 or to the proposed rectification referred to in Article 291, the Parties shall seek to resolve the issue through consultations. If no agreement is found within 60 days of receipt of the objection, the Party seeking to modify or rectify its Sub-section under Section B of Annex 25 may refer the matter to dispute settlement in accordance with Title I of Part Six, to determine whether the objection is justified.
Article 293
Amendment of Section B of Annex 25
If a Party does not object to the modification pursuant to Article 290(3) or to a rectification pursuant to Article 291(2), or the modifications or rectifications are agreed between the Parties through the consultations referred to in Article 292, or there is a final settlement of the matter under Title I of Part Six, the Partnership Council shall amend the relevant Sub-section under Section B of Annex 25 to reflect the corresponding modifications or rectifications or the compensatory adjustments.
Article 294
Cooperation
TITLE VII
SMALL AND MEDIUM-SIZED ENTERPRISES
Article 295
Objective
The objective of this Title is to enhance the ability of small and medium-sized enterprises to benefit from this Heading.
Article 296
Information sharing
Each Party shall establish or maintain its own publicly accessible website for small and medium-sized enterprises with information regarding this Heading, including:
a summary of this Heading;
a description of the provisions in this Heading that each Party considers to be relevant to small and medium-sized enterprises of both Parties; and
any additional information that each Party considers would be useful for small and medium-sized enterprises interested in benefitting from this Heading.
Each Party shall include an internet link in the website provided for in paragraph 1 to the:
text of this Heading;
equivalent website of the other Party; and
websites of its own authorities that the Party considers would provide useful information to persons interested in trading and doing business in its territory.
Each Party shall include an internet link in the website referred to in paragraph 1 to websites of its own authorities with information related to the following:
customs laws and regulations, procedures for importation, exportation and transit as well as relevant forms, documents and other information required;
laws, regulations and procedures concerning intellectual property rights, including geographical indications;
technical laws and regulations including, where necessary, obligatory conformity assessment procedures and links to lists of conformity assessment bodies, in cases where third party conformity assessment is obligatory, as provided for in Chapter 4 of Title I;
laws and regulations on sanitary and phytosanitary measures relating to importation and exportation as provided for in Chapter 3 of Title I;
laws and regulations on public procurement, single point of access on the internet to public procurement notices as provided for in Title VI and other relevant provisions contained in that Title;
company registration procedures; and
other information which the Party considers may be of assistance to small and medium-sized enterprises.
Each Party shall include an internet link in the website provided for in paragraph 1 to a database that is electronically searchable by tariff nomenclature code and that includes the following information with respect to access to its market:
in respect of tariff measures and tariff-related information:
rates of customs duties and quotas, including most-favoured nation, rates concerning non most-favoured nation countries and preferential rates and tariff rate quotas;
excise duties;
taxes (value added tax/ sales tax);
customs or other fees, including other product specific fees;
rules of origin as provided for in Chapter 2 of Title I;
duty drawback, deferral, or other types of relief that reduce, refund, or waive customs duties;
criteria used to determine the customs value of the good; and
other tariff measures;
in respect of tariff nomenclature related non-tariff measures:
information needed for import procedures; and
information related to non-tariff measures.
Article 297
Small and medium-sized enterprises contact points
The small and medium-sized enterprises contact points of the Parties shall:
seek to ensure that the needs of small and medium-sized enterprises are taken into account in the implementation of this Heading and that small and medium-sized enterprises of both Parties can take advantage of this Heading;
consider ways for strengthening the cooperation on matters of relevance to small and medium-sized enterprises between the Parties in view of increasing trade and investment opportunities for small and medium-sized enterprises;
ensure that the information referred to in Article 296 is up-to-date, accurate and relevant for small and medium-sized enterprises. Either Party may, through the small and medium-sized enterprises contact point, suggest additional information that the other Party may include in its websites to be maintained in accordance with Article 296;
examine any matter relevant to small and medium-sized enterprises in connection with the implementation of this Heading, including:
exchanging information to assist the Partnership Council in its task to monitor and implement the small and medium-sized enterprises-related aspects of this Heading;
assisting specialised committees, joint working groups and contact points established by this Agreement in considering matters of relevance to small and medium-sized enterprises;
report periodically on their activities, jointly or individually, to the Partnership Council for its consideration; and
consider any other matter arising under this Agreement pertaining to small and medium-sized enterprises as the Parties may agree.
Article 298
Relation with Part Six
Title I of Part Six does not apply to this Title.
TITLE VIII
ENERGY
CHAPTER 1
GENERAL PROVISIONS
Article 299
Objectives
The objectives of this Title are to facilitate trade and investment between the Parties in the areas of energy and raw materials, and to support security of supply and environmental sustainability, notably in contributing to the fight against climate change in those areas.
Article 300
Definitions
For the purposes of this Title, the following definitions apply:
"Agency for the Cooperation of Energy Regulators" means the Agency established by Regulation (EU) 2019/942 of the European Parliament and of the Council ( 42 );
"authorisation" means the permission, licence, concession or similar administrative or contractual instrument by which the competent authority of a Party entitles an entity to exercise a certain economic activity in its territory;
"balancing" means:
for electricity systems, all actions and processes, in all timelines, through which electricity transmission system operators ensure, in an ongoing manner, maintenance of the system frequency within a predefined stability range and compliance with the amount of reserves needed with respect to the required quality;
for gas systems, actions undertaken by gas transmission system operators to change the gas flows onto or off the transmission network, excluding those actions related to gas unaccounted for as off-taken from the system and gas used by the transmission system operator for the operation of the system;
"distribution" means:
in relation to electricity, the transport of electricity on high-voltage, medium-voltage and low-voltage distribution systems with a view to its delivery to customers, but does not include supply;
in relation to gas, the transport of natural gas through local or regional pipeline networks with a view to its delivery to customers, but does not include supply;
"distribution system operator" means a natural or legal person who is responsible for operating, ensuring the maintenance of, and, if necessary, developing the electricity or gas distribution system in a given area and, where applicable, its interconnections with other systems, and for ensuring the long-term ability of the system to meet reasonable demands for the distribution of electricity or gas;
"electricity interconnector" means a transmission line:
between the Parties, excluding any such line wholly within the single electricity market in Ireland and Northern Ireland;
between Great Britain and the single electricity market in Ireland and Northern Ireland that is outside the scope of point (i);
"energy goods" means the goods from which energy is generated, listed by the corresponding Harmonised System (HS) code in Annex 26;
"entity" means any natural person, legal person or enterprise or group thereof;
"gas interconnector" means a transmission line which crosses or spans the border between the Parties;
"generation" means the production of electricity;
"hydrocarbons" means the goods listed by the corresponding HS code in Annex 26;
"interconnection point" means, in relation to gas, a physical or virtual point connecting Union and United Kingdom entry-exit systems or connecting an entry-exit system with an interconnector, in so far as these points are subject to booking procedures by network users;
"raw materials" means the goods listed by the corresponding HS chapter in Annex 26;
"renewable energy" means a type of energy, including electrical energy, produced from renewable non-fossil sources;
"standard capacity product" means, in relation to gas, a certain amount of transport capacity over a given period of time, at a specific interconnection point;
"transmission" means:
in relation to electricity, the transport of electricity on the extra high-voltage and high-voltage system with a view to its delivery to customers or to distributors, but does not include supply;
in relation to gas, the transport of natural gas through a network, which mainly contains high-pressure pipelines, other than an upstream pipeline network and other than the part of high-pressure pipelines primarily used in the context of local distribution of natural gas, with a view to its delivery to customers, but not including supply;
"transmission system operator" means a natural or legal person who carries out the function of transmission or is responsible for operating, ensuring the maintenance of, and, if necessary, developing the electricity or gas transmission system in a given area and, where applicable, its interconnections with other systems, and for ensuring the long-term ability of the system to meet reasonable demands for the transport of gas or electricity, as the case may be;
"upstream pipeline network" means any pipeline or network of pipelines operated or constructed as part of an oil or gas production project, or used to convey natural gas from one or more such projects to a processing plant or terminal or final coastal landing terminal.
Article 301
Relationship with other Titles
Article 302
Principles
Each Party preserves the right to adopt, maintain and enforce measures necessary to pursue legitimate public policy objectives, such as securing the supply of energy goods and raw materials, protecting society, the environment, including fighting against climate change, public health and consumers and promoting security and safety, consistent with the provisions of this Agreement.
CHAPTER 2
ELECTRICITY AND GAS
SECTION 1
COMPETITION IN ELECTRICITY AND GAS MARKETS
Article 303
Competition in markets and non-discrimination
Article 304
Provisions relating to wholesale electricity and gas markets
Each Party shall ensure that wholesale electricity and natural gas prices reflect actual supply and demand. To that end, each Party shall ensure that wholesale electricity and natural gas market rules:
encourage free price formation;
do not set any technical limits on pricing that restrict trade;
enable the efficient dispatch of electricity generation assets, energy storage and demand response and the efficient use of the electricity system;
enable the efficient use of the natural gas system; and
enable the integration of electricity from renewable energy sources, and ensure the efficient and secure operation and development of the electricity system.
Each Party shall ensure that balancing markets are organised in such a way as to ensure:
non-discrimination between participants and non-discriminatory access to participants;
that services are defined in a transparent manner;
that services are procured in a transparent, market-based manner, taking account of the advent of new technologies; and
that producers of renewable energy are accorded reasonable and non-discriminatory terms when procuring products and services.
A Party may decide not to apply point (c) if there is a lack of competition in the market for balancing services.
Article 305
Prohibition of market abuse on wholesale electricity and gas markets
Article 306
Third-party access to transmission and distribution networks
Each Party shall ensure that transmission system operators treat producers of renewable energy on reasonable and non-discriminatory terms regarding connection to, and use of, the electricity network.
The transmission or distribution system operator may refuse access where it lacks the necessary capacity. Duly substantiated reasons shall be given for any such refusal.
Article 307
System operation and unbundling of transmission network operators
Article 308
Public policy objectives for third-party access and ownership unbundling
Where necessary to fulfil a legitimate public policy objective and based on objective criteria, a Party may decide not to apply Articles 306 and 307 to the following:
emergent or isolated markets or systems;
infrastructure which meets the conditions set out in Annex 28.
Where necessary to fulfil a legitimate public policy objective and based on objective criteria, a Party may decide not to apply Articles 303 and 304 to:
small or isolated electricity markets or systems;
small, emergent or isolated natural gas markets or systems.
Article 309
Existing exemptions for interconnectors
Each Party shall ensure that exemptions granted to interconnections between the Union and the United Kingdom under Article 63 of Regulation (EU) 2019/943 of the European Parliament and of the Council ( 43 ) and under the law transposing Article 36 of Directive 2009/73/EC of the European Parliament and of the Council ( 44 ) in their respective jurisdictions, the terms of which extend beyond the transition period, continue to apply in accordance with the laws of their respective jurisdictions and the terms applicable.
Article 310
Independent regulatory authority
Each Party shall ensure the designation and maintenance of an operationally independent regulatory authority or authorities for electricity and gas with the following powers and duties:
fixing or approving the tariffs, charges and conditions for access to networks referred to in Article 306, or the methodologies underlying them;
ensuring compliance with the arrangements referred to in Articles 307 and 308;
issuing binding decisions at least in relation to points (a) and (b);
imposing effective remedies.
SECTION 2
TRADING OVER INTERCONNECTORS
Article 311
Efficient use of electricity interconnectors
With the aim of ensuring the efficient use of electricity interconnectors and reducing barriers to trade between the Union and the United Kingdom, each Party shall ensure that:
capacity allocation and congestion management on electricity interconnectors is market based, transparent and non-discriminatory;
the maximum level of capacity of electricity interconnectors is made available, respecting the:
need to ensure secure system operation; and
most efficient use of systems;
electricity interconnector capacity may only be curtailed in emergency situations and any such curtailment takes place in a non-discriminatory manner;
information on capacity calculation is published to support the objectives of this Article;
there are no network charges on individual transactions on, and no reserve prices for the use of, electricity interconnectors;
capacity allocation and congestion management across electricity interconnectors is coordinated between concerned Union transmission system operators and United Kingdom transmission system operators; this coordination shall involve the development of arrangements to deliver robust and efficient outcomes for all relevant timeframes, being forward, day-ahead, intraday and balancing; and
capacity allocation and congestion management arrangements contribute to supportive conditions for the development of, and investment in, economically efficient electricity interconnection.
Each Party shall take the necessary steps to ensure the conclusion as soon as possible of a multi-party agreement relating to the compensation for the costs of hosting cross-border flows of electricity between:
transmission system operators participating in the inter-transmission system operator compensation mechanism established by Commission Regulation (EU) No 838/2010 ( 45 ); and
United Kingdom transmission system operators.
The multi-party agreement referred to in paragraph 3 shall aim to ensure:
that United Kingdom transmission system operators are treated on an equivalent basis to a transmission system operator in a country participating in the inter-transmission system operator compensation mechanism; and
the treatment of United Kingdom transmission system operators is not more favourable in comparison to that which would apply to a transmission system operator participating in the inter-transmission system operator compensation mechanism.
Article 312
Electricity trading arrangements at all timeframes
Article 313
Efficient use of gas interconnectors
With the aim of ensuring the efficient use of gas interconnectors and reducing barriers to trade between the Union and the United Kingdom, each Party shall ensure that:
the maximum level of capacity of gas interconnectors is made available, respecting the principle of non-discrimination and taking account of:
the need to ensure secure system operation; and
the most efficient use of systems;
capacity allocation mechanisms and congestion management procedures for gas interconnectors are market-based, transparent and non-discriminatory, and that auctions are generally used for the allocation of capacity at interconnection points.
Each Party shall take the necessary steps to ensure that:
transmission system operators endeavour to offer jointly standard capacity products which consist of corresponding entry and exit capacity at both sides of an interconnection point;
transmission system operators coordinate procedures relating to the use of gas interconnectors between Union transmission system operators and United Kingdom transmission system operators concerned.
SECTION 3
NETWORK DEVELOPMENT AND SECURITY OF SUPPLY
Article 314
Network development
Article 315
Cooperation on security of supply
Article 316
Risk preparedness and emergency plans
The measures contained in the plans referred to in paragraph 2 shall:
be clearly defined, transparent, proportionate, non-discriminatory and verifiable;
not significantly distort trade between the Parties; and
not endanger the security of supply of electricity or natural gas of the other Party.
In the event of a crisis, the Parties shall only activate non-market based measures as a last resort.
SECTION 4
TECHNICAL COOPERATION
Article 317
Cooperation between transmission system operators
The working arrangements referred to in the first subparagraph shall include frameworks for cooperation between the European Network of Transmission System Operators for Electricity established in accordance with Regulation (EU) 2019/943 ("ENTSO-E") and the European Network of Transmission System Operators for Gas established in accordance with Regulation (EC) No 715/2009 of the European Parliament and of the Council ( 46 ) ("ENTSOG"), on the one side, and the transmission system operators for electricity and gas in the United Kingdom, on the other. Those frameworks shall cover at least the following areas:
electricity and gas markets;
access to networks;
the security of electricity and gas supply;
offshore energy;
infrastructure planning;
the efficient use of electricity and gas interconnectors; and
gas decarbonisation and gas quality.
The Specialised Committee on Energy shall agree on guidance on the working arrangements and frameworks for cooperation for dissemination to transmission system operators as soon as practicable.
The frameworks for cooperation mentioned in the second subparagraph shall not involve, or confer a status comparable to, membership in ENTSO-E or ENTSOG by United Kingdom transmission system operators.
Article 318
Cooperation between regulatory authorities
The Parties shall ensure that the Agency for the Cooperation of Energy Regulators and the regulatory authority in the United Kingdom designated in accordance with Article 310 develop contacts and enter into administrative arrangements as soon as possible in order to facilitate meeting the objectives of this Agreement. The contacts and administrative arrangements shall cover at least the following areas:
electricity and gas markets;
access to networks;
the prevention of market abuse on wholesale electricity and gas markets;
the security of electricity and gas supply;
infrastructure planning;
offshore energy;
the efficient use of electricity and gas interconnectors;
cooperation between transmission system operators; and
gas decarbonisation and gas quality.
The Specialised Committee on Energy shall agree on guidance on the administrative arrangements for such cooperation for dissemination to regulatory authorities as soon as practicable.
CHAPTER 3
SAFE AND SUSTAINABLE ENERGY
Article 319
Renewable energy and energy efficiency
Each Party shall ensure that its rules that apply to licencing or equivalent measures applicable to energy from renewable sources are necessary and proportionate.
The Union reaffirms its energy efficiency targets for 2030 as set out in the Directive 2012/27/EU of the European Parliament and of the Council ( 48 ).
The United Kingdom reaffirms:
its ambition for the share of energy from renewable sources in gross final energy consumption in 2030 as set out in its National Energy and Climate Plan;
its ambition for the absolute level of primary and final energy consumption in 2030 as set out in its National Energy and Climate Plan.
Article 320
Support for renewable energy
Article 321
Cooperation in the development of offshore renewable energy
Building on the North Seas Energy Cooperation, the Parties shall enable the creation of a specific forum for technical discussions between the European Commission, ministries and public authorities of the Member States, United Kingdom ministries and public authorities, transmission system operators and the offshore energy industry and stakeholders more widely, in relation to offshore grid development and the large renewable energy potential of the North Seas region. That cooperation shall include at least the following areas:
hybrid and joint projects;
maritime spatial planning;
support framework and finance;
best practices on respective onshore and offshore grid planning;
the sharing of information on new technologies; and
the exchange of best practices in relation to the relevant rules, regulations and technical standards.
Article 322
Offshore risk and safety
Article 323
Cooperation on standards
In accordance with Articles 92 and 98, the Parties shall promote cooperation between the regulators and standardisation bodies located within their respective territories to facilitate the development of international standards with respect to energy efficiency and renewable energy, with a view to contributing to sustainable energy and climate policy.
Article 324
Research, development and innovation
The Parties shall promote research, development and innovation in the areas of energy efficiency and renewable energy.
CHAPTER 4
ENERGY GOODS AND RAW MATERIALS
Article 325
Export pricing
A Party shall not impose a higher price for exports of energy goods or raw materials to the other Party than the price charged for those energy goods or raw materials when destined for the domestic market, by means of any measures such as licences or minimum price requirements.
Article 326
Regulated pricing
If a Party decides to regulate the price of the domestic supply to consumers of electricity or natural gas, it may do so only to achieve a public policy objective, and only by imposing a regulated price that is clearly defined, transparent, non-discriminatory and proportionate.
Article 327
Authorisation for exploration and production of hydrocarbons and generation of electricity
Article 328
Safety and integrity of energy equipment and infrastructure
This Title shall not be construed as preventing a Party from adopting temporary measures necessary to protect the safety and preserve the integrity of energy equipment or infrastructure, provided that those measures are not applied in a manner which would constitute a disguised restriction on trade or investment between the Parties.
CHAPTER 5
FINAL PROVISIONS
Article 329
Effective implementation and amendments
Article 330
Dialogue
The Parties shall establish a regular dialogue to facilitate meeting the objectives of this Title.
Article 331
Termination of this Title
TITLE IX
TRANSPARENCY
Article 332
Objective
Article 333
Definition
For the purposes of this Title, "administrative decision" means a decision or action with legal effect that applies to a specific person, good or service in an individual case, and covers the failure to take a decision or take such action when that is so required by the law of a Party.
Article 334
Scope
This Title applies with respect to Titles I to VIII and Titles X to XII of this Heading and Heading Six.
Article 335
Publication
Article 336
Enquiries
Article 337
Administration of measures of general application
When administrative proceedings relating to persons, goods or services of the other Party are initiated in respect of the application of laws or regulations, each Party shall:
endeavour to provide persons who are directly affected by the administrative proceedings with reasonable notice in accordance with its laws and regulations, including a description of the nature of the proceedings, a statement of the legal authority under which the proceedings are initiated and a general description of any issues in controversy; and
afford such persons a reasonable opportunity to present facts and arguments in support of their positions prior to any final administrative decision insofar as time, the nature of the proceedings and the public interest permit.
Article 338
Review and appeal
Article 339
Relation to other Titles
The provisions set out in this Title supplement the specific transparency rules set out in those Titles of this Heading with respect to which this Title applies.
TITLE X
GOOD REGULATORY PRACTICES AND REGULATORY COOPERATION
Article 340
General principles
Nothing in this Title shall be construed as requiring a Party to:
deviate from its domestic procedures for preparing and adopting regulatory measures;
take actions that would undermine or impede the timely adoption of regulatory measures to achieve its public policy objectives; or
achieve any particular regulatory outcome.
Nothing in this Title shall affect the right of a Party to define or regulate its own levels of protection in pursuit or furtherance of its public policy objectives in areas such as:
public health;
human, animal or plant life and health, and animal welfare;
occupational health and safety;
labour conditions;
environment including climate change;
consumer protection;
social protection and social security;
data protection and cybersecurity;
cultural diversity;
integrity and stability of the financial system, and protection of investors;
energy security; and
anti-money laundering.
For greater certainty, for the purposes of in particular point (c) and (d) of the first subparagraph, the different models of industrial relations, including the role and autonomy of social partners, as provided for in the law or national practices of a Party, shall continue to apply, including laws and practices concerning collective bargaining and the enforcement of collective agreements.
Article 341
Definitions
For the purposes of this Title, the following definitions apply:
"regulatory authority" means:
for the Union, the European Commission; and
for 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.
"regulatory measures" means:
for the Union:
regulations and directives, as provided for in Article 288 TFEU; and
implementing and delegated acts, as provided for in Articles 290 and 291 TFEU, respectively; and
for the United Kingdom:
primary legislation; and
secondary legislation.
Article 342
Scope
Article 343
Internal coordination
Each Party shall have in place internal coordination or review processes or mechanisms with respect to regulatory measures that its regulatory authority is preparing. Such processes or mechanisms should seek, inter alia, to:
foster good regulatory practices, including those set forth in this Title;
identify and avoid unnecessary duplication and inconsistent requirements between the Party's own regulatory measures;
ensure compliance with the Party's international trade and investment obligations; and
promote the consideration of the impact of the regulatory measures under preparation, including the impact on small and medium-sized enterprises ( 50 ), in accordance with its respective rules and procedures.
Article 344
Description of processes and mechanisms
Each Party shall make publicly available descriptions of the processes or mechanisms used by its regulatory authority to prepare, evaluate or review regulatory measures. Those descriptions shall refer to relevant rules, guidelines or procedures, including those regarding opportunities for the public to provide comments.
Article 345
Early information on planned regulatory measures
With respect to each major regulatory measure included in the list referred to in paragraph 1, each Party should also make publicly available, as early as possible:
a brief description of its scope and objectives; and
if available, the estimated time for its adoption, including any opportunities for public consultation.
Article 346
Public consultation
When preparing a major regulatory measure, each Party, in accordance with its respective rules and procedures, shall ensure that its regulatory authority:
publishes either the draft regulatory measure or consultation documents providing sufficient details about the regulatory measure under preparation to allow any person to assess whether and how that person's interests might be significantly affected;
offers, on a non-discriminatory basis, reasonable opportunities for any person to provide comments; and
considers the comments received.
Article 347
Impact assessment
When carrying out an impact assessment, each Party shall ensure that its regulatory authority has processes and mechanisms in place that promote the consideration of the following factors:
the need for the regulatory measure, including the nature and the significance of the problem that the regulatory measure intends to address;
any feasible and appropriate regulatory or non-regulatory options that would achieve the Party's public policy objectives, including the option of not regulating;
to the extent possible and relevant, the potential social, economic and environmental impact of those options, including the impact on international trade and investment and, in accordance with its respective rules and procedures, the impact on small and medium-sized enterprises; and
where appropriate, how the options under consideration relate to relevant international standards, including the reasons for any divergence.
Article 348
Retrospective evaluation
Article 349
Regulatory register
Each Party shall ensure that regulatory measures that are in effect are published in a designated register that identifies regulatory measures and that is publicly available online free of charge. The register should allow searches for regulatory measures by citations or by word. Each Party shall periodically update its register.
Article 350
Exchange of information on good regulatory practices
The Parties shall endeavour to exchange information on their good regulatory practices as set out in this Title, including in the Trade Specialised Committee on Regulatory Cooperation.
Article 351
Regulatory cooperation activities
In order to identify activities that are suitable for regulatory cooperation, each Party shall consider:
the list referred to in Article 345(1); and
proposals for regulatory cooperation activities submitted by persons of a Party that are substantiated and accompanied by relevant information.
If the Parties decide to engage in a regulatory cooperation activity, the regulatory authority of each Party shall endeavour, where appropriate:
to inform the regulatory authority of the other Party about the preparation of new or the revision of existing regulatory measures and other measures of general application referred to in Article 342(2) that are relevant to the regulatory cooperation activity;
on request, to provide information and discuss regulatory measures and other measures of general application referred to in Article 342(2) that are relevant to the regulatory cooperation activity; and
when preparing new or revising existing regulatory measures or other measures of general application referred to in Article 342(2), consider, to the extent feasible, any regulatory approach by the other Party on the same or a related matter.
Article 352
Trade Specialised Committee on Regulatory Cooperation
The Trade Specialised Committee on Regulatory Cooperation shall have the following functions:
enhancing and promoting good regulatory practices and regulatory cooperation between the Parties;
exchanging views with respect to the cooperation activities proposed or carried out under Article 351;
encouraging regulatory cooperation and coordination in international fora, including, when appropriate, periodic bilateral exchanges of information on relevant ongoing or planned activities.
Article 353
Contact points
Within a month after the entry into force of this Agreement, each Party shall designate a contact point to facilitate the exchange of information between the Parties.
Article 354
Non-application of dispute settlement
Title I of Part Six does not apply in respect of disputes regarding the interpretation and application of this Title.
TITLE XI
LEVEL PLAYING FIELD FOR OPEN AND FAIR COMPETITION AND SUSTAINABLE DEVELOPMENT
CHAPTER 1
GENERAL PROVISIONS
Article 355
Principles and objectives
Article 356
Right to regulate, precautionary approach ( 52 ) and scientific and technical information
Article 357
Dispute settlement
Title I of Part Six does not apply to this Chapter, except for Article 356(2). Articles 408 and 409 apply to Article 355(3).
CHAPTER 2
COMPETITION POLICY
Article 358
Principles and definitions
Article 359
Competition law
In recognition of the principles set out in Article 358, each Party shall maintain a competition law which effectively addresses the following anticompetitive business practices:
agreements between economic actors, decisions by associations of economic actors and concerted practices which have as their object or effect the prevention, restriction or distortion of competition;
abuse by one or more economic actors of a dominant position; and
for the United Kingdom, mergers or acquisitions and, for the Union, concentrations, between economic actors which may have significant anticompetitive effects.
Article 360
Enforcement
Article 361
Cooperation
Article 362
Dispute settlement
This Chapter shall not be subject to dispute settlement under Title I of Part Six.
CHAPTER 3
SUBSIDY CONTROL
Article 363
Definitions
For the purposes of this Chapter, the following definitions apply:
"economic actor" means an entity or a group of entities constituting a single economic entity, regardless of its legal status, that is engaged in an economic activity by offering goods or services on a market;
"subsidy" means financial assistance which:
arises from the resources of the Parties, including:
a direct or contingent transfer of funds such as direct grants, loans or loan guarantees;
the forgoing of revenue that is otherwise due; or
the provision of goods or services, or the purchase of goods or services;
confers an economic advantage on one or more economic actors;
is specific insofar as it benefits, as a matter of law or fact, certain economic actors over others in relation to the production of certain goods or services; and
has, or could have, an effect on trade or investment between the Parties.
For the purposes of point (b)(iii) of paragraph 1:
a tax measure shall not be considered as specific unless:
certain economic actors obtain a reduction in the tax liability that they otherwise would have borne under the normal taxation regime; and
those economic actors are treated more advantageously than others in a comparable position within the normal taxation regime; for the purposes of this point, a normal taxation regime is defined by its internal objective, by its features (such as the tax base, the taxable person, the taxable event or the tax rate) and by an authority which is autonomous institutionally, procedurally, economically and financially and has the competence to design the features of the taxation regime;
notwithstanding point (a), a subsidy shall not be regarded as specific if it is justified by principles inherent to the design of the general system; in the case of tax measures, examples of such inherent principles are the need to fight fraud or tax evasion, administrative manageability, the avoidance of double taxation, the principle of tax neutrality, the progressive nature of income tax and its redistributive purpose, or the need to respect taxpayers' ability to pay;
notwithstanding point (a), special purpose levies shall not be regarded as specific if their design is required by non-economic public policy objectives, such as the need to limit the negative impacts of certain activities or products on the environment or human health, insofar as the public policy objectives are not discriminatory ( 53 ).
Article 364
Scope and exceptions
Article 365
Services of public economic interest
Article 366
Principles
With a view to ensuring that subsidies are not granted where they have or could have a material effect on trade or investment between the Parties, each Party shall have in place and maintain an effective system of subsidy control that ensures that the granting of a subsidy respects the following principles:
subsidies pursue a specific public policy objective to remedy an identified market failure or to address an equity rationale such as social difficulties or distributional concerns ("the objective");
subsidies are proportionate and limited to what is necessary to achieve the objective;
subsidies are designed to bring about a change of economic behaviour of the beneficiary that is conducive to achieving the objective and that would not be achieved in the absence of subsidies being provided;
subsidies should not normally compensate for the costs the beneficiary would have funded in the absence of any subsidy;
subsidies are an appropriate policy instrument to achieve a public policy objective and that objective cannot be achieved through other less distortive means;
subsidies' positive contributions to achieving the objective outweigh any negative effects, in particular the negative effects on trade or investment between the Parties.
Article 367
Prohibited subsidies and subsidies subject to conditions
Subsidies in the form of unlimited guarantees
Rescue and restructuring
Banks, credit institutions and insurance companies
Export subsidies
Subsidies that are contingent in law or in fact ( 54 ), whether solely or as one of several other conditions, upon export performance relating to goods or services, shall be prohibited, except in relation to:
short-term credit insurance for non-marketable risks; or
export credits and export credit guarantee or insurance programmes that are permissible in accordance with the SCM Agreement, read with any adjustments necessary for context.
For the purposes of point (a) of paragraph 8, "marketable risk" means commercial and political risks with a maximum risk period of less than two years on public and non-public buyers in marketable risk countries ( 55 ). A country may be understood to be temporarily removed from the group of marketable risk countries if there is a lack of sufficient private market capacity because of:
a significant contraction of private credit insurance capacity;
a significant deterioration of sovereign sector rating; or
a significant deterioration of corporate sector performance.
Subsidies contingent upon the use of domestic content
Large cross-border or international cooperation projects
Energy and environment
Subsidies to air carriers for the operation of routes
Subsidies shall not be granted to an air carrier ( 56 ) for the operation of routes except:
where there is a public service obligation, in accordance with Article 365;
in special cases where this funding provides benefits for society at large; or
as start-up subsidies for opening new routes to regional airports provided that such subsidies increase the mobility of citizens and stimulate regional development.
Article 368
Use of subsidies
Each Party shall ensure that economic actors use subsidies only for the specific purpose for which they are granted.
Article 369
Transparency
With respect to any subsidy granted or maintained within its territory, each Party shall within six months from the granting of the subsidy make publicly available, on an official website or a public database, the following information:
the legal basis and policy objective or purpose of the subsidy;
the name of the recipient of the subsidy when available;
the date of the grant of the subsidy, the duration of the subsidy and any other time limits attached to the subsidy; and
the amount of the subsidy or the amount budgeted for the subsidy.
For the United Kingdom, compliance with paragraph 3 means that the United Kingdom shall ensure that:
if an interested party communicates to the granting authority that it may apply for a review by a court or tribunal of:
the grant of a subsidy by a granting authority; or
any relevant decision by the granting authority or the independent body or authority;
then, within 28 days of the request being made in writing, the granting authority, independent body or authority shall provide that interested party with the information that allows the interested party to assess the application of the principles set out in Article 366, subject to any proportionate restrictions which pursue a legitimate objective, such as commercial sensitivity, confidentiality or legal privilege.
The information referred to in point (b) of the first subparagraph shall be provided to the interested party for the purposes of enabling it to make an informed decision as to whether to make a claim or to understand and properly identify the issues in dispute in the proposed claim.
Article 370
Consultations on subsidy control
Article 371
Independent authority or body and cooperation
Article 372
Courts and tribunals
Each Party shall ensure, in accordance with its general and constitutional laws and procedures, that its courts or tribunals are competent to:
review subsidy decisions taken by a granting authority or, where relevant, the independent authority or body for compliance with that Party's law implementing Article 366;
review any other relevant decisions of the independent authority or body and any relevant failure to act;
impose remedies that are effective in relation to point (a) or (b), including the suspension, prohibition or requirement of action by the granting authority, the award of damages, and the recovery of a subsidy from its beneficiary, if and to the extent that those remedies are available under the respective laws on the date of entry into force of this Agreement;
hear claims from interested parties in respect of subsidies that are subject to this Chapter where an interested party has standing to bring a claim in respect of a subsidy under that Party's law.
Article 373
Recovery
Each Party shall ensure that, provided that the interested party as defined in Article 369 has challenged a decision to grant a subsidy before a court or a tribunal within the specified time period, as defined in paragraph 3 of this Article, recovery may be ordered if a court or tribunal of a Party makes a finding of a material error of law, in that:
a measure constituting a subsidy was not treated by the grantor as a subsidy;
the grantor of a subsidy has failed to apply the principles set out in Article 366, as implemented in that Party's law, or applied them in a manner which falls below the standard of review applicable in that Party's law; or
the grantor of a subsidy has, by deciding to grant that subsidy, acted outside the scope of its powers or misused those powers in relation to the principles set out in Article 366, as implemented in that Party's law.
For the purposes of this Article, the specified time period shall be determined as follows:
for the Union, it shall commence on the date on which information specified in Article 369(1), (2) and (4) was made available on the official website or public database and be no shorter than one month.
for the United Kingdom:
it shall commence on the date on which information specified in Article 369(1) and (2) was made available on the official website or public database;
it shall terminate one month later, unless, prior to that date, the interested party has requested information under the process specified in Article 369(5);
once the interested party has received the information identified in point (b) of Article 369(5) sufficient for the purposes identified in Article 369(5), there shall be a further one month period at the end of which the specified time period shall terminate;
the date of receipt of the information in point (iii) will be the date on which the granting authority certifies that it has provided the information identified in point (b) of Article 369(5) sufficient for those purposes, irrespective of further or clarificatory correspondence after that date;
the time periods identified in points (i), (ii) and (iii) may be increased by legislation.
For the purposes of point (b) of paragraph 3 in relation to schemes, the specified time period commences when the information under point (b) of this paragraph is published, not when subsequent payments are made, where:
a subsidy is ostensibly granted in accordance with the terms of a scheme;
the maker of the scheme has made publicly available the information required to be published by Article 369(1) and (2) in respect of the scheme; and
the information provided about the scheme under point (b) of this paragraph contains information about the subsidy that would enable an interested party to determine whether it may be affected by the scheme, which at a minimum shall cover the purpose of the subsidy, the categories of beneficiary, the terms and conditions of eligibility for the subsidy and the basis for the calculation of the subsidy (including any relevant conditions relating to subsidy ratios or amounts).
Article 374
Remedial measures
Within five days from the date on which the remedial measures referred to in paragraph 3 enter into effect and without having prior recourse to consultations in accordance with Article 738, the notified Party may request, in accordance with Article 739(2), the establishment of an arbitration tribunal by means of a written request delivered to the requesting Party in order for the arbitration tribunal to decide whether:
a remedial measure taken by the requesting Party is inconsistent with paragraph 3 or 8;
the requesting Party did not participate in the consultations after the requested Party delivered the requested information and agreed to the holding of such consultations; or
there was a failure to take or notify a remedial measure in accordance with the time periods referred to in paragraph 3 or 4 respectively.
That request shall not have a suspensive effect on the remedial measures. Furthermore, the arbitration tribunal shall not assess the application by the Parties of Articles 366 and 367.
For the purposes of assessing whether imposing or maintaining remedial measures on imports of the same product is restricted to what is strictly necessary or proportionate for the purposes of this Article, a Party:
shall take into account countervailing measures applied or maintained pursuant to Article 32(3); and
may take into account anti-dumping measures applied or maintained pursuant to Article 32(3).
Article 375
Dispute settlement
An arbitration tribunal shall have no jurisdiction regarding:
an individual subsidy, including whether such a subsidy has respected the principles set out in Article 366(1), other than with regard to the conditions set out in Article 367(2), Article 367(3), (4) and (5), Article 367(8) to (11) and Article 367(12); and
whether the recovery remedy within the meaning of Article 373 has been correctly applied in any individual case.
CHAPTER 4
STATE-OWNED ENTERPRISES, ENTERPRISES GRANTED SPECIAL RIGHTS OR PRIVILEGES AND DESIGNATED MONOPOLIES
Article 376
Definitions
For the purposes of this Chapter, the following definitions apply:
"Arrangement" means the Arrangement on Officially Supported Export Credits, developed within the framework of the OECD or a successor undertaking, whether developed within or outside of the OECD framework, that has been adopted by at least 12 original WTO Members that were Participants to the Arrangement as of 1 January 1979;
"commercial activities" means activities, the end result of which is the production of a good or the supply of a service to be sold in the relevant market in quantities and at prices determined by an enterprise on the basis of the conditions of supply and demand, and which are undertaken with an orientation towards profit-making; activities undertaken by an enterprise which operates on a non-profit basis or a cost-recovery basis are not activities undertaken with an orientation towards profit-making;
"commercial considerations" means considerations of price, quality, availability, marketability, transportation and other terms and conditions of purchase or sale, or other factors that would normally be taken into account in the commercial decisions of a privately owned enterprise operating according to market economy principles in the relevant business or industry;
"covered entity" means:
a designated monopoly;
an enterprise granted special rights or privileges; or
a State-owned enterprise;
"designated monopoly" means an entity, including a consortium or a government agency, that, in a relevant market in the territory of a Party, is designated as the sole supplier or purchaser of a good or service, but does not include an entity that has been granted an exclusive intellectual property right solely by reason of such grant; in this context, designate means to establish or authorise a monopoly, or to expand the scope of a monopoly to cover an additional good or service;
"enterprise" means enterprise as defined in point (g) of Article 124;
"enterprise granted special rights or privileges" means any enterprise, public or private, to which a Party has granted special rights or privileges, in law or in fact;
"service supplied in the exercise of governmental authority" means a service supplied in the exercise of governmental authority as defined in GATS;
"special rights or privileges" means rights or privileges by which a Party designates or limits to two or more the number of enterprises authorised to supply a good or service, other than according to objective, proportional and non-discriminatory criteria, substantially affecting the ability of any other enterprise to supply the same good or service in the same geographical area or product market under substantially equivalent conditions;
"State-owned enterprise" means an enterprise in which a Party:
directly owns more than 50 % of the share capital;
controls, directly or indirectly, the exercise of more than 50 % of the voting rights;
holds the power to appoint a majority of the members of the board of directors or any other equivalent management body; or
has the power to exercise control over the enterprise. For the establishment of control, all relevant legal and factual elements shall be taken into account on a case-by-case basis.
Article 377
Scope
This Chapter does not apply to:
covered entities when acting as procuring entities, as defined in each Party's Annexes 1 to 3 to Appendix I to the GPA and paragraph 1 of each Party's respective subsections of Section B of Annex 25, conducting covered procurement as defined in Article 277(2);
any service supplied in the exercise of governmental authority.
Article 380 does not apply to the supply of financial services by a covered entity pursuant to a government mandate, if that supply of financial services:
supports exports or imports, provided that those services are:
not intended to displace commercial financing; or
offered on terms no more favourable than those that could be obtained for comparable financial services in the commercial market; or
supports private investment outside the territory of the Party, provided that those services are:
not intended to displace commercial financing; or
offered on terms no more favourable than those that could be obtained for comparable financial services in the commercial market; or
is offered on terms consistent with the Arrangement, if the supply of those services falls within the scope of the Arrangement.
Article 380 does not apply to the extent that a covered entity of a Party makes purchases or sales of goods or services pursuant to:
any existing non-conforming measure that the Party maintains, continues, renews or amends in accordance with Article 133(1) or 139(1) as set out in its Schedules to Annexes 19 and 20, as applicable; or
any non-conforming measure that the Party adopts or maintains with respect to sectors, subsectors, or activities in accordance with Article 133(2) or 139(2) as set out in its Schedules to Annexes 19 and 20, as applicable.
Article 378
Relationship with the WTO Agreement
The Parties affirm their rights and obligations under paragraphs 1 to 3 of Article XVII of GATT 1994, the Understanding on the Interpretation of Article XVII of the GATT 1994, as well as under paragraphs 1, 2 and 5 of Article VIII of GATS.
Article 379
General provisions
Article 380
Non-discriminatory treatment and commercial considerations
Each Party shall ensure that each of its covered entities, when engaging in commercial activities:
acts in accordance with commercial considerations in its purchase or sale of a good or service, except to fulfil any terms of its public service mandate that are not inconsistent with point (b) or (c);
in its purchase of a good or service:
accords to a good or service supplied by an enterprise of the other Party treatment no less favourable than it accords to a like good or a like service supplied by enterprises of the Party; and
accords to a good or service supplied by a covered entity in the Party's territory treatment no less favourable than it accords to a like good or a like service supplied by enterprises of the Party in the relevant market in the Party's territory; and
in its sale of a good or service:
accords to an enterprise of the other Party treatment no less favourable than it accords to enterprises of the Party; and
accords to a covered entity in the Party's territory, treatment no less favourable than it accords to enterprises of the Party in the relevant market in the Party's territory. ( 61 )
Points (b) and (c) of paragraph 1 do not preclude a covered entity from:
purchasing or supplying goods or services on different terms or conditions, including terms or conditions relating to price, provided that those different terms or conditions are in accordance with commercial considerations; or
refusing to purchase or supply goods or services, provided that such refusal is made in accordance with commercial considerations.
Article 381
Regulatory framework
Each Party shall ensure that any regulatory body, and any other body exercising a regulatory function, that that Party establishes or maintains:
is independent from, and not accountable to, any of the enterprises regulated by that body; and
in like circumstances, acts impartially with respect to all enterprises regulated by that body, including covered entities; the impartiality with which the body exercises its regulatory functions is to be assessed by reference to a general pattern or practice of that body.
For those sectors in which the Parties have agreed to specific obligations relating to such a body in this Agreement, the relevant provisions of this Agreement shall prevail.
Article 382
Information exchange
Provided that the request referred to in paragraph 1 includes an explanation of how the activities of the entity may be affecting the interests of the requesting Party under this Chapter and indicates which of the following categories of information is or are to be provided, the requested Party shall provide the information so requested:
the ownership and the voting structure of the entity, indicating the cumulative percentage of shares and the percentage of voting rights that the requested Party and its covered entities cumulatively have in the entity;
a description of any special shares or special voting or other rights that the requested Party or its covered entities hold, to the extent that such rights are different from those attached to the general common shares of the entity;
a description of the organisational structure of the entity and the composition of its board of directors or of any equivalent body;
a description of the government departments or public bodies which regulate or monitor the entity, a description of the reporting requirements imposed on it by those departments or public bodies, and the rights and practices of those departments or public bodies with respect to the appointment, dismissal or remuneration of senior executives and members of its board of directors or any equivalent body;
the annual revenue and total assets of the entity over the most recent three-year period for which information is available;
any exemptions, immunities and related measures from which the entity benefits under the laws and regulations of the requested Party;
any additional information regarding the entity that is publicly available, including annual financial reports and third-party audits.
CHAPTER 5
TAXATION
Article 383
Good governance
The Parties recognise and commit to implementing the principles of good governance in the area of taxation, in particular the global standards on tax transparency and exchange of information and fair tax competition. The Parties reiterate their support for the OECD Base Erosion and Profit Shifting (BEPS) Action Plan and affirm their commitment to implementing the OECD minimum standards against BEPS. The Parties will promote good governance in tax matters, improve international cooperation in the area of taxation and facilitate the collection of tax revenues.
Article 384
Taxation standards
A Party shall not weaken or reduce the level of protection provided for in its legislation at the end of the transition period below the level provided for by the standards and rules which have been agreed in the OECD at the end of the transition period, in relation to:
the exchange of information, whether upon request, spontaneously or automatically, concerning financial accounts, cross-border tax rulings, country-by-country reports between tax administrations, and potential cross-border tax planning arrangements;
rules on interest limitation, controlled foreign companies and hybrid mismatches.
Article 385
Dispute settlement
This Chapter shall not be subject to dispute settlement under Title I of Part Six.
CHAPTER 6
LABOUR AND SOCIAL STANDARDS
Article 386
Definition
For the purposes of this Chapter, "labour and social levels of protection" means the levels of protection provided overall in a Party's law and standards ( 62 ), in each of the following areas:
fundamental rights at work;
occupational health and safety standards;
fair working conditions and employment standards;
information and consultation rights at company level; or
restructuring of undertakings.
Article 387
Non-regression from levels of protection
Article 388
Enforcement
For the purposes of enforcement as referred to in Article 387 each Party shall have in place and maintain a system for effective domestic enforcement and, in particular, an effective system of labour inspections in accordance with its international commitments relating to working conditions and the protection of workers; ensure that administrative and judicial proceedings are available that allow public authorities and individuals with standing to bring timely actions against violations of the labour law and social standards; and provide for appropriate and effective remedies, including interim relief, as well as proportionate and dissuasive sanctions. In the domestic implementation and enforcement of Article 387, each Party shall respect the role and autonomy of the social partners at a national level, where relevant, in line with applicable law and practice.
Article 389
Dispute settlement
CHAPTER 7
ENVIRONMENT AND CLIMATE
Article 390
Definitions
For the purposes of this Chapter, "environmental levels of protection" means the levels of protection provided overall in a Party's law which have the purpose of protecting the environment, including the prevention of a danger to human life or health from environmental impacts, including in each of the following areas:
industrial emissions;
air emissions and air quality;
nature and biodiversity conservation;
waste management;
the protection and preservation of the aquatic environment;
the protection and preservation of the marine environment;
the prevention, reduction and elimination of risks to human health or the environment arising from the production, use, release or disposal of chemical substances; or
the management of impacts on the environment from agricultural or food production, notably through the use of antibiotics and decontaminants.
For the purposes of this Chapter, "climate level of protection" means the level of protection with respect to emissions and removals of greenhouse gases and the phase-out of ozone depleting substances. With regard to greenhouse gases, this means:
for the Union, the 40 % economy-wide 2030 target, including the Union's system of carbon pricing;
for the United Kingdom, the United Kingdom's economy-wide share of this 2030 target, including the United Kingdom's system of carbon pricing.
Article 391
Non-regression from levels of protection
Article 392
Carbon pricing
Article 393
Environmental and climate principles
Taking into account the fact that the Union and the United Kingdom share a common biosphere in respect of cross-border pollution, each Party commits to respecting the internationally recognised environmental principles to which it has committed, such as in the Rio Declaration on Environment and Development, adopted at Rio de Janeiro on 14 June 1992 (the "1992 Rio Declaration on Environment and Development") and in multilateral environmental agreements, including in the United Nations Framework Convention on Climate Change, done at New York on 9 May 1992 ("UNFCCC") and the Convention on Biological Diversity, done at Rio de Janeiro on 5 June 1992 (the "Convention on Biological Diversity"), in particular:
the principle that environmental protection should be integrated into the making of policies, including through impact assessments;
the principle of preventative action to avert environmental damage;
the precautionary approach referred to in Article 356(2);
the principle that environmental damage should as a priority be rectified at source; and
the polluter pays principle.
Article 394
Enforcement
For the purposes of enforcement as referred to in Article 391, each Party shall, in accordance with its law, ensure that:
domestic authorities competent to enforce the relevant law with regard to environment and climate give due consideration to alleged violations of such law that come to their attention; those authorities shall have adequate and effective remedies available to them, including injunctive relief as well as proportionate and dissuasive sanctions, if appropriate; and
national administrative or judicial proceedings are available to natural and legal persons with a sufficient interest to bring actions against violations of such law and to seek effective remedies, including injunctive relief, and that the proceedings are not prohibitively costly and are conducted in a fair, equitable and transparent way.
Article 395
Cooperation on monitoring and enforcement
The Parties shall ensure that the European Commission and the supervisory bodies of the United Kingdom regularly meet with each other and co-operate on the effective monitoring and enforcement of the law with regard to environment and climate as referred to in Article 391.
Article 396
Dispute settlement
CHAPTER 8
OTHER INSTRUMENTS FOR TRADE AND SUSTAINABLE DEVELOPMENT
Article 397
Context and objectives
Article 398
Transparency
The Parties stress the importance of ensuring transparency as a necessary element to promote public participation and of making information public within the context of this Chapter. In accordance with their laws and regulations, the provisions of this Chapter, of Title IX and of Title X, each Party shall:
ensure that any measure of general application pursuing the objectives of this Chapter is administered in a transparent manner, including by providing the public with reasonable opportunities and sufficient time to comment, and by publishing such measures;
ensure that the general public is given access to relevant environmental information held by or for public authorities, as well as ensuring the active dissemination of that information to the general public by electronic means;
encourage public debate with and among non-state actors as regards the development and definition of policies that may lead to the adoption of law relevant to this Chapter by its public authorities; this includes, in relation to the environment, public participation in projects, plans and programmes; and
promote public awareness of its laws and standards relevant to this Chapter, as well as enforcement and compliance procedures, by taking steps to further the knowledge and understanding of the public; in relation to labour laws and standards, this includes workers, employers and their representatives.
Article 399
Multilateral labour standards and agreements
In accordance with the ILO Constitution and the ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up, adopted at Geneva on 18 June 1998 by the International Labour Conference at its 86th Session, each Party commits to respecting, promoting and effectively implementing the internationally recognised core labour standards, as defined in the fundamental ILO Conventions, which are:
freedom of association and the effective recognition of the right to collective bargaining;
the elimination of all forms of forced or compulsory labour;
the effective abolition of child labour; and
the elimination of discrimination in respect of employment and occupation.
Each Party shall continue to promote, through its laws and practices, the ILO Decent Work Agenda as set out in the 2008 ILO Declaration on Social Justice for a Fair Globalization (the "ILO Decent Work Agenda") and in accordance with relevant ILO Conventions, and other international commitments, in particular with regard to:
decent working conditions for all, with regard to, inter alia, wages and earnings, working hours, maternity leave and other conditions of work;
health and safety at work, including the prevention of occupational injury or illness and compensation in cases of such injury or illness; and
non-discrimination in respect of working conditions, including for migrant workers.
The Parties shall work together on trade-related aspects of labour policies and measures, including in multilateral fora, such as the ILO, as appropriate. Such cooperation may cover inter alia:
trade-related aspects of implementation of fundamental, priority and other up-to-date ILO Conventions;
trade-related aspects of the ILO Decent Work Agenda, including on the interlinkages between trade and full and productive employment, labour market adjustment, core labour standards, decent work in global supply chains, social protection and social inclusion, social dialogue and gender equality;
the impact of labour law and standards on trade and investment, or the impact of trade and investment law on labour;
dialogue and information-sharing on the labour provisions in the context of their respective trade agreements, and the implementation thereof; and
any other form of cooperation deemed appropriate.
Article 400
Multilateral environmental agreements
The Parties shall regularly and as appropriate exchange information on:
their respective situations as regards the ratification and implementation of multilateral environmental agreements, including their protocols and amendments;
on-going negotiations of new multilateral environmental agreements; and
each Party's respective views on becoming a party to additional multilateral environmental agreements.
The Parties shall work together on trade-related aspects of environmental policies and measures, including in multilateral fora, such as the UN High-level Political Forum for Sustainable Development, the UN Environment Programme, the UN Environment Assembly, multilateral environmental agreements, the International Civil Aviation Organization (ICAO) or the WTO as appropriate. Such cooperation may cover inter alia:
initiatives on sustainable production and consumption, including those aimed at promoting a circular economy and green growth and pollution abatement;
initiatives to promote environmental goods and services, including by addressing related tariff and non-tariff barriers;
the impact of environmental law and standards on trade and investment; or the impact of trade and investment law on the environment;
the implementation of Annex 16 to the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and other measures to reduce the environmental impact of aviation, including in the area of air traffic management; and
other trade-related aspects of multilateral environmental agreements, including their protocols, amendments and implementation.
Article 401
Trade and climate change
In light of paragraph 1, each Party:
commits to effectively implementing the UNFCCC, and the Paris Agreement of which one principal aim is strengthening the global response to climate change and holding the increase in the global average temperature to well below 2 oC above pre-industrial levels and pursuing efforts to limit the temperature increase to 1,5 oC above pre-industrial levels;
shall promote the mutual supportiveness of trade and climate policies and measures thereby contributing to the transition to a low greenhouse gas emission, resource-efficient economy and to climate-resilient development; and
shall facilitate the removal of obstacles to trade and investment in goods and services of particular relevance for climate change mitigation and adaptation, such as renewable energy, energy efficient products and services, for instance through addressing tariff and non-tariff barriers or through the adoption of policy frameworks conducive to the deployment of the best available solutions.
The Parties shall work together to strengthen their cooperation on trade-related aspects of climate change policies and measures bilaterally, regionally and in international fora, as appropriate, including in the UNFCCC, the WTO, the Montreal Protocol on Substances that Deplete the Ozone Layer done at Montreal on 26 August 1987 (the "Montreal Protocol"), the International Maritime Organisation (IMO) and the ICAO. Such cooperation may cover inter alia:
policy dialogue and cooperation regarding the implementation of the Paris Agreement, such as on means to promote climate resilience, renewable energy, low-carbon technologies, energy efficiency, sustainable transport, sustainable and climate-resilient infrastructure development, emissions monitoring, international carbon markets;
supporting the development and adoption of ambitious and effective greenhouse gas emissions reduction measures by the IMO to be implemented by ships engaged in international trade;
supporting the development and adoption of ambitious and effective greenhouse gas emissions reduction measures by the ICAO; and
supporting an ambitious phase-out of ozone depleting substances and phase-down of hydrofluorocarbons under the Montreal Protocol through measures to control their production, consumption and trade; the introduction of environmentally friendly alternatives to them; the updating of safety and other relevant standards as well as through combating the illegal trade of substances regulated by the Montreal Protocol.
Article 402
Trade and biological diversity
In light of paragraph 1, each Party shall:
implement effective measures to combat illegal wildlife trade, including with respect to third countries, as appropriate;
promote the use of CITES as an instrument for conservation and sustainable management of biodiversity, including through the inclusion of animal and plant species in the Appendices to CITES where the conservation status of that species is considered at risk because of international trade;
encourage trade in products derived from a sustainable use of biological resources and contributing to the conservation of biodiversity; and
continue to take measures to conserve biological diversity when it is subject to pressures linked to trade and investment, in particular through measures to prevent the spread of invasive alien species.
Article 403
Trade and forests
In light of paragraph 1 and in a manner consistent with its international obligations, each Party shall:
continue to implement measures to combat illegal logging and related trade, including with respect to third countries, as appropriate, and to promote trade in legally harvested forest products;
promote the conservation and sustainable management of forests and trade and consumption of timber and timber products harvested in accordance with the law of the country of harvest and from sustainably managed forests; and
exchange information with the other Party on trade-related initiatives on sustainable forest management, forest governance and on the conservation of forest cover and cooperate to maximise the impact and mutual supportiveness of their respective policies of mutual interest.
Article 404
Trade and sustainable management of marine biological resources and aquaculture
In light of paragraph 1, each Party:
commits to acting consistently and complying, as appropriate, with the relevant UN and Food and Agriculture Organization ("FAO") agreements, the United Nations Convention on the Law of the Sea, the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, done at New York on 4 August 1995, the FAO Agreement to Promote Compliance with International Conservation and Management Measures by Fishing Vessels on the High Seas, done at Rome on 24 November 1993, the FAO Code of Conduct for Responsible Fisheries and the FAO Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated ("IUU") fishing, approved at Rome on 22 November 2009 at the 36th Session of the FAO Conference, and to participating in the FAO's initiative on the Global Record of Fishing Vessels, Refrigerated Transport Vessels and Supply Vessels;
shall promote sustainable fisheries and good fisheries governance by participating actively in the work of relevant international organisations or bodies to which they are members, observers, or cooperating non-contracting parties, including the Regional Fisheries Management Organizations (RFMOs) by means of, where applicable, effective monitoring, control or enforcement of the RFMOs' resolutions, recommendations or measures; the implementation of their catch documentation or certification schemes, and port state measures;
shall adopt and maintain their respective effective tools to combat IUU fishing, including measures to exclude the products of IUU fishing from trade flows, and cooperate to that end; and
shall promote the development of sustainable and responsible aquaculture, including with regard to the implementation of the objectives and principles contained in the FAO Code of Conduct for Responsible Fisheries, as appropriate.
Article 405
Trade and investment favouring sustainable development
Pursuant to paragraph 1, the Parties shall continue to promote:
trade and investment policies that support the four strategic objectives of the ILO Decent Work Agenda, consistent with the 2008 ILO Declaration on Social Justice for a Fair Globalization, including the minimum living wage, health and safety at work, and other aspects related to working conditions;
trade and investment in environmental goods and services, such as renewable energy and energy efficient products and services, including through addressing related non-tariff barriers or through the adoption of policy frameworks conducive to the deployment of the best available solutions;
trade in goods and services that contribute to enhanced social conditions and environmentally sound practices, including those subject to voluntary sustainability assurance schemes such as fair and ethical trade schemes and eco-labels; and
cooperation in multilateral fora on issues referred to in this Article.
Article 406
Trade and responsible supply chain management
In light of paragraph 1, each Party shall:
encourage corporate social responsibility and responsible business conduct, including by providing supportive policy frameworks that encourage the uptake of relevant practices by businesses; and
support the adherence, implementation, follow-up and dissemination of relevant international instruments, such as the OECD Guidelines for Multinational Enterprises, the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy, the UN Global Compact, and the UN Guiding Principles on Business and Human Rights.
Article 407
Dispute settlement
CHAPTER 9
HORIZONTAL AND INSTITUTIONAL PROVISIONS
Article 408
Consultations
Article 409
Panel of experts
Unless the Parties agree otherwise within five days from the date of establishment of the panel of experts, the terms of reference shall be:
"to examine, in the light of the relevant provisions, the matter referred to in the request for the establishment of the panel of experts, and to deliver a report in accordance with this Article that makes findings on the conformity of the measure with the relevant provisions".
Article 410
Panel of experts for non-regression areas
Article 411
Rebalancing
The following procedures shall apply to rebalancing measures taken under paragraph 2:
the concerned Party shall, without delay, notify the other Party through the Partnership Council of the rebalancing measures it intends to take, providing all relevant information. The Parties shall immediately enter into consultations. Consultations shall be deemed concluded within 14 days from the date of delivery of the notification, unless they are jointly concluded before that time limit;
if no mutually acceptable solution is found, the concerned Party may adopt rebalancing measures no sooner than five days from the conclusion of the consultations, unless the notified Party requests within the same five day period, in accordance with Article 739(2) ( 64 ), the establishment of an arbitration tribunal by means of a written request delivered to the other Party in order for the arbitration tribunal to decide whether the notified rebalancing measures are consistent with paragraph 2 of this Article;
the arbitration tribunal shall conduct its proceeding in accordance with Article 760 and deliver its final ruling within 30 days from its establishment. If the arbitration tribunal does not deliver its final ruling within that time period, the concerned Party may adopt the rebalancing measures no sooner than three days after the expiry of that 30 day time period. In that case, the other Party may take countermeasures proportionate to the adopted rebalancing measures until the arbitration tribunal delivers its ruling. Priority shall be given to such countermeasures as will least disturb the functioning of this Agreement. Point (a) shall apply mutatis mutandis to such countermeasures, which may be adopted no sooner than three days after the conclusion of consultations;
if the arbitration tribunal has found the rebalancing measures to be consistent with paragraph 2, the concerned Party may adopt the rebalancing measures as notified to the other Party;
if the arbitration tribunal has found the rebalancing measures to be inconsistent with paragraph 2 of this Article, the concerned Party shall, within three days from the delivery of the ruling, notify the complaining Party of the measures ( 65 ) it intends to adopt to comply with the ruling of the arbitration tribunal. Article 748(2) and Articles 749 ( 66 ) and 750 shall apply mutatis mutandis, if the complaining Party considers that the notified measures are not in compliance with the ruling of the arbitration tribunal. The procedures under Article 748(2) and Articles 749 and 750 shall have no suspensive effect on the application of the notified measures pursuant to this paragraph;
if rebalancing measures were adopted prior to the arbitration ruling in accordance with point (c), any countermeasures adopted pursuant to that point shall be withdrawn immediately, and in no case later than five days, after delivery of the ruling of the arbitration tribunal;
a Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from taking measures pursuant to paragraphs 2 and 3, including when those measures consist of suspension of obligations under this Agreement;
if the notified Party does not submit a request pursuant to point (b) of this paragraph within the time period laid down therein, that Party may without having prior recourse to consultations in accordance with Article 738 initiate the arbitration procedure referred to in Article 739. An arbitration tribunal shall treat the issue as a case of urgency for the purposes of Article 744.
TITLE XII
EXCEPTIONS
Article 412
General exceptions
Subject to the requirement that such measures are not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination between countries where like conditions prevail, or a disguised restriction on investment liberalisation or trade in services, nothing in Title II, Title III, Title IV, Title VIII and Chapter 4 of Title XI shall be construed to prevent the adoption or enforcement by either Party of measures:
necessary to protect public security or public morals or to maintain public order ( 67 );
necessary to protect human, animal or plant life or health;
necessary to secure compliance with laws or regulations which are not inconsistent with the provisions of this Agreement including those relating to:
the prevention of deceptive and fraudulent practices or to deal with the effects of a default on contracts;
the protection of the privacy of individuals in relation to the processing and dissemination of personal data and the protection of confidentiality of individual records and accounts; and
safety.
For greater certainty, the Parties understand that, to the extent that such measures are otherwise inconsistent with the provisions of the chapters or titles referred to in paragraphs 1 and 2 of this Article:
the measures referred to in point (b) of Article XX of GATT 1994 and in point (b) of paragraph 2 of this Article include environmental measures, which are necessary to protect human, animal or plant life and health;
point (g) of Article XX of GATT 1994 applies to measures relating to the conservation of living and non-living exhaustible natural resources; and
measures taken to implement multilateral environmental agreements can fall under points (b) or (g) of Article XX of GATT 1994 or under point (b) of paragraph 2 of this Article.
Article 413
Taxation
Subject to the requirement that tax measures are not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination between countries where like conditions prevail, or a disguised restriction on trade and investment, nothing in Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of this Heading or Heading Six shall be construed to prevent the adoption, maintenance or enforcement by a Party of any measure that:
aims at ensuring the equitable or effective ( 69 ) imposition or collection of direct taxes; or
distinguishes between taxpayers, who are not in the same situation, in particular with regard to their place of residence or with regard to the place where their capital is invested.
For the purposes of this Article, the following definitions apply:
"residence" means residence for tax purposes;
"tax convention" means a convention for the avoidance of double taxation or any other international agreement or arrangement relating wholly or mainly to taxation; and
"direct taxes" comprise all taxes on income or capital, including taxes on gains from the alienation of property, taxes on estates, inheritances and gifts, taxes on wages or salaries paid by enterprises and taxes on capital appreciation.
Article 414
WTO Waivers
If an obligation in Titles I to XII of this Heading or Heading Six of this Part is substantially equivalent to an obligation contained in the WTO Agreement, any measure taken in conformity with a waiver adopted pursuant to Article IX of the WTO Agreement is deemed to be in conformity with the substantially equivalent provision in this Agreement.
Article 415
Security exceptions
Nothing in Titles I to XII of this Heading or Heading Six shall be construed:
to require a Party to furnish or allow access to any information the disclosure of which it considers contrary to its essential security interests; or
to prevent a Party from taking an action which it considers necessary for the protection of its essential security interests:
connected to the production of or traffic in arms, ammunition and implements of war and to such production, traffic and transactions in other goods and materials, services and technology, and to economic activities, carried out directly or indirectly for the purpose of supplying a military establishment;
relating to fissionable and fusionable materials or the materials from which they are derived; or
in time of war or other emergency in international relations; or
to prevent a Party from taking any action in pursuance of its obligations under the United Nations Charter for the maintenance of international peace and security.
Article 416
Confidential information
HEADING TWO
AVIATION
TITLE I
AIR TRANSPORT
Article 417
Definitions
For the purposes of this Title, the following definitions apply:
"air carrier" means an air transport undertaking holding a valid operating licence or equivalent;
"air carrier of the Union" means an air carrier that fulfils the conditions laid down in point (b) of Article 422(1);
"air carrier of the United Kingdom" means an air carrier that fulfils the conditions laid down in point (a) of Article 422(1) or Article 422(2);
"air navigation services" means air traffic services, communication, navigation and surveillance services, meteorological services for air navigation, and aeronautical information services;
"air operator certificate" means a document issued to an air carrier which affirms that the air carrier in question has the professional ability and organisation to secure the safe operation of aircraft for the aviation activities specified in the certificate;
"air traffic management" means the aggregation of the airborne and ground-based functions (air traffic services, airspace management and air traffic flow management) required to ensure the safe and efficient movement of aircraft during all phases of operations;
"air transport" means the carriage by aircraft of passengers, baggage, cargo, and mail, separately or in combination, held out to the public for remuneration or hire;
"citizenship determination" means a finding that an air carrier proposing to operate air services under this Title satisfies the requirements of Article 422 regarding its ownership, effective control and principal place of business;
"competent authorities" means, for the United Kingdom, the authorities of the United Kingdom responsible for the regulatory and administrative functions incumbent on the United Kingdom under this Title; and for the Union, the authorities of the Union and of the Member States responsible for the regulatory and administrative functions incumbent on the Union under this Title;
"the Convention" means the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and includes:
any amendment that has entered into force under Article 94(a) of the Convention and has been ratified by the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question; and
any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time effective for the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question;
"discrimination" means differentiation of any kind without objective justification in respect of the supply of goods or services, including public services, employed for the operation of air transport services, or in respect of their treatment by public authorities relevant to such services;
"effective control" means a relationship constituted by rights, contracts or any other means which, either separately or jointly, and having regard to the considerations of fact or law involved, confer the possibility of directly or indirectly exercising a decisive influence on an undertaking, in particular by:
the right to use all or part of the assets of an undertaking;
rights or contracts which confer a decisive influence on the composition, voting or decisions of the bodies of an undertaking or otherwise confer a decisive influence on the running of the business of the undertaking;
"fitness determination" means a finding that an air carrier proposing to operate air services under this Title has satisfactory financial capability and adequate managerial expertise to operate such services and is disposed to comply with the laws, regulations and requirements that govern the operation of such services;
"full cost" means the cost of the service provided, which may include appropriate amounts for cost of capital and depreciation of assets, as well as the costs of maintenance, operation, management and administration;
"ICAO" means the United Nations International Civil Aviation Organization;
"principal place of business" means the head office or registered office of an air carrier within which the principal financial functions and operational control, including continued airworthiness management, of that air carrier are exercised;
"ramp inspection" means an examination by the competent authority of a Party or its designated representatives, on board and around an aircraft of the other Party, to check both the validity of the relevant aircraft documents and those of its crew members and the apparent condition of the aircraft and its equipment;
"self-handling" means the performance of ground handling operations by an air carrier directly for itself or for another air carrier where:
one holds the majority in the other; or
a single body has a majority holding in each;
"scheduled air transport services" means air services which are scheduled and performed for remuneration according to a published timetable, or which are so regular or frequent as to constitute a recognisably systematic series, and which are open to direct booking by members of the public; and extra section flights occasioned by overflow traffic from scheduled flights;
"stop for non-traffic purposes" means a landing for any purpose other than taking on board or discharging passengers, baggage, cargo and/or mail in air transport;
"tariff" means any fare, rate or charge for the carriage of passengers, baggage or cargo (excluding mail) in air transport (including any other mode of transport in connection therewith) charged by air carriers, including their agents, and the conditions governing the availability of such fare, rate or charge;
"user charge" means a charge imposed on air carriers for the provision of airport, air navigation (including overflights), aviation security facilities or services including related services and facilities, or environment-related charges including noise-related charges and charges to address local air quality problems at or around airports.
Article 418
Route schedule
Points in the territory of the United Kingdom – Intermediate Points – Points in the territory of the Union – Points Beyond.
Points in the territory of the Union – Intermediate Points – Points in the territory of the United Kingdom – Points Beyond.
Article 419
Traffic rights
Each Party shall grant to the other Party the right for its respective air carriers, for the purpose of carrying out air transport on the routes laid down in Article 418, to:
fly across its territory without landing;
make stops in its territory for non-traffic purposes.
Notwithstanding paragraphs 1, 2 and 3 and without prejudice to paragraph 9, the Member States and the United Kingdom may, subject to the respective internal rules and procedures of the Parties, enter into bilateral arrangements by which, as a matter of this Agreement, they grant each other the following rights:
for the United Kingdom, the right for its air carriers to make stops in the territory of the Member State concerned to provide scheduled and non-scheduled all-cargo air transport services, between points situated in the territory of that Member State and points situated in a third country as part of a service with origin or destination in the territory of the United Kingdom (fifth freedom traffic rights);
for the Member State concerned, the right for Union air carriers to make stops in the territory of the United Kingdom to provide scheduled and non-scheduled all-cargo air transport services between points situated in the territory of the United Kingdom and points situated in a third country, as part of a service with origin or destination in the territory of that Member State (fifth freedom traffic rights).
Article 420
Code-share and blocked space arrangements
Air transport services in accordance with Article 419 may be provided by means of blocked-space or code-share arrangements, as follows:
an air carrier of the United Kingdom may act as the marketing carrier with any operating carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any operating carrier of a third country which, under Union law or, as applicable, under the law of the Member State or Member States concerned, enjoys the necessary traffic rights as well as the right for its air carriers to exercise those rights by means of the arrangement in question;
an air carrier of the Union may act as the marketing carrier with any operating carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any operating carrier of a third country which, under United Kingdom law enjoys the necessary traffic rights as well as the right for its air carriers to exercise those rights by means of the arrangement in question;
an air carrier of the United Kingdom may act as the operating carrier with any marketing carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any marketing carrier of a third country which, under Union law or, as applicable, under the law of the Member State or Member States concerned, enjoys the necessary rights to enter into the arrangement in question;
an air carrier of the Union may act as the operating carrier with any marketing carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any marketing carrier of a third country which, under United Kingdom law, enjoys the necessary rights to enter into the arrangement in question;
in the context of the arrangements provided under points (a) to (d), an air carrier of one Party may act as the marketing carrier in a blocked-space or code-share arrangement, in services between any pair of points of which both origin and destination are situated in the territory of the other Party provided that the following conditions are fulfilled:
the conditions laid down in point (a) or (b), as the case may be, as regards the operating carrier; and
the transport service in question forms part of a carriage by the marketing carrier between a point in the territory of its Party and that destination point in the territory of the other Party.
An air carrier of one Party may act as the marketing carrier in a blocked-space or code-share arrangement, in services between any pair of points of which one is situated in the territory of the other Party and the other is situated in a third country, provided that the following conditions are fulfilled:
the conditions laid down in point (a) or (b) of paragraph 1, as the case may be, as regards the operating carrier; and
the transport service in question forms part of a carriage by the marketing carrier between a point in the territory of its Party and that point in a third country.
Article 421
Operational flexibility
The rights mutually granted by the Parties in accordance with Article 419(2), (3) and (4) shall include, within the limits laid down therein, all of the following prerogatives:
to operate flights in either or both directions;
to combine different flight numbers within one aircraft operation;
to serve points in the route schedule in any combination and in any order;
to transfer traffic between aircraft of the same air carrier at any point (change of gauge);
to carry stopover traffic through any points whether within or outside the territory of either Party;
to carry transit traffic through the territory of the other Party;
to combine traffic on the same aircraft regardless of where such traffic originates;
to serve more than one point on the same service (co-terminalisation).
Article 422
Operating authorisations and technical permissions
On receipt of an application for an operating authorisation from an air carrier of a Party, in the form and manner prescribed, to operate air transport services under this Title, the other Party shall grant the appropriate authorisations and technical permissions with minimum procedural delay, provided that all the following conditions are met:
in the case of an air carrier of the United Kingdom:
the air carrier is owned, directly or through majority ownership, and is effectively controlled by the United Kingdom, its nationals, or both;
the air carrier has its principal place of business in the territory of the United Kingdom, and is licenced in accordance with the law of the United Kingdom; and
the air carrier holds an air operator certificate issued by the competent authority of the United Kingdom, which shall be clearly identified, and that authority exercises and maintains effective regulatory control of the air carrier;
in the case of an air carrier of the Union:
the air carrier is owned, directly or through majority ownership, and is effectively controlled by one or more Member States, by other member states of the European Economic Area, by Switzerland, by nationals of such states, or by a combination thereof;
the air carrier has its principal place of business in the territory of the Union and holds a valid operating licence in accordance with Union law; and
the air carrier holds an air operator certificate issued by the competent authority of a Member State, or by a Union authority on its behalf, the certifying authority is clearly identified, and that Member State exercises and maintains effective regulatory control of the air carrier.
Articles 434 and 435 are being complied with, and
the air carrier meets the conditions prescribed under the laws and regulations normally applied to the operation of international air transport by the Party considering the application or applications.
Notwithstanding point (a)(i) of paragraph 1, the appropriate operating authorisations and permissions shall be granted to air carriers of the United Kingdom provided that all the following conditions are met:
the conditions laid down in points (a)(ii), (a)(iii), (c) and (d) of paragraph 1 are complied with;
the air carrier is owned, directly or through majority ownership, and is effectively controlled by one or more Member States, by other member states of the European Economic Area, by Switzerland, by nationals of such states, or by a combination thereof, whether alone or together with the United Kingdom and/or nationals of the United Kingdom;
on the day the transition period ended the air carrier held a valid operating licence in accordance with Union Law.
For the purposes of paragraphs 1 and 2, evidence of effective regulatory control includes but is not limited to:
the air carrier concerned holding a valid operating licence or permit issued by the competent authority and meeting the criteria of the Party issuing the operating licence or permit for the operation of international air services; and
that Party having and maintaining safety and security oversight programmes for that air carrier in compliance with ICAO standards.
Article 423
Operating plans, programmes and schedules
Notification of operating plans, programmes or schedules for air services operated under this Title may be required by a Party for information purposes only. Where a Party requires such notification, it shall minimise the administrative burden associated with its notification requirements and procedures that is borne by air transport intermediaries and the air carriers of the other Party.
Article 424
Refusal, revocation, suspension or limitation of operating authorisation
The Union may take action against an air carrier of the United Kingdom, in accordance with paragraphs 3, 4 and 5 of this Article, in any of the following cases:
in the case of authorisations and permissions granted in accordance with point (a) of Article 422(1), any of the conditions laid down therein is not met;
in the case of authorisations and permissions granted in accordance with Article 422(2), any of the conditions laid down therein is not met;
the air carrier has failed to comply with the laws and regulations referred to in Article 426; or
such action is necessary in order to prevent, protect against or control the spread of disease, or otherwise protect public health.
The United Kingdom may take action against an air carrier of the Union in accordance with paragraphs 3, 4 and 5 of this Article in any of the following cases:
any of the conditions laid down in point (b) of Article 422(1) is not met;
the air carrier has failed to comply with the laws and regulations referred to in Article 426; or
such action is necessary in order to prevent, protect against or control the spread of disease, or otherwise protect public health.
Article 425
Ownership and control of air carriers
The Parties recognise the potential benefits of the continued liberalisation of ownership and control of their respective air carriers. The Parties agree to examine in the Specialised Committee on Air Transport options for the reciprocal liberalisation of the ownership and control of their air carriers within 12 months from the entry into force of this Agreement, and thereafter within 12 months of receipt of a request to do so from one of the Parties. As a result of this examination, the Parties may decide to amend this Title.
Article 426
Compliance with laws and regulations
Article 427
Non-Discrimination
Article 428
Doing business
Article 429
Commercial operations
As regards air carrier representatives:
the establishment of offices and facilities by the air carriers of one Party in the territory of the other Party as necessary to provide services under this Title shall be allowed without restriction or discrimination;
without prejudice to safety and security regulations, where such offices and facilities are located in an airport they may be subject to limitations on grounds of availability of space;
each Party shall, in accordance with its laws and regulations relating to entry, residence and employment, authorise the air carriers of the other Party to bring in and maintain in the territory of the authorising Party those of their own managerial, sales, technical, operational, and other specialist staff which the air carrier reasonably considers necessary for the provision of air transport services under this Title. Where employment authorisations are required for the personnel referred to in this paragraph, including those performing certain temporary duties, the Parties shall process applications for such authorisations expeditiously, subject to the relevant laws and regulations.
As regards ground handling:
each Party shall permit the air carriers of the other Party to perform self-handling in its territory without restrictions other than those based on considerations of safety or security, or otherwise resulting from physical or operational constraints;
each Party shall not impose on the air carriers of the other Party the choice of one or more providers of ground handling services among those which are present in the market in accordance with the laws and regulations of the Party where the services are provided;
without prejudice to point (a), where the laws and regulations of a Party limit or restrict in any way free competition between providers of ground handling services, that Party shall ensure that all necessary ground handling services are available to the air carriers of the other Party and that they are provided under no less favourable terms than those under which they are provided to any other air carrier.
As regards local expenses and transfer of funds and earnings:
the provisions of Title IV of Heading One apply to the matters governed by this Title, without prejudice to Article 422;
the Parties shall grant each other the benefits laid down in points (c) to (e);
it shall be possible for the sale and purchase of transport and related services by the air carriers of the Parties, at the discretion of the air carrier, to be denominated in pounds sterling if the sale or purchase takes place in the territory of the United Kingdom, or, if the sale or purchase take place in the territory of a Member State, to be denominated in the currency of that Member State;
the air carriers of each Party shall be permitted to pay for local expenses in local currency, at their discretion;
the air carriers of each Party shall be permitted, on demand, to remit revenues obtained in the territory of the other Party from the sale of air transport services and associated activities directly linked to air transport in excess of sums locally disbursed, at any time, in any way, to the country of their choice. Prompt conversion and remittance shall be permitted without restrictions or taxation in respect thereof at the market rate of exchange applicable to current transactions and remittance on the date the carrier makes the initial application for remittance and shall not be subject to any charges except those normally made by banks for carrying out such conversion and remittance.
As regards intermodal transport:
in relation to the transport of passengers, the Parties shall not subject surface transport providers to laws and regulations governing air transport on the sole basis that such surface transport is held out by an air carrier under its own name;
subject to any conditions and qualifications set out in Title II of Heading One and its Annexes and in Title I of Heading Three and its Annex, air carriers of each Party shall be permitted, without restriction, to employ in connection with international air transport any surface transport for cargo to or from any points in the territories of the Parties, or in third countries, including transport to and from all airports with customs facilities, and including, where applicable, the right to transport cargo in bond under applicable laws and regulations. Such cargo, whether moving by surface or by air, shall have access to airport customs processing and facilities. Air carriers may elect to perform their own surface transport or to provide it through arrangements, including code share, with other surface transport providers, including surface transport operated by other air carriers and indirect providers of cargo air transport. Such inter-modal cargo services may be offered as a through service and at a single price for the air and surface transport combined, provided that shippers are informed as to the providers of the transport involved.
As regards leasing:
the Parties shall grant each other the right for their air carriers to provide air transport services in accordance with Article 419 in all the following ways:
using aircraft leased without crew from any lessor;
in the case of air carriers of the United Kingdom, using aircraft leased with crew from other air carriers of the Parties;
in the case of air carriers of the Union, using aircraft leased with crew from other air carriers of the Union;
using aircraft leased with crew from air carriers other than those referred to in points (ii) and (iii), respectively, provided that the leasing is justified on the basis of exceptional needs, seasonal capacity needs or operational difficulties of the lessee, and the leasing does not exceed the duration which is strictly necessary to fulfil those needs or overcome those difficulties;
the Parties may require leasing arrangements to be approved by their competent authorities for the purpose of verifying compliance with the conditions set out in this paragraph and with the applicable safety and security requirements;
however, where a Party requires such approval, it shall endeavour to expedite the approval procedures and minimise the administrative burden on the air carriers concerned;
the provisions of this paragraph are without prejudice to the laws and regulations of a Party as regards the leasing of aircraft by air carriers of that Party.
Article 430
Fiscal provisions
The following goods shall also be exempt, on the basis of reciprocity, from the taxes, levies, duties, fees and charges referred to in paragraph 1:
aircraft stores introduced into or supplied in the territory of a Party and taken on board, within reasonable limits, for use on outbound aircraft of an air carrier of the other Party used in international air transport, even when these stores are to be used on a part of the journey performed over the said territory;
ground equipment and spare parts (including engines) introduced into the territory of a Party for the servicing, maintenance, or repair of aircraft of an air carrier of the other Party used in international air transport;
lubricants and consumable technical supplies other than fuel introduced into or supplied in the territory of a Party for use in an aircraft of an air carrier of the other Party used in international air transport, even when those supplies are to be used on a part of the journey performed over the said territory; and
printed matter, as provided for by the customs legislation of each Party, introduced into or supplied in the territory of one Party and taken on board for use on outbound aircraft of an air carrier of the other Party engaged in international air transport, even when those stores are to be used on a part of the journey performed over the said territory.
Article 431
User charges
Article 432
Tariffs
Article 433
Statistics
Article 434
Aviation safety
The ramp inspection or series of ramp inspections can give rise to:
serious concerns that an aircraft or the operation of an aircraft does not comply with the minimum standards established at that time pursuant to the Convention; or
serious concerns that there is a lack of effective maintenance and administration of safety standards established at that time pursuant to the Convention.
In the event that the Party that conducted the ramp inspection or inspections establishes serious concerns as referred to in point (a) or (b), it shall notify the competent authorities of the other Party that are responsible for the safety oversight of the air carrier operating the aircraft of such findings and inform them of the steps considered necessary to conform with those minimum standards. Failure to take appropriate corrective action within 15 days or such other period as may be agreed shall constitute grounds for the first Party to refuse, revoke, suspend, impose conditions on or limit the operating authorisations or technical permissions or to otherwise refuse, revoke, suspend, impose conditions on or limit the operations of the air carrier operating the aircraft.
Article 435
Aviation security
Article 436
Air traffic management
Article 437
Air carrier liability
The Parties reaffirm their obligations under the Convention for the Unification of Certain Rules for International Carriage by Air, done at Montreal on 28 May 1999 (the "Montreal Convention").
Article 438
Consumer protection
Article 439
Relationship to other agreements
Article 440
Suspension and Termination
Article 441
Termination of this Title
Without prejudice to Article 779, Article 521, and Article 509 each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
Article 442
Registration of this Agreement
This Agreement and any amendments thereto shall, insofar as relevant, be registered with ICAO in accordance with Article 83 of the Convention.
TITLE II
AVIATION SAFETY
Article 443
Objectives
The objectives of this Title are to:
enable the reciprocal acceptance, as provided for in the Annexes to this Title, of findings of compliance made and certificates issued by either Party's competent authorities or approved organisations;
promote cooperation toward a high level of civil aviation safety and environmental compatibility;
facilitate the multinational dimension of the civil aviation industry;
facilitate and promote the free flow of civil aeronautical products and services.
Article 444
Definitions
For the purposes of this Title, the following definitions apply:
"approved organisation" means any legal person certified by the competent authority of either Party to exercise privileges related to the scope of this Title;
"certificate" means any approval, licence or other document issued as a form of recognition of compliance that a civil aeronautical product, an organisation or a legal or natural person complies with the applicable requirements set out in laws and regulations of a Party;
"civil aeronautical product" means any civil aircraft, aircraft engine, or aircraft propeller, or subassembly, appliance, part or component, installed or to be installed thereon;
"competent authority" means a Union or government agency or a government entity responsible for civil aviation safety that is designated by a Party for the purposes of this Title to perform the following functions:
to assess the compliance of civil aeronautical products, organisations, facilities, operations and services subject to its oversight with applicable requirements set out in laws, regulations and administrative provisions of that Party;
to conduct monitoring of their continued compliance with these requirements; and
to take enforcement actions to ensure their compliance with these requirements;
"findings of compliance" means a determination of compliance with the applicable requirements set out in laws and regulations of a Party as the result of actions such as testing, inspections, qualifications, approvals and monitoring;
"monitoring" means the regular surveillance by a competent authority of a Party to determine continuing compliance with the applicable requirements set out in laws and regulations of that Party;
"technical agent" means, for the Union, the European Union Aviation Safety Agency ("EASA"), or its successor, and for the United Kingdom, the United Kingdom Civil Aviation Authority ("CAA"), or its successor; and
"the Convention" means the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and includes:
any amendment that has entered into force under Article 94(a) of the Convention and has been ratified by the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question; and
any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time effective for the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question.
Article 445
Scope and implementation
The Parties may cooperate in the following areas:
airworthiness certificates and monitoring of civil aeronautical products;
environmental certificates and testing of civil aeronautical products;
design and production certificates and monitoring of design and production organisations;
maintenance organisation certificates and monitoring of maintenance organisations;
personnel licensing and training;
flight simulator qualification evaluation;
operation of aircraft;
air traffic management and air navigation services; and
other areas related to aviation safety subject to Annexes to the Convention.
Article 446
General obligations
Article 447
Preservation of regulatory authority
Nothing in this Title shall be construed as limiting the authority of a Party to determine, through its legislative, regulatory and administrative measures, the level of protection it considers appropriate for safety and the environment.
Article 448
Safeguard measures
Article 449
Communication
Article 450
Transparency, regulatory cooperation and mutual assistance
Article 451
Exchange of safety information
The Parties shall, without prejudice to Article 453 and subject to their applicable legislation:
provide each other, on request and in a timely manner, with information available to their technical agents related to accidents, serious incidents or occurrences in relation to civil aeronautical products, services or activities covered by the Annexes to this Title; and
exchange other safety information as the technical agents may agree.
Article 452
Cooperation in enforcement activities
The Parties shall, through their technical agents or competent authorities, provide when requested, subject to applicable laws and regulations, as well as to the availability of required resources, mutual cooperation and assistance in investigations or enforcement activities regarding any alleged or suspected violation of laws or regulations falling within the scope of this Title. In addition, each Party shall promptly notify the other Party of any investigation when mutual interests are involved.
Article 453
Confidentiality and protection of data and information
Article 454
Adoption and amendments of Annexes to this Title
The Specialised Committee on Aviation Safety may amend Annex 30, adopt or amend Annexes as provided for in Article 445(2) and delete any Annex.
Article 455
Cost recovery
Each Party shall endeavour to ensure that any fees or charges imposed by a Party or its technical agent on a legal or natural person whose activities are covered by this Title shall be just, reasonable and commensurate with the services provided, and shall not create a barrier to trade.
Article 456
Other agreements and prior arrangements
Article 457
Suspension of reciprocal acceptance obligations
Article 458
Termination of this Title
Without prejudice to Article 779, Article 521 and Article 509, each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
HEADING THREE
ROAD TRANSPORT
TITLE I
TRANSPORT OF GOODS BY ROAD
Article 459
Objective
Article 460
Scope
Article 461
Definitions
For the purposes of this Title and in addition to the definitions set out in Article 124, the following definitions apply:
"vehicle" means a motor vehicle registered in the territory of a Party, or a coupled combination of vehicles of which the motor vehicle is registered in the territory of a Party, and which is used exclusively for the transport of goods;
"road haulage operator" means any natural or legal person engaged in the transport of goods with a commercial purpose, by means of a vehicle;
"road haulage operator of a Party" means a road haulage operator which is a legal person established in the territory of a Party or a natural person of a Party;
"party of establishment" means the Party in which a road haulage operator is established;
"driver" means any person who drives a vehicle even for a short period, or who is carried in a vehicle as part of his duties to be available for driving if necessary;
"transit" means the movement of vehicles across the territory of a Party without loading or unloading of goods;
"regulatory measures" means:
for the Union:
regulations and directives, as provided for in Article 288 TFEU; and
delegated and implementing acts, as provided for in Articles 290 and 291 TFEU, respectively; and
for the United Kingdom:
primary legislation; and
secondary legislation.
Article 462
Transport of goods between, through and within the territories of the Parties
Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of a Party may undertake:
laden journeys with a vehicle, from the territory of the Party of establishment to the territory of the other Party, and vice versa, with or without transit through the territory of a third country;
laden journeys with a vehicle from the territory of the Party of establishment to the territory of the same Party with transit through the territory of the other Party;
laden journeys with a vehicle to or from the territory of the Party of establishment with transit through the territory of the other Party;
unladen journeys with a vehicle in conjunction with the journeys referred to in points (a), (b) and (c).
Road haulage operators of a Party may only undertake a journey referred to in paragraph 1 if:
they hold a valid licence issued in accordance with Article 463, except in the cases referred to in Article 464; and
the journey is carried out by drivers who hold a Certificate of Professional Competence in accordance with Article 465(1).
Without prejudice to paragraph 5, subject to paragraph 6 and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom may undertake one laden journey within the territory of a Member State provided that operation:
follows a journey from the territory of the United Kingdom permitted under point (a) of paragraph 1; and
is performed within seven days of the unloading in the territory of that Member State of goods carried on the journey referred to in point (a).
Subject to paragraph 6 and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom established in Northern Ireland may undertake up to two laden journeys within the territory of Ireland provided that such operations:
follow a journey from the territory of Northern Ireland permitted under point (a) of paragraph 1; and
are performed within seven days of the unloading in the territory of Ireland of goods carried on the journey referred to in point (a).
Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the Union may undertake up to two laden journeys within the territory of the United Kingdom provided that such operations:
follow a journey from the territory of the Union permitted under point (a) of paragraph 1; and
are performed within seven days of the unloading in the territory of the United Kingdom of the goods carried on the journey referred to in point (a).
Article 463
Requirements for operators
Article 464
Exemptions from licencing requirement
The following types of transport of goods and unladen journeys made in conjunction with such transport may be conducted without a valid licence as referred to in Article 463:
transport of mail as a universal service;
transport of vehicles which have suffered damage or breakdown;
until 20 May 2022, transport of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 3,5 tonnes;
from 21 May 2022, transport of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 2,5 tonnes;
transport of medicinal products, appliances, equipment and other articles required for medical care in emergency relief, in particular for natural disasters and humanitarian assistance;
transport of goods in vehicles provided that the following conditions are fulfilled:
the goods carried are the property of the road haulage operator or have been sold, bought, let out on hire or hired, produced, extracted, processed or repaired by the operator;
the purpose of the journey is to carry the goods to or from the road haulage operator's premises or to move them, either inside or outside the operator for its own requirements;
the vehicles used for such transport are driven by personnel employed by, or put at the disposal of, the road haulage operator under a contractual obligation;
the vehicles carrying the goods are owned by the road haulage operator, have been bought by it on deferred terms or have been hired; and
such transport is no more than ancillary to the overall activities of the road haulage operator;
transport of goods by means of motor vehicles with a maximum authorised speed not exceeding 40 km/h.
Article 465
Requirements for drivers
Drivers of the vehicles undertaking journeys as referred to in Article 462 shall:
hold a Certificate of Professional Competence issued in accordance with Section 1 of Part B of Annex 31; and
comply with the rules on driving and working time, rest periods, breaks and the use of tachographs in accordance with Sections 2 to 4 of Part B of Annex 31.
Article 466
Requirements for vehicles
Article 467
Road traffic rules
Drivers of vehicles undertaking the transport of goods under this Title shall, when in the territory of the other Party, comply with the national laws and regulations in force in that territory concerning road traffic.
Article 468
Development of laws and Specialised Committee on Road Transport
When a Party proposes a new regulatory measure in an area covered by Annex 31, it shall:
notify the other Party of the proposed regulatory measure as soon as possible; and
keep the other Party informed of progress of the regulatory measure.
The Specialised Committee on Road Transport may:
amend Annex 31 to take account of regulatory and/or technological developments, or to ensure the satisfactory implementation of this Title;
confirm that the amendments made by the new regulatory measure conform to Annex 31; or
decide on any other measure aimed at safeguarding the proper functioning of this Title.
Article 469
Remedial measures
If a Party considers that the other Party has adopted a new regulatory measure that does not comply with the requirements of Annex 31, in particular in cases where the Specialised Committee on Road Transport has not reached a decision under Article 468, and the other Party nevertheless applies the provisions of the new regulatory measure to the Party's road transport operators, drivers or vehicles, the Party may, after notifying the other Party, adopt appropriate remedial measures, including the suspension of obligations under this Agreement or any supplementing Agreement, provided that such measures:
do not exceed the level equivalent to the nullification or impairment caused by the new regulatory measure adopted by the other Party that does not comply with the requirements of Annex 31; and
take effect at the earliest 7 days after the Party which intends to take such measures has given the other Party notice under this paragraph.
The appropriate remedial measures shall cease to apply:
when the Party having taken such measures is satisfied that the other Party is complying with its obligations under this Title; or
in compliance with a ruling of the arbitration tribunal.
Article 470
Taxation
The exemption referred to in paragraph 1 shall not apply to:
a tax or charge on fuel consumption;
a charge for using a road or network of roads; or
a charge for using particular bridges, tunnels or ferries.
Article 471
Obligations in other Titles
Articles 135 and 137 are incorporated into and made part of this Title and apply to the treatment of road haulage operators undertaking journeys in accordance with Article 462.
Article 472
Termination of this Title
Without prejudice to Article 779, Article 521 and Article 509, each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
TITLE II
TRANSPORT OF PASSENGERS BY ROAD
Article 473
Scope
Article 474
Definitions
For the purposes of this Title and in addition to the definitions set out in Article 124, the following definitions apply:
"coaches and buses" are vehicles which, by virtue of their construction and their equipment, are suitable for carrying more than nine persons, including the driver, and are intended for that purpose;
"passenger transport services" means transport services by road for the public or for specific categories of users, supplied in return for payment by the person transported or by the transport organiser, by means of coaches and buses;
"road passenger transport operator" means any natural person or any legal person, whether having its own legal personality or being dependent upon an authority having such a personality, which supplies passenger transport services;
"road passenger transport operator of a Party" means a road passenger transport operator which is established in the territory of a Party;
"regular services" means passenger transport services supplied at specified frequency along specified routes, whereby passengers may be picked up and set down at predetermined stopping points;
"special regular services" means services by whomsoever organised, which provide for the transport of specified categories of passengers to the exclusion of other passengers, in so far as such services are operated under the conditions specified for regular services. Special regular services shall include:
the transport of workers between home and work, and
the transport of school pupils and students to and from the educational institution.
The fact that a special regular service may be varied according to the needs of users shall not affect its classification as a regular service;
"group" means any of the following:
one or more associated natural or legal persons and their parent natural or legal person or persons,
one or more associated natural person or legal persons which have the same parent natural or legal person or persons;
"Interbus Agreement" means the Agreement on the international occasional carriage of passengers by coach and bus, as subsequently amended, which entered into force on 1 January 2003;
"transit" means the movement of coaches and buses across the territory of a Party without picking up or setting down of passengers;
"occasional services" means services which are not regular services or special regular services, and which are characterised above all by the fact that they carry groups of passengers assembled at the initiative of the customer or the road passenger transport operator.
Article 475
Passenger transport by coach and bus between, through and within the territories of the Parties
Article 476
Conditions for the provision of services referred to in Article 475
Article 477
Authorisation
In the case of a group of road passenger transport operators that intend to operate services referred to in Article 475, the authorisation shall be issued in the names of all the road passenger transport operators of the group and shall state the names of all those operators. It shall be given to the road passenger transport operators entrusted by the other road passenger transport operators of a Party for these purposes and which has requested it, and certified true copies shall be given to the other road passenger transport operators.
Authorisations shall specify the following:
the type of service;
the route of the service, giving in particular the point of departure and the point of arrival;
the period of validity of the authorisation; and
the stops and the timetable.
In this case, in addition to the documents referred to in Article 483(1) and (2), the road passenger transport operator shall ensure that a copy of the contract between the road passenger transport operator carrying out the regular or special regular service and the undertaking providing the additional vehicles or an equivalent document is carried in the vehicle and presented at the request of any authorised inspecting officer.
Article 478
Submission of application for authorisation
For each service, only one application shall be submitted. In the cases referred to in Article 477(3), it shall be submitted by the operator entrusted by the other operators for these purposes. The application shall be addressed to the authorising authority of the Party in which the road passenger transport operator submitting it is established.
Article 479
Authorisation procedure
In respect of the Union, the competent authorities referred to in the first subparagraph shall be those of the Member States in whose territories passengers are picked up or set down and whose territories are crossed without passengers being picked up or set down.
The competent authorities whose territory is crossed without passengers being picked up or set down may notify the authorising authority of their comments within four months.
In respect of services that had been authorised under Regulation (EC) No 1073/2009 of the European Parliament and the Council ( 70 ) before the end of the transition period and in respect of which the authorisation lapses at the end of the transition period, the following shall apply:
where, subject to the changes necessary to comply with Article 475, the operating conditions are the same as those having been set in the authorisation granted under Regulation (EC) No 1073/2009, the relevant authorising authority under this Title may, on application or otherwise, issue the road transport operator with a corresponding authorisation granted under this Title. Where such an authorisation is issued, the agreement of the competent authorities in whose territories passengers are picked up or set down, as referred to in paragraph 2, shall be deemed to be provided. Those competent authorities and the competent authorities whose territory is crossed without passengers being picked up or set down may, at any time, notify the authorising authority of any comments they may have;
where point (a) is applied, the validity period of the corresponding authorisation granted under this Title shall not extend beyond the last day of the validity period specified in the authorisation previously granted under Regulation (EC) No 1073/2009.
Authorisation shall be granted unless:
the applicant is unable to provide the service which is the subject of the application with equipment directly available to the applicant;
the applicant has not complied with national or international legislation on road transport, and in particular the conditions and requirements relating to authorisations for international road passenger services, or has committed serious infringements of a Party's road transport legislation in particular with regard to the rules applicable to vehicles and driving and rest periods for drivers;
in the case of an application for renewal of authorisation, the conditions of authorisation have not been complied with;
a Party decides on the basis of a detailed analysis that the service concerned would seriously affect the viability of a comparable service covered by one or more public service contracts conforming to the Party's law on the direct sections concerned. In such a case, the Party shall set up criteria, on a non-discriminatory basis, for determining whether the service applied for would seriously affect the viability of the abovementioned comparable service and shall communicate them to the other Party referred to in paragraph 1; or
a Party decides on the basis of a detailed analysis that the principal purpose of the service is not to carry passengers between stops located in the territories of the Parties.
In the event that an existing service seriously affects the viability of a comparable service covered by one or more public service contracts which conform to a Party's law on the direct sections concerned, due to exceptional reasons which could not have been foreseen at the time of granting the authorisation, a Party may, with the agreement of the other Party, suspend or withdraw the authorisation to run the international coach and bus service after having given six months' notice to the road passenger transport operator.
The fact that a road passenger transport operator of a Party offers lower prices than those offered by other road passenger transport operators or the fact that the link in question is already operated by other road passenger transport operators shall not in itself constitute justification for rejecting the application.
Decisions rejecting an application shall state the reasons on which they are based. The Parties shall ensure that transport undertakings are given the opportunity to make representations in the event of their application being rejected.
The authorising authority shall inform the competent authorities of the other Party of its decision and shall send them a copy of any authorisation.
Article 480
Renewal and alteration of authorisation
Article 481
Lapse of an authorisation
Article 482
Obligations of transport operators
Article 483
Documents to be kept on the coach or bus
Article 484
Road traffic rules
Drivers of coaches and buses undertaking the transport of passengers under this Title shall, when in the territory of the other Party, comply with the national laws and regulations in force in that territory concerning road traffic.
Article 485
Application
The provisions of this Title shall cease to apply as of the date the Protocol to the Interbus Agreement regarding the international regular and special regular carriage of passengers by coach and bus enters into force for the United Kingdom, or six months following the entry into force of that Protocol for the Union, whichever is the earliest, except for the purpose of the operations under Article 475(2), (5), (6) and (7).
Article 486
Obligations in other Titles
Articles 135 and 137 are incorporated into and made part of this Title and apply to the treatment of transport operators undertaking journeys in accordance with Article 475.
Article 487
Specialised Committee
The Specialised Committee on Road Transport may amend Annexes 32, 33 and 34 to take into account regulatory developments. It may adopt measures regarding the implementation of this Title.
HEADING FOUR
SOCIAL SECURITY COORDINATION AND VISAS FOR SHORT-TERM VISITS
TITLE I
SOCIAL SECURITY COORDINATION
Article 488
Overview
Member States and the United Kingdom shall coordinate their social security systems in accordance with the Protocol on Social Security Coordination, in order to secure the social security entitlements of the persons covered therein.
Article 489
Legally residing
Article 490
Cross-border situations
Article 491
Immigration applications
The Protocol on Social Security Coordination applies without prejudice to the right of a Member State or the United Kingdom to charge a health fee under national legislation in connection with an application for a permit to enter, to stay, to work, or to reside in that State.
TITLE II
VISAS FOR SHORT-TERM VISITS
Article 492
Visas for short-term visits
HEADING FIVE
FISHERIES
CHAPTER 1
INITIAL PROVISIONS
Article 493
Sovereign rights of coastal States exercised by the Parties
The Parties affirm that sovereign rights of coastal States exercised by the Parties for the purpose of exploring, exploiting, conserving and managing the living resources in their waters should be conducted pursuant to and in accordance with the principles of international law, including the United Nations Convention on the Law of the Sea.
Article 494
Objectives and principles
The Parties shall have regard to the following principles:
applying the precautionary approach to fisheries management;
promoting the long-term sustainability (environmental, social and economic) and optimum utilisation of shared stocks;
basing conservation and management decisions for fisheries on the best available scientific advice, principally that provided by the International Council for the Exploration of the Sea (ICES);
ensuring selectivity in fisheries to protect juvenile fish and spawning aggregations of fish, and to avoid and reduce unwanted bycatch;
taking due account of and minimising harmful impacts of fishing on the marine ecosystem and taking due account of the need to preserve marine biological diversity;
applying proportionate and non-discriminatory measures for the conservation of marine living resources and the management of fisheries resources, while preserving the regulatory autonomy of the Parties;
ensuring the collection and timely sharing of complete and accurate data relevant for the conservation of shared stocks and for the management of fisheries;
ensuring compliance with fisheries conservation and management measures, and combating illegal, unreported and unregulated fishing; and
ensuring the timely implementation of any agreed measures into the Parties' regulatory frameworks.
Article 495
Definitions
For the purposes of this Heading, the following definitions apply:
"EEZ" (of a Party) means, in accordance with the United Nations Convention on the Law of the Sea:
in the case of the Union, the exclusive economic zones established by its Member States adjacent to their European territories;
the exclusive economic zone established by the United Kingdom;
"precautionary approach to fisheries management" means an approach according to which the absence of adequate scientific information does not justify postponing or failing to take management measures to conserve target species, associated or dependent species and non-target species and their environment;
"shared stocks" means fish, including shellfish, of any kind that are found in the waters of the Parties, which includes molluscs and crustaceans;
"TAC" means the total allowable catch, which is the maximum quantity of a stock (or stocks) of a particular description that may be caught over a given period;
"non-quota stocks" means stocks which are not managed through TACs;
"territorial sea" (of a Party) means, in accordance with the United Nations Convention on the Law of the Sea:
in the case of the Union, by way of derogation from Article 774(1), the territorial sea established by its Member States adjacent to their European territories;
the territorial sea established by the United Kingdom;
"waters" (of a Party) means:
in respect of the Union, by way of derogation from Article 774(1), the EEZs of the Member States and their territorial seas;
in respect of the United Kingdom, its EEZ and its territorial sea, excluding for the purposes of Articles 500 and 501 and Annex 38 the territorial sea adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man;
"vessel" (of a Party) means:
in the case of the United Kingdom, a fishing vessel flying the flag of the United Kingdom, registered in the United Kingdom, the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, and licensed by a United Kingdom fisheries administration;
in the case of the Union, a fishing vessel flying the flag of a Member State and registered in the Union.
CHAPTER 2
CONSERVATION AND SUSTAINABLE EXPLOITATION
Article 496
Fisheries management
A Party shall not apply the measures referred to in paragraph 1 to the vessels of the other Party in its waters unless it also applies the same measures to its own vessels.
The second subparagraph is without prejudice to obligations of the Parties under the Port State Measures Agreement, the North East Atlantic Fisheries Commission Scheme of Control and Enforcement, the Northwest Atlantic Fisheries Organisation Conservation and Enforcement Measures, and Recommendation 18-09 by the International Commission for the Conservation of Atlantic Tunas on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing.
The Specialised Committee on Fisheries may amend the list of pre-existing international obligations referred to in the third subparagraph.
Article 497
Authorisations, compliance and enforcement
Where vessels have access to fish in the waters of the other Party pursuant to Article 500 and Article 502:
each Party shall communicate in sufficient time to the other Party a list of vessels for which it seeks to obtain authorisations or licences to fish; and
the other Party shall issue authorisations or licences to fish.
CHAPTER 3
ARRANGEMENTS ON ACCESS TO WATERS AND RESOURCES
Article 498
Fishing opportunities
The Parties shall hold consultations annually to agree, by 10 December of each year, the TACs for the following year for the stocks listed in Annex 35. This shall include an early exchange of views on priorities as soon as advice on the level of the TACs is received. The Parties shall agree those TACs:
on the basis of the best available scientific advice, as well as other relevant factors, including socio-economic aspects; and
in compliance with any applicable multi-year strategies for conservation and management agreed by the Parties.
Annual consultations may also cover, inter alia:
transfers of parts of one Party's shares of TACs to the other Party;
a list of stocks for which fishing is prohibited;
the determination of the TAC for any stock which is not listed in Annex 35 or Annex 36 and the Parties' respective shares of those stocks;
measures for fisheries management, including, where appropriate, fishing effort limits;
stocks of mutual interest to the Parties other than those listed in the Annexes to this Heading.
Article 499
Provisional TACs
For the purposes of this Article, "special stocks" means:
stocks where the ICES advice is for a zero TAC;
stocks caught in a mixed fishery, if that stock or another stock in the same fishery is vulnerable; or
other stocks which the Parties consider require special treatment.
Article 500
Access to waters
The Parties may agree, in annual consultations, further specific access conditions in relation to:
the fishing opportunities agreed;
any multi-year strategies for non-quota stocks developed under point (c) of Article 508(1); and
any technical and conservation measures agreed by the Parties, without prejudice to Article 496.
In particular, the outcome of the annual consultations should normally result in each Party granting:
access to fish the stocks listed in Annex 35 and tables A, B and F of Annex 36 in each other's EEZ (or if access is granted under point (c), in EEZs and in the divisions mentioned in that point) at a level that is reasonably commensurate with the Parties' respective shares of the TACs;
access to fish non-quota stocks in each other's EEZ (or if access is granted under point (c), in EEZs and in the divisions mentioned in that point), at a level that at least equates to the average tonnage fished by that Party in the waters of the other Party during the period 2012-2016; and
access to the waters of the Parties between six and twelve nautical miles from the baselines in ICES divisions 4c and 7d-g for qualifying vessels to the extent that Union fishing vessels and United Kingdom fishing vessels had access to those waters on 31 December 2020.
For the purposes of point (c), "qualifying vessel" means a vessel of a Party which fished in the zone mentioned in the previous sentence in four of the years between 2012 and 2016, or its direct replacement.
Annual consultations referred to in point (c) may include appropriate financial commitments and quota transfers between the Parties.
During the application of a provisional TAC, and pending an agreed TAC, the Parties shall grant provisional access to fish in the relevant ICES sub-areas as follows:
for stocks listed in Annex 35 and non-quota stocks, from 1 January until 31 March at the levels provided for in points (a) and (b) of paragraph 4;
for stocks listed in Annex 36 from 1 January until 14 February at the levels provided for in point (a) of paragraph 4; and
in relation to access to fish in the six to twelve nautical miles zone, access in accordance with point (c) of paragraph 4 from 1 January to 31 January at a level equivalent to the average monthly tonnage fished in that zone in the previous three months.
Such access, for each of the relevant stocks in points (a) and (b), shall be in proportion to the average percentage of a Party's share of the annual TAC which that Party's vessels fished in the other Party's waters in the relevant ICES sub-areas during the same period of the previous three calendar years. The same shall apply, mutatis mutandis, to access to fish non-quota stocks.
By 15 January in relation to the situation in point (c) of this paragraph, by 31 January in respect of the stocks listed in Annex 36, and by 15 March in respect of all other stocks, each Party shall notify the other Party of the change in the level and conditions of access to waters that will apply as of 1 February in relation to the situation in point (c) of this paragraph, as of 15 February in respect of the stocks listed in Annex 36, and as of 1 April in respect of all other stocks for the relevant ICES sub-areas.
Article 501
Compensatory measures in case of withdrawal or reduction of access
A compensatory measure referred to in paragraph 1 of this Article may take effect at the earliest seven days after the fishing Party has given notice to the host Party of the intended suspension under paragraph 1 of this Article and, in any case, not earlier than 1 February in relation to the situation in point (c) of Article 500(5), 15 February in respect of Annex 36 and 1 April in respect of other stocks. The Parties shall consult within the Specialised Committee with a view to reaching a mutually agreeable solution. That notification shall identify:
the date upon which the fishing Party intends to suspend; and
the obligations to be suspended and the level of the intended suspension.
Article 502
Specific access arrangements relating to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man
For the purposes of this Article and, in so far as the other Articles in this Heading apply in relation to the arrangements for access established under this Article:
"qualifying vessel" means, in respect of fishing activity carried out in waters adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey, the Isle of Man or a Member State, any vessel which fished in the territorial sea adjacent to that territory or that Member State on more than 10 days in any of the three 12 month periods ending on 31 January, or between 1 February 2017 and 31 January 2020;
"vessel" (of a Party)" means, in respect of the United Kingdom, a fishing vessel flying the flag of the United Kingdom and registered in the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, and licensed by a United Kingdom fisheries administration;
"waters" (of a Party) means:
in respect of the Union, the territorial sea adjacent to a Member State; and
in respect of the United Kingdom, the territorial sea adjacent to each of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man.
Article 503
Notification periods relating to the importation and direct landing of fishery products
The Union shall apply the following notification periods to fishery products caught by vessels flying the flag of the United Kingdom and registered in the Bailiwick of Guernsey or the Bailiwick of Jersey in the territorial sea adjacent to those territories or in the territorial sea adjacent to a Member State:
prior notification of between three and five hours before landing fresh fishery products into the Union's territory;
prior notification of between one and three hours of the validated catch certificate for the direct movement of consignments of fishery products by sea before the estimated time of arrival at the place of entry into the Union's territory.
Article 504
Alignment of management areas
Article 505
Shares of TACs for certain other stocks
CHAPTER 4
ARRANGEMENTS ON GOVERNANCE
Article 506
Remedial measures and dispute resolution
In relation to an alleged failure by a Party (the "respondent Party") to comply with this Heading (other than in relation to alleged failures dealt with under paragraph 2), the other Party (the "complaining Party") may, after giving notice to the respondent Party:
suspend, in whole or in part, access to its waters and the preferential tariff treatment granted to fishery products under Article 21; and
if it considers that the suspension referred to in point (a) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, it may suspend, in whole or in part, the preferential tariff treatment of other goods under Article 21; and
if it considers that the suspension referred to in points (a) and (b) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, it may suspend, in whole or in part, obligations under Heading One of this Part with the exception of Title XI. If Heading One of this Part is suspended in whole, Heading Three of this part is also suspended.
In relation to an alleged failure by a Party (the "respondent Party") to comply with Article 502, 503 or any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, the other Party (the "complaining Party"), after giving notice to the respondent Party:
may suspend, in whole or in part, access to its waters within the meaning of Article 502;
if it considers that the suspension referred to in point (a) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, may suspend, in whole or in part, the preferential tariff treatment granted to fishery products under Article 21;
if it considers that the suspension referred to in points (a) and (b) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, may suspend, in whole or in part, the preferential tariff treatment of other goods under Article 21.
By way of derogation from paragraph 1 of this Article, remedial measures affecting the arrangements established under Article 502, Article 503 or any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles may not be taken as a result of an alleged failure by a Party to comply with provisions of this Heading unconnected to those arrangements.
A measure referred to in paragraphs 1 and 2 may take effect at the earliest seven days after the complaining Party has given the respondent Party notice of the proposed suspension. The Parties shall consult within the Specialised Committee on Fisheries with a view to reaching a mutually agreeable solution. That notification shall identify:
the way in which the complaining Party considers that the respondent Party has failed to comply;
the date upon which the complaining Party intends to suspend; and
the level of intended suspension.
The suspension shall cease to apply when:
the complaining Party is satisfied that the respondent Party is complying with its relevant obligations under this Heading; or
the arbitration tribunal has decided that the respondent Party has not failed to comply with its relevant obligations under this Heading.
Article 507
Data sharing
The Parties shall share such information as is necessary to support the implementation of this Heading, subject to each Party's laws.
Article 508
Specialised Committee on Fisheries
The Specialised Committee on Fisheries may in particular:
provide a forum for discussion and cooperation in relation to sustainable fisheries management;
consider the development of multi-year strategies for conservation and management as the basis for the setting of TACs and other management measures;
develop multi-year strategies for the conservation and management of non-quota stocks as referred to in point (b) of Article 500(2);
consider measures for fisheries management and conservation, including emergency measures and measures to ensure selectivity of fishing;
consider approaches to the collection of data for science and fisheries management purposes, the sharing of such data (including information relevant to monitoring, controlling and enforcing compliance), and the consultation of scientific bodies regarding the best available scientific advice;
consider measures to ensure compliance with the applicable rules, including joint control, monitoring and surveillance programmes and the exchange of data to facilitate monitoring uptake of fishing opportunities and control and enforcement;
develop the guidelines for setting the TACs referred to in Article 499(5);
make preparations for annual consultations;
consider matters relating to the designation of ports for landings, including the facilitation of the timely notification by the Parties of such designations and of any changes to those designations;
establish timelines for the notification of measures referred to in Article 496(3), the communication of the lists of vessels referred to in Article 497(1) and the notice referred to in Article 498(7);
provide a forum for consultations under Article 501(2) and Article 506(4);
develop guidelines to support the practical application of Article 500;
develop a mechanism for voluntary in-year transfers of fishing opportunities between the Parties, as referred to in Article 498(8); and
consider the application and implementation of Article 502 and Article 503.
The Specialised Committee on Fisheries may adopt measures, including decisions and recommendations:
recording matters agreed by the Parties following consultations under Article 498;
in relation to any of the matters referred to in points (b), (c), (d), (e), (f), (g), (i), (j), (l), (m) and (n) of paragraph 1 of this Article;
amending the list of pre-existing international obligations referred to in Article 496(2);
in relation to any other aspect of cooperation on sustainable fisheries management under this Heading; and
on the modalities of a review under Article 510.
Article 509
Termination
By way of derogation from paragraphs 1 to 3 of this Article and without prejudice to Article 779 or Article 521:
unless agreed otherwise between the Parties, Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall remain in force until:
they are terminated by either Party giving to the other Party three years' written notice of termination; or
if earlier, the date on which Article 520(3) to (5) cease to be in force;
for the purposes of point (a)(i), notice of termination may be given in respect of one or more of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man and Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall continue to be in force for those territories in respect of which a notice of termination has not been given; and
for the purposes of point (a)(ii), if Article 520(3) to (5) cease to be in force in relation to one or more (but not all) of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall continue to be in force for those territories in respect of which Article 520(3) to (5) remain in force.
Article 510
Review clause
The review shall, in particular, allow for an evaluation, in relation to the previous years, of:
the provisions for access to each other's waters under Article 500;
the shares of TACs set out in Annexes 35, 36 and 37;
the number and extent of transfers as part of annual consultations under Article 498(4) and any transfers under Article 498(8);
the fluctuations in annual TACs;
compliance by both Parties with the provisions of this Heading and the compliance by vessels of each Party with the rules applicable to those vessels when in the other Party's waters;
the nature and extent of cooperation under this Heading; and
any other element the Parties decide, in advance, through the Specialised Committee on Fisheries.
Article 511
Relationship with other agreements
HEADING SIX
OTHER PROVISIONS
Article 512
Definitions
Unless otherwise specified, for the purposes of Part Two, the Protocol on mutual administrative assistance in customs matters and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the following definitions apply:
"customs authority" means:
with respect to the Union, the services of the European Commission responsible for customs matters or, as appropriate, the customs administrations and any other authorities empowered in the Member States of the Union to apply and enforce customs legislation, and
with respect to the United Kingdom, Her Majesty's Revenue and Customs and any other authority responsible for customs matters;
"customs duty" means any duty or charge of any kind imposed on, or in connection with, the importation of a good but does not include:
a charge equivalent to an internal tax imposed consistently with Article 19;
an anti-dumping, special safeguard, countervailing or safeguard duty applied consistently with GATT 1994, the Anti-dumping Agreement, the Agreement on Agriculture, the Agreement on Subsidies and Countervailing Measures or the Agreement on Safeguards, as appropriate; or
a fee or other charge imposed on or in connection with importation that is limited in amount to the approximate cost of the services rendered;
"CPC" means the Provisional Central Product Classification (Statistical Papers Series M No.77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991);
"existing" means in effect on the date of entry into force of this Agreement;
"goods of a Party" means domestic products within the meaning of GATT 1994, and includes originating goods of that Party;
"Harmonised System" or "HS" means the Harmonised Commodity Description and Coding System, including all legal notes and amendments thereto developed by the World Customs Organization;
"heading" means the first four digits in the tariff classification number under the Harmonised System;
"legal person" means any legal entity duly constituted or otherwise organised under applicable law, whether for profit or otherwise, and whether privately-owned or governmentally-owned, including any corporation, trust, partnership, joint venture, sole proprietorship or association;
"measure" means any measure by a Party, whether in the form of a law, regulation, rule, procedure, decision, administrative action, requirement or practice, or any other form; ( 71 )
"measures of a Party" means any measures adopted or maintained by:
central, regional or local governments or authorities; and
non-governmental bodies in the exercise of powers delegated by central, regional or local governments or authorities;
"measures of a Party" includes measures adopted or maintained by entities listed under sub-paragraphs (i) and (ii) by instructing, directing or controlling, either directly or indirectly, the conduct of other entities with regard to those measures.
"person" means a natural person or a legal person;
"sanitary or phytosanitary measure" means any measure referred to in paragraph 1 of Annex A to the SPS Agreement;
"third country" means a country or territory outside the territorial scope of application of this Agreement; and
"WTO" means the World Trade Organization.
Article 513
WTO Agreements
For the purposes of this Agreement, the WTO Agreements are referred to as follows:
"Agreement on Agriculture" means the Agreement on Agriculture, contained in Annex 1A to the WTO Agreement;
"Anti-dumping Agreement" means the Agreement on Implementation of Article VI of the General Agreement on Tariffs and Trade 1994;
"GATS" means the General Agreement on Trade in Services, contained in Annex 1B to the WTO Agreement;
"GATT 1994" means the General Agreement on Tariffs and Trade 1994, contained in Annex 1A to the WTO Agreement;
"GPA" means the Agreement on Government Procurement in Annex 4 to the WTO Agreement ( 74 );
"Safeguards Agreement" means the Agreement on Safeguards, contained in Annex 1A to the WTO Agreement;
"SCM Agreement" means the Agreement on Subsidies and Countervailing Measures, contained in Annex 1A to the WTO Agreement;
"SPS Agreement" means the Agreement on the Application of Sanitary and Phytosanitary Measures, contained in Annex 1A to the WTO Agreement;
"TBT Agreement" means the Agreement on Technical Barriers to Trade, contained in Annex 1 to the WTO Agreement;
"TRIPS Agreement" means the Agreement on Trade-Related Aspects of Intellectual Property Rights, contained in Annex 1C to the WTO Agreement; and
"WTO Agreement" means the Marrakesh Agreement Establishing the World Trade Organization, done at Marrakesh on 15 April 1994.
Article 514
Establishment of a free trade area
The Parties hereby establish a free trade area, in conformity with Article XXIV of GATT 1994 and Article V of GATS.
Article 515
Relation to the WTO Agreement
The Parties affirm their rights and obligations with respect to each other under the WTO Agreement and other agreements to which they are party.
Nothing in this Agreement shall be construed as requiring either Party to act in a manner inconsistent with its obligations under the WTO Agreement.
Article 516
WTO case-law
The interpretation and application of the provisions of this Part shall take into account relevant interpretations in reports of WTO panels and of the Appellate Body adopted by the Dispute Settlement Body of the WTO as well as in arbitration awards under the Dispute Settlement Understanding.
Article 517
Fulfilment of obligations
Each Party shall adopt any general or specific measures required to fulfil their obligations under this Part, including those required to ensure its observance by central, regional or local governments and authorities, as well as non-governmental bodies in the exercise of powers delegated to them.
Article 518
References to laws and other Agreements
Article 519
Tasks of the Partnership Council in Part Two
The Partnership Council may:
adopt decisions to amend:
Chapter 2 of Title I of Heading one of Part two and its Annexes, in accordance with Article 68;
the arrangements set out in Annexes 16 and 17, in accordance with Article 96(8);
Appendices 15-A and 15-B, in accordance with Article 2(3) of Annex 15;
Appendix 15-C, in accordance with Article 3(3) of Annex 15;
Appendices 14-A, 14-B, 14-C and 14-D, in accordance with Article 1 of Annex 14;
Appendices 12-A, 12-B and 12-C, in accordance with Article 11 of Annex 12;
the Annex on Authorised Economic Operators, the Protocol on mutual administrative assistance in customs matters, the Protocol on combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, and the list of goods set out in Article 117(2), in accordance with Article 122;
the relevant Sub-section under Section B of Annex 25, in accordance with Article 293;
Annexes 26, 27 and 28, in accordance with Article 329;
Article 364(4) in accordance with that paragraph, the third sentence of Article 365(2) in accordance with the fourth sentence of that paragraph, Article 365(3) in accordance with that paragraph, Article 367 in accordance with paragraph 1 of that Article and Article 373 in accordance with paragraph 7 of that Article;
Article 502, Article 503 and any other provision of Heading Five, in accordance with Article 502(4);
Annexes 35, 36 and 37, in accordance with Article 508(3);
any other provision, protocol, appendix or annex, for which the possibility of such decision is explicitly foreseen in this Part;
adopt decisions to issue interpretations of the provisions of this Part.
Article 520
Geographical application
Without prejudice to Article 779 and Article 521 and unless agreed otherwise between the Parties, paragraphs 3 to 5 of this Article shall remain in force until the earlier of:
expiry of a period of three years following written notice of termination to the other Party; or
the date on which Article 502, Article 503 and any other provision of Heading Five in so far as it relates to the arrangements provided for in those Articles cease to be in force.
Article 521
Termination of Part Two
Without prejudice to Article 779, each Party may at any moment terminate this Part by written notification through diplomatic channels. In that event, this Part shall cease to be in force on the first day of the ninth month following the date of notification. Heading Four and the Protocol on Social Security Coordination shall not be terminated pursuant to this Article.
PART THREE
LAW ENFORCEMENT AND JUDICIAL COOPERATION IN CRIMINAL MATTERS
TITLE I
GENERAL PROVISIONS
Article 522
Objective
Article 523
Definitions
For the purposes of this Part, the following definitions apply:
"third country" means a country other than a Member State or the United Kingdom;
"special categories of personal data" means personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, genetic data, biometric data processed for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person's sex life or sexual orientation;
"genetic data" means all personal data relating to the genetic characteristics of an individual that have been inherited or acquired, which give unique information about the physiology or the health of that individual, resulting in particular from an analysis of a biological sample from the individual in question;
"biometric data" means personal data resulting from specific technical processing relating to the physical, physiological or behavioural characteristics of a natural person which allow or confirm the unique identification of that natural person, such as facial images or dactyloscopic data;
"processing" means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction;
"personal data breach" means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed;
"filing system" means any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis;
"Specialised Committee on Law Enforcement and Judicial Cooperation" means the Committee by that name established by Article 8.
Article 524
Protection of human rights and fundamental freedoms
Article 525
Protection of personal data
To reflect that high level of protection, the Parties shall ensure that personal data processed under this Part is subject to effective safeguards in the Parties' respective data protection regimes, including that:
personal data is processed lawfully and fairly, in compliance with the principles of data minimisation, purpose limitation, accuracy and storage limitation;
processing of special categories of personal data is only permitted to the extent necessary and subject to appropriate safeguards adapted to the specific risks of the processing;
a level of security appropriate to the risk of the processing is ensured through relevant technical and organisational measures, in particular as regards the processing of special categories of personal data;
data subjects are granted enforceable rights of access, rectification and erasure, subject to possible restrictions provided for by law which constitute necessary and proportionate measures in a democratic society to protect important objectives of public interest;
in the event of a data breach creating a risk to the rights and freedoms of natural persons, the competent supervisory authority is notified without undue delay of the breach; where the breach is likely to result in a high risk to the rights and freedoms of natural persons, the data subjects are also notified, subject to possible restrictions provided for by law which constitute necessary and proportionate measures in a democratic society to protect important objectives of public interest;
onward transfers to a third country are allowed only subject to conditions and safeguards appropriate to the transfer ensuring that the level of protection is not undermined;
the supervision of compliance with data protection safeguards and the enforcement of data protection safeguards are ensured by independent authorities; and
data subjects are granted enforceable rights to effective administrative and judicial redress in the event that data protection safeguards have been violated.
Article 526
Scope of cooperation where a Member State no longer participates in analogous measures under Union law
TITLE II
EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA
Article 527
Objective
The objective of this Title is to establish reciprocal cooperation between the competent law enforcement authorities of the United Kingdom, on the one side, and the Member States, on the other side, on the automated transfer of DNA profiles, dactyloscopic data and certain domestic vehicle registration data.
Article 528
Definitions
For the purposes of this Title, the following definitions apply:
"competent law enforcement authority" means a domestic police, customs or other authority that is authorised by domestic law to detect, prevent and investigate offences or criminal activities and to exercise authority and take coercive measures in the context of such activities; agencies, bodies or other units dealing especially with national security issues are not competent law enforcement authorities for the purposes of this Title;
"search" and "comparison", as referred to in Articles 530, 531, 534 and 539 mean the procedures by which it is established whether there is a match between, respectively, DNA data or dactyloscopic data which have been communicated by one State and DNA data or dactyloscopic data stored in the databases of one, several, or all of the other States;
"automated searching", as referred to in Article 537, means an online access procedure for consulting the databases of one, several, or all of the other States;
"non-coding part of DNA" means chromosome regions not genetically expressed, i.e. not known to provide for any functional properties of an organism;
"DNA profile" means a letter or numeric code which represents a set of identification characteristics of the non-coding part of an analysed human DNA sample, i.e. the particular molecular structure at the various DNA locations (loci);
"DNA reference data" means DNA profile and reference number; DNA reference data shall only include DNA profiles established from the non-coding part of DNA and a reference number; DNA reference data shall not contain any data from which the data subject can be directly identified; DNA reference data which is not attributed to any natural person (unidentified DNA profiles) shall be recognisable as such;
"reference DNA profile" means the DNA profile of an identified person;
"unidentified DNA profile" means the DNA profile obtained from traces collected during the investigation of criminal offences and belonging to a person not yet identified;
"note" means a State's marking on a DNA profile in its domestic database indicating that there has already been a match for that DNA profile on another State's search or comparison;
"dactyloscopic data" means fingerprint images, images of fingerprint latents, palm prints, palm print latents and templates of such images (coded minutiae), when they are stored and dealt with in an automated database;
"dactyloscopic reference data" means dactyloscopic data and reference number; dactyloscopic reference data shall not contain any data from which the data subject can be directly identified; dactyloscopic reference data which is not attributed to any natural person (unidentified dactyloscopic data) shall be recognisable as such;
"vehicle registration data" means the data-set as specified in Chapter 3 of Annex 39;
"individual case", as referred to in Article 530(1), second sentence, Article 534(1), second sentence and Article 537(1), means a single investigation or prosecution file; if such a file contains more than one DNA profile, or one piece of dactyloscopic data or vehicle registration data, they may be transmitted together as one request;
"laboratory activity" means any measure taken in a laboratory when locating and recovering traces on items, as well as developing, analysing and interpreting forensic evidence regarding DNA profiles and dactyloscopic data, with a view to providing expert opinions or exchanging forensic evidence;
"results of laboratory activities" means any analytical outputs and directly associated interpretation;
"forensic service provider" means any organisation, public or private, that carries out laboratory activities at the request of competent law enforcement or judicial authorities;
"domestic accreditation body" means the sole body in a State that performs accreditation with authority derived from the State.
Article 529
Establishment of domestic DNA analysis files
Article 530
Automated searching of DNA profiles
Article 531
Automated comparison of DNA profiles
Article 532
Collection of cellular material and supply of DNA profiles
Where, in ongoing investigations or criminal proceedings, there is no DNA profile available for a particular individual present within a requested State's territory, the requested State shall provide legal assistance by collecting and examining cellular material from that individual and by supplying the DNA profile obtained to the requesting State, if:
the requesting State specifies the purpose for which it is required;
the requesting State produces an investigation warrant or statement issued by the competent authority, as required under that State's domestic law, showing that the requirements for collecting and examining cellular material would be fulfilled if the individual concerned were present within the requesting State's territory; and
under the requested State's law, the requirements for collecting and examining cellular material and for supplying the DNA profile obtained are fulfilled.
Article 533
Dactyloscopic data
For the purpose of implementing this Title, the States shall ensure the availability of dactyloscopic reference data from the file for the domestic automated fingerprint identification systems established for the prevention and investigation of criminal offences.
Article 534
Automated searching of dactyloscopic data
Article 535
National contact points
Article 536
Supply of further personal data and other information
If the procedure referred to in Articles 530, 531 and 534 show a match between DNA profiles or dactyloscopic data, the supply of further available personal data and other information relating to the reference data shall be governed by the domestic law, including the legal assistance rules, of the requested State, without prejudice to Article 539(1).
Article 537
Automated searching of vehicle registration data
For the prevention and investigation of criminal offences and in dealing with other offences within the jurisdiction of the courts or a public prosecutor in the requesting State, as well as in maintaining public security, States shall allow other States' national contact points, as referred to in paragraph 2, access to the following domestic vehicle registration data, with the power to conduct automated searches in individual cases:
data relating to owners or operators; and
data relating to vehicles.
Article 538
Accreditation of forensic service providers carrying out laboratory activities
Article 539
Implementing measures
Article 540
Ex ante evaluation
Article 541
Suspension and disapplication
TITLE III
TRANSFER AND PROCESSING OF PASSENGER NAME RECORD DATA
Article 542
Scope
Article 543
Definitions
For the purposes of this Title, the following definitions apply:
"air carrier" means an air transport undertaking with a valid operating licence or equivalent permitting it to carry out carriage of passengers by air between the United Kingdom and the Union;
"passenger name record" ("PNR") means a record of each passenger's travel requirements which contains information necessary to enable reservations to be processed and controlled by the booking and participating air carriers for each journey booked by or on behalf of any person, whether it is contained in reservation systems, departure control systems used to check passengers into flights, or equivalent systems providing the same functionalities; specifically, as used in this Title, PNR data consists of the elements set out in Annex 40;
"United Kingdom competent authority" means the United Kingdom authority responsible for receiving and processing PNR data under this Agreement; if the United Kingdom has more than one competent authority it shall provide a passenger data single window facility that allows air carriers to transfer PNR data to a single data transmission entry point and shall designate a single point of contact for the purpose of receiving and making requests under Article 546;
"Passenger Information Units" ("PIUs") means the Units established or designated by Member States that are responsible for receiving and processing PNR data;
"terrorism" means any offence listed in Annex 45;
"serious crime" means any offence punishable by a custodial sentence or detention order for a maximum period of at least three years under the domestic law of the United Kingdom.
Article 544
Purposes of the use of PNR data
In exceptional cases, the United Kingdom competent authority may process PNR data where necessary to protect the vital interests of any natural person, such as:
a risk of death or serious injury; or
a significant public health risk, in particular as identified under internationally recognised standards.
Article 545
Ensuring PNR data is provided
Article 546
Police and judicial cooperation
Article 547
Non-discrimination
The United Kingdom shall ensure that the safeguards applicable to the processing of PNR data apply to all natural persons on an equal basis without unlawful discrimination.
Article 548
Use of special categories of personal data
Any processing of special categories of personal data shall be prohibited under this Title. To the extent that any PNR data which is transferred to the United Kingdom competent authority includes special categories of personal data, the United Kingdom competent authority shall delete such data.
Article 549
Data security and integrity
The United Kingdom shall ensure compliance verification and the protection, security, confidentiality, and integrity of the data. In that regard, the United Kingdom shall:
apply encryption, authorisation, and documentation procedures to the PNR data;
limit access to PNR data to authorised officials;
hold PNR data in a secure physical environment that is protected with access controls; and
establish a mechanism that ensures that PNR data queries are conducted in a manner consistent with Article 544.
Article 550
Transparency and notification of passengers
The United Kingdom competent authority shall make the following available on its website:
a list of the legislation authorising the collection of PNR data;
the purposes for the collection of PNR data;
the manner of protecting PNR data;
the manner and extent to which PNR data may be disclosed;
information regarding the rights of access, correction, notation and redress; and
contact information for inquiries.
Article 551
Automated processing of PNR data
The United Kingdom competent authority shall ensure that any automated processing of PNR data is based on non-discriminatory, specific and reliable pre-established models and criteria to enable it to:
arrive at results targeting natural persons who might be under a reasonable suspicion of involvement or participation in terrorism or serious crime; or
in exceptional circumstances, protect the vital interests of any natural person as set out in Article 544(2).
Article 552
Retention of PNR data
No later than six months after the transfer of the PNR data referred to in paragraph 1, all PNR data shall be depersonalised by masking out the following data elements which could serve to identify directly the passenger to whom the PNR data relate or any other natural person:
names, including the names of other passengers on the PNR and number of passengers on the PNR travelling together;
addresses, telephone numbers and electronic contact information of the passenger, the persons who made the flight reservation for the passenger, persons through whom the air passenger may be contacted and persons who are to be informed in the event of an emergency;
all available payment and billing information, to the extent that it contains any information which could serve to identify a natural person;
frequent flyer information;
other supplementary information (OSI), special service information (SSI) and special service request (SSR) information, to the extent that they contain any information which could serve to identify a natural person; and
any advance passenger information (API) data that have been collected.
The United Kingdom may derogate from paragraph 4 on a temporary basis for an interim period, the duration of which is provided for in paragraph 13, pending the implementation by the United Kingdom of technical adjustments as soon as possible. During the interim period, the United Kingdom competent authority shall prevent the use of the PNR data that is to be deleted in accordance with paragraph 4 by applying the following additional safeguards to that PNR data:
the PNR data shall be accessible only to a limited number of authorised officials and only where necessary to determine whether the PNR data should be deleted in accordance with paragraph 4;
the request to use the PNR data shall be refused in cases where the data is to be deleted in accordance with paragraph 4, and no further access shall be granted to that data where the documentation referred to in point (d) of this paragraph indicates that an earlier request for use has been refused;
deletion of the PNR data shall be ensured as soon as possible using best efforts, taking into account the special circumstances referred to in paragraph 10; and
the following shall be documented in accordance with Article 554, and such documentation shall be made available to the independent administrative body referred to in paragraph 7 of this Article:
any requests to use the PNR data;
the date and time of the access to the PNR data for the purpose of assessing whether deletion of the PNR data was required;
that the request to use the PNR data was refused on the basis that the PNR data should have been deleted under paragraph 4, including the date and time of the refusal; and
the date and time of the deletion of the PNR data in accordance with point (c) of this paragraph.
The United Kingdom shall provide to the Specialised Committee on Law Enforcement and Judicial Cooperation, nine months after the entry into force of this Agreement and again a year later if the interim period is extended for a further year:
a report from the independent administrative body referred to in paragraph 7 of this Article, which shall include the opinion of the United Kingdom supervisory authority referred to in Article 525(3) as to whether the safeguards provided for in paragraph 11 of this Article have been effectively applied; and
the assessment of the United Kingdom of whether the special circumstances referred to in paragraph 10 of this Article persist, together with a description of the efforts made to transform the PNR processing systems of the United Kingdom into systems which would enable PNR data to be deleted in accordance with paragraph 4 of this Article.
Article 553
Conditions for the use of PNR data
Use of PNR data by the United Kingdom competent authority in accordance with paragraph 1 shall be subject to prior review by a court or by an independent administrative body in the United Kingdom based on a reasoned request by the United Kingdom competent authority submitted within the domestic legal framework of procedures for the prevention, detection or prosecution of crime, except:
in cases of validly established urgency; or
for the purpose of verifying the reliability and currency of the pre-established models and criteria on which the automated processing of PNR data is based, or of defining new models and criteria for such processing.
Article 554
Logging and documenting of PNR data processing
The United Kingdom competent authority shall log and document all processing of PNR data. It shall only use such logging or documentation to:
self-monitor and to verify the lawfulness of data processing;
ensure proper data integrity;
ensure the security of data processing; and
ensure oversight.
Article 555
Disclosure within the United Kingdom
The United Kingdom competent authority shall not disclose PNR data to other public authorities in the United Kingdom unless the following conditions are met:
the PNR data is disclosed to public authorities whose functions are directly related to the purposes set out in Article 544;
the PNR data is disclosed only on a case-by-case basis;
the disclosure is necessary, in the particular circumstances, for the purposes set out in Article 544;
only the minimum amount of PNR data necessary is disclosed;
the receiving public authority affords protection equivalent to the safeguards described in this Title; and
the receiving public authority does not disclose the PNR data to another entity unless the disclosure is authorised by the United Kingdom competent authority in accordance with the conditions laid down in this paragraph.
Article 556
Disclosure outside the United Kingdom
The United Kingdom shall ensure that the United Kingdom competent authority does not disclose PNR data to public authorities in third countries unless all the following conditions are met:
the PNR data is disclosed to public authorities whose functions are directly related to the purposes set out in Article 544;
the PNR data is disclosed only on a case-by-case basis;
the PNR data is disclosed only if necessary for the purposes set out in Article 544;
only the minimum amount of PNR data necessary is disclosed; and
the third country to which the PNR data is disclosed has either concluded an agreement with the Union that provides for the protection of personal data comparable to this Agreement or is subject to a decision of the European Commission pursuant to Union law that finds that the third country ensures an adequate level of data protection within the meaning of Union law.
As an exception to point (e) of paragraph 1, the United Kingdom competent authority may transfer PNR data to a third country if:
the head of that authority, or a senior official specifically mandated by the head, considers that the disclosure is necessary for the prevention and investigation of a serious and imminent threat to public security or to protect the vital interests of any natural person; and
the third country provides a written assurance, pursuant to an arrangement, agreement or otherwise, that the information shall be protected in line with the safeguards applicable under United Kingdom law to the processing of PNR data received from the Union, including those set out in this Title.
Article 557
Method of transfer
Air carriers shall transfer PNR data to the United Kingdom competent authority exclusively on the basis of the "push method", a method by which air carriers transfer PNR data into the database of the United Kingdom competent authority, and in accordance with the following procedures to be observed by air carriers, by which they:
transfer PNR data by electronic means in compliance with the technical requirements of the United Kingdom competent authority or, in the case of a technical failure, by any other appropriate means ensuring an appropriate level of data security;
transfer PNR data using a mutually accepted messaging format; and
transfer PNR data in a secure manner using common protocols as required by the United Kingdom competent authority.
Article 558
Frequency of transfer
The United Kingdom competent authority shall require air carriers to transfer the PNR data:
initially from no earlier than 96 hours before the scheduled flight service departure time; and
a maximum number of five times as specified by the United Kingdom competent authority.
Article 559
Cooperation
The United Kingdom competent authority and the PIUs of the Member States shall cooperate to pursue the coherence of their PNR data processing regimes in a manner that further enhances the security of individuals in the United Kingdom, the Union and elsewhere.
Article 560
Non-derogation
This Title shall not be construed as derogating from any obligation between the United Kingdom and Member States or third countries to make or respond to a request under a mutual assistance instrument.
Article 561
Consultation and review
Article 562
Suspension of cooperation under this Title
TITLE IV
COOPERATION ON OPERATIONAL INFORMATION
Article 563
Cooperation on Operational Information
The objective of this Title is for the Parties to ensure that the competent authorities of the United Kingdom and of the Member States are able to, subject to the conditions of their domestic law and within the scope of their powers, and to the extent that this is not provided for in other Titles of this Part, assist each other through the provision of relevant information for the purposes of:
the prevention, investigation, detection or prosecution of criminal offences;
the execution of criminal penalties;
safeguarding against, and the prevention of, threats to public safety; and
the prevention and combating of money laundering and the financing of terrorism.
TITLE V
COOPERATION WITH EUROPOL
Article 564
Objective
The objective of this Title is to establish cooperative relations between Europol and the competent authorities of the United Kingdom in order to support and strengthen the action by the Member States and the United Kingdom, as well as their mutual cooperation in preventing and combating serious crime, terrorism and forms of crime which affect a common interest covered by a Union policy, as referred to in Article 566.
Article 565
Definitions
For the purposes of this Title, the following definitions apply:
"Europol" means the European Union Agency for Law Enforcement Cooperation, set up under Regulation (EU) 2016/794 of the European Parliament and of the Council ( 79 ) (the "Europol Regulation");
"competent authority" means, for the Union, Europol and, for the United Kingdom, a domestic law enforcement authority responsible under domestic law for preventing and combating criminal offences;
Article 566
Forms of crime
Article 567
Scope of cooperation
The cooperation may, in addition to the exchange of personal data under the conditions laid down in this Title and in accordance with the tasks of Europol as outlined in the Europol Regulation, in particular include:
the exchange of information such as specialist knowledge;
general situation reports;
results of strategic analysis;
information on criminal investigation procedures;
information on crime prevention methods;
participation in training activities; and
the provision of advice and support in individual criminal investigations as well as operational cooperation.
Article 568
National contact point and liaison officers
Article 569
Exchanges of information
Article 570
Restrictions on access to and further use of transferred personal data
Article 571
Different categories of data subjects
Article 572
Facilitation of flow of personal data between the United Kingdom and Europol
In the interest of mutual operational benefits, the Parties shall endeavour to cooperate in the future with a view to ensuring that data exchanges between Europol and the competent authorities of the United Kingdom can take place as quickly as possible, and to consider the incorporation of any new processes and technical developments which might assist with that objective, while taking account of the fact that the United Kingdom is not a Member State.
Article 573
Assessment of reliability of the source and accuracy of information
The competent authorities shall indicate as far as possible, at the latest at the moment of transferring the information, the reliability of the source of the information on the basis of the following criteria:
where there is no doubt as to the authenticity, trustworthiness and competence of the source, or if the information is provided by a source which has proved to be reliable in all instances;
where the information is provided by a source which has in most instances proved to be reliable;
where the information is provided by a source which has in most instances proved to be unreliable;
where the reliability of the source cannot be assessed.
The competent authorities shall indicate as far as possible, at the latest at the moment of transferring the information, the accuracy of the information on the basis of the following criteria:
information the accuracy of which is not in doubt;
information known personally to the source but not known personally to the official passing it on;
information not known personally to the source but corroborated by other information already recorded;
information not known personally to the source and which cannot be corroborated.
Article 574
Security of the information exchange
Article 575
Liability for unauthorised or incorrect personal data processing
Article 576
Exchange of classified and sensitive non-classified information
The exchange and protection of classified and sensitive non-classified information, if necessary under this Title, shall be regulated in working and administrative arrangements as referred to in Article 577 between Europol and the competent authorities of the United Kingdom.
Article 577
Working and administrative arrangements
Without prejudice to any provision in this Title and while reflecting the status of the United Kingdom as not being a Member State, Europol and the competent authorities of the United Kingdom shall, subject to a decision by Europol's Management Board, include, in working arrangements or administrative arrangements, as the case may be, provisions complementing or implementing this Title, in particular allowing for:
consultations between Europol and one or more representatives of the national contact point of the United Kingdom on policy issues and matters of common interest for the purpose of realising their objectives and coordinating their respective activities, and of furthering cooperation between Europol and the competent authorities of the United Kingdom;
the participation of one or more representatives of the United Kingdom as observer or observers in specific meetings of the Heads of Europol National Units in line with the rules of proceedings of such meetings;
the association of one or more representatives of the United Kingdom to operational analysis projects, in accordance with the rules set out by the appropriate Europol governance bodies;
the specification of liaison officers' tasks, their rights and obligations and the costs involved; or
cooperation between the competent authorities of the United Kingdom and Europol in the event of privacy or security breaches.
Article 578
Notification of implementation
Article 579
Powers of Europol
Nothing in this Title shall be construed as creating an obligation on Europol to cooperate with the competent authorities of the United Kingdom beyond Europol's competence as set out in the relevant Union law.
TITLE VI
COOPERATION WITH EUROJUST
Article 580
Objective
The objective of this Title is to establish cooperation between Eurojust and the competent authorities of the United Kingdom in combating serious crimes as referred to in Article 582.
Article 581
Definitions
For the purposes of this Title, the following definitions apply:
"Eurojust" means the European Union Agency for Criminal Justice Cooperation, set up under Regulation (EU) 2018/1727 of the European Parliament and of the Council ( 80 ) (the "Eurojust Regulation");
"competent authority" means, for the Union, Eurojust, represented by the College or a National Member and, for the United Kingdom, a domestic authority with responsibilities under domestic law relating to the investigation and prosecution of criminal offences;
"College" means the College of Eurojust, as referred to in the Eurojust Regulation;
"National Member" means the National Member seconded to Eurojust by each Member State, as referred to in the Eurojust Regulation;
"Assistant" means a person who may assist a National Member and the National Member's Deputy, or the Liaison Prosecutor, as referred to in the Eurojust Regulation and in Article 585(3) respectively;
"Liaison Prosecutor" means a public prosecutor seconded by the United Kingdom to Eurojust and subject to the domestic law of the United Kingdom as regards the public prosecutor's status;
"Liaison Magistrate" means a magistrate posted by Eurojust to the United Kingdom in accordance with Article 586;
"Domestic Correspondent for Terrorism Matters" means the contact point designated by the United Kingdom in accordance with Article 584, responsible for handling correspondence related to terrorism matters.
Article 582
Forms of crime
Article 583
Scope of cooperation
The Parties shall ensure that Eurojust and the competent authorities of the United Kingdom cooperate in the fields of activity set out in Articles 2 and 54 of the Eurojust Regulation and in this Title.
Article 584
Contact points to Eurojust
Article 585
Liaison Prosecutor
Article 586
Liaison Magistrate
Article 587
Operational and strategic meetings
Article 588
Exchange of non-personal data
Eurojust and the competent authorities of the United Kingdom may exchange any non-personal data in so far as those data are relevant for the cooperation under this Title, and subject to any restrictions pursuant to Article 593.
Article 589
Exchange of personal data
Article 590
Channels of transmission
Information shall be exchanged:
either between the Liaison Prosecutor or the Liaison Prosecutor's Assistants or, if none is appointed or otherwise available, the United Kingdom's contact point to Eurojust and the National Members concerned or the College;
if Eurojust has posted a Liaison Magistrate to the United Kingdom, between the Liaison Magistrate and any competent authority of the United Kingdom; in that event, the Liaison Prosecutor shall be informed of any such information exchanges; or
directly between a competent authority in the United Kingdom and the National Members concerned or the College; in that event, the Liaison Prosecutor and, if applicable, the Liaison Magistrate shall be informed of any such information exchanges.
Article 591
Onward transfers
The competent authorities of the United Kingdom and Eurojust shall not communicate any information provided by the other to any third country or international organisation without the consent of whichever of the competent authorities of the United Kingdom or Eurojust provided the information and without appropriate safeguards regarding the protection of personal data.
Article 592
Liability for unauthorised or incorrect personal data processing
Article 593
Exchange of classified and sensitive non-classified information
The exchange and protection of classified and sensitive non-classified information, if necessary under this Title, shall be regulated by a working arrangement as referred to in Article 594 concluded between Eurojust and the competent authorities of the United Kingdom.
Article 594
Working arrangement
The modalities of cooperation between the Parties as appropriate to implement this Title shall be the subject of a working arrangement concluded between Eurojust and the competent authorities of the United Kingdom in accordance with Articles 47(3) and 56(3) of the Eurojust Regulation.
Article 595
Powers of Eurojust
Nothing in this Title shall be construed as creating an obligation on Eurojust to cooperate with the competent authorities of the United Kingdom beyond Eurojust‘s competence as set out in the relevant Union law.
TITLE VII
SURRENDER
Article 596
Objective
The objective of this Title is to ensure that the extradition system between the Member States, on the one side, and the United Kingdom, on the other side, is based on a mechanism of surrender pursuant to an arrest warrant in accordance with the terms of this Title.
Article 597
Principle of proportionality
Cooperation through the arrest warrant shall be necessary and proportionate, taking into account the rights of the requested person and the interests of the victims, and having regard to the seriousness of the act, the likely penalty that would be imposed and the possibility of a State taking measures less coercive than the surrender of the requested person particularly with a view to avoiding unnecessarily long periods of pre-trial detention.
Article 598
Definitions
For the purposes of this Title, the following definitions apply:
"arrest warrant" means a judicial decision issued by a State with a view to the arrest and surrender by another State of a requested person, for the purposes of conducting a criminal prosecution or executing a custodial sentence or detention order;
"judicial authority" means an authority that is, under domestic law, a judge, a court or a public prosecutor. A public prosecutor is considered a judicial authority only to the extent that domestic law so provides;
"executing judicial authority" means the judicial authority of the executing State which is competent to execute the arrest warrant by virtue of the domestic law of that State;
"issuing judicial authority" means the judicial authority of the issuing State which is competent to issue an arrest warrant by virtue of the domestic law of that State.
Article 599
Scope
Subject to Article 600, points (b) to (h) of Article 601(1), and Articles 602, 603 and 604, a State shall not refuse to execute an arrest warrant issued in relation to the following behaviour where such behaviour is punishable by deprivation of liberty or a detention order of a maximum period of at least 12 months:
the behaviour of any person who contributes to the commission by a group of persons acting with a common purpose of one or more offences in the field of terrorism referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism, done at Strasbourg on 27 January 1977, or in relation to illicit trafficking in narcotic drugs and psychotropic substances, or murder, grievous bodily injury, kidnapping, illegal restraint, hostage-taking or rape, even where that person does not take part in the actual execution of the offence or offences concerned; such contribution must be intentional and made with the knowledge that the participation will contribute to the achievement of the group's criminal activities; or
terrorism as defined in Annex 45.
The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, on the basis of reciprocity, the condition of double criminality referred to in paragraph 2 will not be applied, provided that the offence on which the warrant is based is:
one of the offences listed in paragraph 5, as defined by the law of the issuing State; and
punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years.
The offences referred to in paragraph 4 are:
Article 600
Grounds for mandatory non-execution of the arrest warrant
The execution of the arrest warrant shall be refused:
if the offence on which the arrest warrant is based is covered by an amnesty in the executing State, where that State had jurisdiction to prosecute the offence under its own criminal law;
if the executing judicial authority is informed that the requested person has been finally judged by a State in respect of the same acts, provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing State; or
if the person who is the subject of the arrest warrant may not, owing to the person's age, be held criminally responsible for the acts on which the arrest warrant is based under the law of the executing State.
Article 601
Other grounds for non-execution of the arrest warrant
The execution of the arrest warrant may be refused:
if, in one of the cases referred to in Article 599(2), the act on which the arrest warrant is based does not constitute an offence under the law of the executing State; however, in relation to taxes or duties, customs and exchange, the execution of the arrest warrant shall not be refused on the grounds that the law of the executing State does not impose the same kind of tax or duty or does not contain the same type of rules as regards taxes or duties, customs and exchange regulations as the law of the issuing State;
if the person who is the subject of the arrest warrant is being prosecuted in the executing State for the same act as that on which the arrest warrant is based;
if the judicial authorities of the executing State have decided either not to prosecute for the offence on which the arrest warrant is based or to halt proceedings, or if a final judgment which prevents further proceedings has been passed upon the requested person in a State in respect of the same acts;
if the criminal prosecution or punishment of the requested person is statute-barred under the law of the executing State and the acts fall within the jurisdiction of that State under its own criminal law;
if the executing judicial authority is informed that the requested person has been finally judged by a third country in respect of the same acts provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing country;
if the arrest warrant has been issued for the purposes of execution of a custodial sentence or detention order and the requested person is staying in, or is a national or a resident of the executing State and that State undertakes to execute the sentence or detention order in accordance with its domestic law; if consent of the requested person to the transfer of the sentence or detention order to the executing State is required, the executing State may refuse to execute the arrest warrant only after the requested person consents to the transfer of the sentence or detention order;
if the arrest warrant relates to offences which:
are regarded by the law of the executing State as having been committed in whole or in part in the territory of the executing State or in a place treated as such; or
have been committed outside the territory of the issuing State, and the law of the executing State does not allow prosecution for the same offences if committed outside its territory;
if there are reasons to believe on the basis of objective elements that the arrest warrant has been issued for the purpose of prosecuting or punishing a person on the grounds of the person's sex, race, religion, ethnic origin, nationality, language, political opinions or sexual orientation, or that that person's position may be prejudiced for any of those reasons;
if the arrest warrant has been issued for the purpose of executing a custodial sentence or a detention order and the requested person did not appear in person at the trial resulting in the decision, unless the arrest warrant states that the person, in accordance with further procedural requirements defined in the domestic law of the issuing State:
in due time:
either was summoned in person and thereby informed of the scheduled date and place of the trial which resulted in the decision, or by other means actually received official information of the scheduled date and place of that trial in such a manner that it was unequivocally established that the person was aware of the date and place of the scheduled trial ;
and
was informed that a decision may be handed down if that person did not appear for the trial;
or
being aware of the date and place of the scheduled trial, had given a mandate to a lawyer, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that lawyer at the trial;
or
after being served with the decision and being expressly informed about the right to a retrial or appeal in which the person has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed:
expressly stated that the person did not contest the decision;
or
did not request a retrial or appeal within the applicable time frame;
or
was not personally served with the decision but:
will be personally served with it without delay after the surrender and will be expressly informed of the right to a retrial or appeal in which the person has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed;
and
will be informed of the time frame within which the person has to request such a retrial or appeal, as mentioned in the relevant arrest warrant.
Article 602
Political offence exception
However, the United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that paragraph 1 will be applied only in relation to:
the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism;
offences of conspiracy or association to commit one or more of the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism, if those offences of conspiracy or association correspond to the description of behaviour referred to in Article 599(3) of this Agreement; and
terrorism as defined in Annex 45 to this Agreement.
Article 603
Nationality exception
Article 604
Guarantees to be given by the issuing State in particular cases
The execution of the arrest warrant by the executing judicial authority may be subject to the following guarantees:
if the offence on which the arrest warrant is based is punishable by a custodial life sentence or a lifetime detention order in the issuing State, the executing State may make the execution of the arrest warrant subject to the condition that the issuing State gives a guarantee deemed sufficient by the executing State that the issuing State will review the penalty or measure imposed, on request or at the latest after 20 years, or will encourage the application of measures of clemency for which the person is entitled to apply under the law or practice of the issuing State, aiming at the non-execution of such penalty or measure;
if a person who is the subject of an arrest warrant for the purposes of prosecution is a national or resident of the executing State, the surrender of that person may be subject to the condition that the person, after being heard, is returned to the executing State in order to serve there the custodial sentence or detention order passed against him or her in the issuing State; if the consent of the requested person to the transfer of the sentence or detention order to the executing State is required, the guarantee that the person be returned to the executing State to serve the person's sentence is subject to the condition that the requested person, after being heard, consents to be returned to the executing State;
if there are substantial grounds for believing that there is a real risk to the protection of the fundamental rights of the requested person, the executing judicial authority may require, as appropriate, additional guarantees as to the treatment of the requested person after the person's surrender before it decides whether to execute the arrest warrant.
Article 605
Recourse to the central authority
Article 606
Content and form of the arrest warrant
The arrest warrant shall contain the following information set out in accordance with the form contained in Annex 43:
the identity and nationality of the requested person;
the name, address, telephone and fax numbers and e-mail address of the issuing judicial authority;
evidence of an enforceable judgment, an arrest warrant or any other enforceable judicial decision having the same effect that fall within the scope of Article 599;
the nature and legal classification of the offence, particularly in respect of Article 599;
a description of the circumstances in which the offence was committed, including the time, place and degree of participation in the offence by the requested person;
the penalty imposed, if there is a final judgment, or the prescribed scale of penalties for the offence under the law of the issuing State; and
if possible, other consequences of the offence.
Article 607
Transmission of an arrest warrant
If the location of the requested person is known, the issuing judicial authority may transmit the arrest warrant directly to the executing judicial authority.
Article 608
Detailed procedures for transmitting an arrest warrant
Article 609
Rights of a requested person
Article 610
Keeping the person in detention
When a person is arrested on the basis of an arrest warrant, the executing judicial authority shall take a decision on whether the requested person should remain in detention, in accordance with the law of the executing State. The person may be released provisionally at any time in accordance with the domestic law of the executing State, provided that the competent authority of that State takes all the measures it deems necessary to prevent the person from absconding.
Article 611
Consent to surrender
Article 612
Hearing of the requested person
Where the arrested person does not consent to surrender as referred to in Article 611, that person shall be entitled to be heard by the executing judicial authority, in accordance with the law of the executing State.
Article 613
Surrender decision
Article 614
Decision in the event of multiple requests
Article 615
Time limits and procedures for the decision to execute the arrest warrant
Article 616
Situation pending the decision
Where the arrest warrant has been issued for the purpose of conducting a criminal prosecution, the executing judicial authority shall either:
agree that the requested person should be heard according to Article 617; or
agree to the temporary transfer of the requested person.
Article 617
Hearing the person pending the decision
Article 618
Privileges and immunities
Article 619
Competing international obligations
Article 620
Notification of the decision
The executing judicial authority shall notify the issuing judicial authority immediately of the decision on the action to be taken on the arrest warrant.
Article 621
Time limits for surrender of the person
Article 622
Postponed or conditional surrender
Article 623
Transit
Each State shall permit the transit through its territory of a requested person who is being surrendered provided that it has been given information on:
the identity and nationality of the person subject to the arrest warrant;
the existence of an arrest warrant;
the nature and legal classification of the offence; and
the description of the circumstances of the offence, including the date and place.
Article 624
Deduction of the period of detention served in the executing State
Article 625
Possible prosecution for other offences
Paragraph 2 of this Article does not apply in the following cases:
the person, having had an opportunity to leave the territory of the State to which that person has been surrendered, has not done so within 45 days of that person's final discharge or has returned to that territory after leaving it;
the offence is not punishable by a custodial sentence or detention order;
the criminal proceedings do not give rise to the application of a measure restricting personal liberty;
the person could be liable to a penalty or a measure not involving the deprivation of liberty, in particular a financial penalty or a measure in lieu of a financial penalty, even if the penalty or measure may give rise to a restriction of the person's personal liberty;
the person consented to be surrendered, where appropriate at the same time as the person renounced the speciality rule, in accordance with Article 611;
the person, after the person's surrender, has expressly renounced entitlement to the speciality rule with regard to specific offences preceding the person's surrender; renunciation must be given before the competent judicial authority of the issuing State and be recorded in accordance with that State's domestic law; the renunciation must be drawn up in such a way as to make clear that the person concerned has given it voluntarily and in full awareness of the consequences; to that end, the person shall have the right to a lawyer; and
the executing judicial authority which surrendered the person gives its consent in accordance with paragraph 4 of this Article.
Article 626
Surrender or subsequent extradition
In any case, a person who has been surrendered to the issuing State pursuant to an arrest warrant or European arrest warrant may be surrendered to a State other than the executing State pursuant to an arrest warrant or European arrest warrant issued for any offence committed prior to the person's surrender without the consent of the executing State in the following cases:
the requested person, having had an opportunity to leave the territory of the State to which that person has been surrendered, has not done so within 45 days of that person's final discharge, or has returned to that territory after leaving it;
the requested person consents to be surrendered to a State other than the executing State pursuant to an arrest warrant or European arrest warrant; consent must be given before the competent judicial authorities of the issuing State and be recorded in accordance with that State's domestic law; it must be drawn up in such a way as to make clear that the person concerned has given it voluntarily and in full awareness of the consequences; to that end, the requested person shall have the right to a lawyer; and
the requested person is not subject to the speciality rule, in accordance with point (a), (e), (f) or (g) of Article 625(3).
The executing judicial authority shall consent to the surrender to another State in accordance with the following rules:
the request for consent shall be submitted in accordance with Article 607, accompanied by the information set out in Article 606(1) and a translation as referred to in Article 606(2);
consent shall be given where the offence for which it is requested is itself subject to surrender in accordance with the provisions of this Agreement;
the decision shall be taken no later than 30 days after receipt of the request; and
consent shall be refused on the grounds referred to in Article 600 and otherwise may be refused only on the grounds referred to in Article 601, Article 602(2) and Article 603(2).
Article 627
Handing over of property
At the request of the issuing judicial authority or on its own initiative, the executing judicial authority shall, in accordance with its domestic law, seize and hand over property which:
may be required as evidence; or
has been acquired by the requested person as a result of the offence.
Article 628
Expenses
Article 629
Relation to other legal instruments
Without prejudice to their application in relations between States and third countries, this Title, from the date of entry into force of this Agreement, replaces the corresponding provisions of the following conventions applicable in the field of extradition in relations between the United Kingdom, on the one side, and Member States, on the other side:
the European Convention on Extradition, done at Paris on 13 December 1957, and its additional protocols; and
the European Convention on the Suppression of Terrorism, as far as extradition is concerned.
Article 630
Review of notifications
When carrying out the joint review of this Title as referred to in Article 691(1), the Parties shall consider the need to maintain the notifications made under Article 599(4), Article 602(2) and Article 603(2). If the notifications referred to in Article 603(2) are not renewed, they shall expire five years after the date of entry into force of this Agreement. Notifications as referred to in Article 603(2) may only be renewed or newly made during the three months prior to the fifth anniversary of the entry into force of this Agreement and, subsequently, every five years thereafter, provided that the conditions set out in Article 603(2) are met at that time.
Article 631
Ongoing arrest warrants in case of disapplication
Notwithstanding Article 526, Article 692 and Article 693, the provisions of this Title apply in respect of arrest warrants where the requested person was arrested before the disapplication of this Title for the purposes of the execution of an arrest warrant, irrespective of the decision of the executing judicial authority as to whether the requested person is to remain in detention or be provisionally released.
Article 632
Application to existing European arrest warrants
This Title shall apply in respect of European arrest warrants issued in accordance with Council Framework Decision 2002/584/JHA ( 81 ) by a State before the end of the transition period where the requested person has not been arrested for the purpose of its execution before the end of the transition period.
TITLE VIII
MUTUAL ASSISTANCE
Article 633
Objective
The objective of this Title is to supplement the provisions, and facilitate the application between Member States, on the one side, and the United Kingdom, on the other side, of:
the European Convention on Mutual Assistance in Criminal Matters, done at Strasbourg on 20 April 1959 (the "European Mutual Assistance Convention");
the Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 17 March 1978; and
the Second Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 8 November 2001.
Article 634
Definition of competent authority
For the purposes of this Title, "competent authority" means any authority which is competent to send or receive requests for mutual assistance in accordance with the provisions of the European Mutual Assistance Convention and its Protocols and as defined by States in their respective declarations addressed to the Secretary General of the Council of Europe. "Competent authority" also includes Union bodies notified in accordance with point (d) of Article 690; with regard to such Union bodies, the provisions of this Title apply accordingly.
Article 635
Form for a request for mutual assistance
Article 636
Conditions for a request for mutual assistance
The competent authority of the requesting State may only make a request for mutual assistance if it is satisfied that the following conditions are met:
the request is necessary and proportionate for the purpose of the proceedings, taking into account the rights of the suspected or accused person; and
the investigative measure or investigative measures indicated in the request could have been ordered under the same conditions in a similar domestic case.
Article 637
Recourse to a different type of investigative measure
Wherever possible, the competent authority of the requested State shall consider recourse to an investigative measure other than the measure indicated in the request for mutual assistance if:
the investigative measure indicated in the request does not exist under the law of the requested State; or
the investigative measure indicated in the request would not be available in a similar domestic case.
Without prejudice to the grounds for refusal available under the European Mutual Assistance Convention and its Protocols and under Article 639, paragraph 1 of this Article does not apply to the following investigative measures, which shall always be available under the law of the requested State:
the obtaining of information contained in databases held by police or judicial authorities that is directly accessible by the competent authority of the requested State in the framework of criminal proceedings;
the hearing of a witness, expert, victim, suspected or accused person or third party in the territory of the requested State;
any non-coercive investigative measure as defined under the law of the requested State; and
the identification of persons holding a subscription to a specified phone number or IP address.
Article 638
Obligation to inform
The competent authority of the requested State shall inform the competent authority of the requesting State by any means and without undue delay if:
it is impossible to execute the request for mutual assistance due to the fact that the request is incomplete or manifestly incorrect; or
the competent authority of the requested State, in the course of the execution of the request for mutual assistance, considers without further enquiries that it may be appropriate to carry out investigative measures not initially foreseen, or which could not be specified when the request for mutual assistance was made, in order to enable the competent authority of the requesting State to take further action in the specific case.
Article 639
Ne bis in idem
Mutual assistance may be refused, in addition to the grounds for refusal provided for under the European Mutual Assistance Convention and its Protocols, on the ground that the person in respect of whom the assistance is requested and who is subject to criminal investigations, prosecutions or other proceedings, including judicial proceedings, in the requesting State, has been finally judged by another State in respect of the same acts, provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing State.
Article 640
Time limits
The time limits referred to in this Article do not apply if the request for mutual assistance is made in relation to any of the following offences and infringements that fall within scope of the European Mutual Assistance Convention and its Protocols, as defined in the law of the requesting State:
speeding, if no injury or death was caused to another person and if the excess speed was not significant;
failure to wear a seatbelt;
failure to stop at a red light or other mandatory stop signal;
failure to wear a safety helmet; or
using a forbidden lane (such as the forbidden use of an emergency lane, a lane reserved for public transport, or a lane closed down for road works).
Article 641
Transmission of requests for mutual assistance
Article 642
Joint Investigation Teams
If the competent authorities of States set up a Joint Investigation Team, the relationship between Member States within the Joint Investigation Team shall be governed by Union law, notwithstanding the legal basis referred to in the Agreement on the setting up of the Joint Investigation Team.
TITLE IX
EXCHANGE OF CRIMINAL RECORD INFORMATION
Article 643
Objective
In the relations between the United Kingdom and the Member States, the provisions of this Title:
supplement Articles 13 and 22(2) of the European Convention on Mutual Assistance in Criminal Matters and its Additional Protocols of 17 March 1978 and 8 November 2001; and
replace Article 22(1) of the European Convention on Mutual Assistance in Criminal Matters, as supplemented by Article 4 of its Additional Protocol of 17 March 1978.
Article 644
Definitions
For the purposes of this Title, the following definitions apply:
"conviction" means any final decision of a criminal court against a natural person in respect of a criminal offence, to the extent that the decision is entered in the criminal record of the convicting State;
"criminal proceedings" means the pre-trial stage, the trial stage and the execution of a conviction;
"criminal record" means the domestic register or registers recording convictions in accordance with domestic law.
Article 645
Central authorities
Each State shall designate one or more central authorities that shall be competent for the exchange of information extracted from the criminal record pursuant to this Title and for the exchanges referred to in Article 22(2) of the European Convention on Mutual Assistance in Criminal Matters.
Article 646
Notifications
Article 647
Storage of convictions
Article 648
Requests for information
Article 649
Replies to requests
Article 650
Channel of communication
The exchange between States of information extracted from the criminal record shall take place electronically in accordance with the technical and procedural specifications laid down in Annex 44.
Article 651
Conditions for the use of personal data
Each State shall ensure that their central authorities do not disclose personal data notified under Article 646 to authorities in third countries unless the following conditions are met:
the personal data are disclosed only on a case-by-case basis;
the personal data are disclosed to authorities whose functions are directly related to the purposes for which the personal data are disclosed under point (c) of this paragraph;
the personal data are disclosed only if necessary:
for the purposes of criminal proceedings;
for any purposes other than that of criminal proceedings; or
to prevent an immediate and serious threat to public security;
the personal data may be used by the requesting third country only for the purposes for which the information was requested and within the limits specified by the State that notified the personal data under Article 646; and
the personal data are disclosed only if the central authority, having assessed all the circumstances surrounding the transfer of the personal data to the third country, concludes that appropriate safeguards exist to protect the personal data.
TITLE X
ANTI-MONEY LAUNDERING AND COUNTER TERRORIST FINANCING
Article 652
Objective
The objective of this Title is to support and strengthen action by the Union and the United Kingdom to prevent and combat money laundering and terrorist financing.
Article 653
Measures to prevent and combat money laundering and terrorist financing
Article 654
Beneficial ownership transparency for corporate and other legal entities
For the purposes of this Article, the following definitions apply:
"beneficial owner" means any individual in respect of a corporate entity who, in accordance with the Party's laws and regulations:
exercises or has the right to exercise ultimate control over the management of the entity;
ultimately owns or controls directly or indirectly more than 25 % of the voting rights or shares or other ownership interests in the entity, without prejudice to each Party's right to define a lower percentage; or
otherwise controls or has the right to control the entity;
In respect of legal entities such as foundations, Anstalt and limited liability partnerships, each Party has the right to determine similar criteria for identifying the beneficial owner, or, if they choose, to apply the definition set out in point (a) of Article 655(1), having regard to the form and structure of such entities.
In respect of other legal entities not mentioned above, each Party shall take into account the different forms and structures of such entities and the levels of money laundering and terrorist financing risks associated with such entities, with a view to deciding the appropriate levels of beneficial ownership transparency;
"basic information about a beneficial owner" means the beneficial owner's name, month and year of birth, country of residence and nationality, as well as the nature and extent of the interest held, or control exercised, over the entity by the beneficial owner;
"competent authorities" means:
public authorities, including Financial Intelligence Units, that have designated responsibilities for combating money laundering or terrorist financing;
public authorities that have the function of investigating or prosecuting money laundering, associated predicate offences or terrorist financing, or that have the function of tracing, seizing or freezing and confiscating criminal assets;
public authorities that have supervisory or monitoring responsibilities aimed at ensuring compliance with anti-money laundering or counter terrorist financing requirements.
This definition is without prejudice to each Party's right to identify additional competent authorities that can access information about beneficial owners.
Article 655
Beneficial ownership transparency of legal arrangements
For the purposes of this Article, the following definitions apply:
"beneficial owner" means the settlor, the protector (if any), trustees, the beneficiary or class of beneficiaries, any person holding an equivalent position in relation to a legal arrangement with a structure or function similar to an express trust, and any other natural person exercising ultimate effective control over a trust or a similar legal arrangement;
"competent authorities" means:
public authorities, including Financial Intelligence Units, that have designated responsibilities for combating money laundering or terrorist financing;
public authorities that have the function of investigating or prosecuting money laundering, associated predicate offences or terrorist financing or the function of tracing, seizing or freezing and confiscating criminal assets;
public authorities that have supervisory or monitoring responsibilities aimed at ensuring compliance with anti-money laundering or counter terrorist financing requirements.
This definition is without prejudice to each Party's right to identify additional competent authorities that can access information about beneficial owners.
TITLE XI
FREEZING AND CONFISCATION
Article 656
Objective and principles of cooperation
Each State shall comply, under the conditions provided for in this Title, with requests from another State:
for the confiscation of specific items of property, as well as for the confiscation of proceeds consisting in a requirement to pay a sum of money corresponding to the value of proceeds;
for investigative assistance and provisional measures with a view to either form of confiscation referred to in point (a).
Article 657
Definitions
For the purposes of this Title, the following definitions apply:
"confiscation" means a penalty or a measure ordered by a court following proceedings in relation to a criminal offence or criminal offences, resulting in the final deprivation of property;
"freezing" or "seizure" means temporarily prohibiting the transfer, destruction, conversion, disposition or movement of property or temporarily assuming custody or control of property on the basis of an order issued by a court or other competent authority;
"instrumentalities" means any property used or intended to be used, in any manner, wholly or in part, to commit a criminal offence or criminal offences;
"judicial authority" means an authority that is, under domestic law, a judge, a court or a public prosecutor; a public prosecutor is considered a judicial authority only to the extent that domestic law so provides;
"proceeds" means any economic benefit, derived from or obtained, directly or indirectly, from criminal offences, or an amount of money equivalent to that economic benefit; it may consist of any property as defined in this Article;
"property" includes property of any description, whether corporeal or incorporeal, movable or immovable, and legal documents or instruments evidencing title or interest in such property, which the requesting State considers to be:
the proceeds of a criminal offence, or its equivalent, whether the full amount of the value of such proceeds or only part of the value of such proceeds;
the instrumentalities of a criminal offence, or the value of such instrumentalities;
subject to confiscation under any other provisions relating to powers of confiscation under the law of the requesting State, following proceedings in relation to a criminal offence, including third party confiscation, extended confiscation and confiscation without final conviction.
Article 658
Obligation to assist
The States shall afford each other, upon request, the widest possible measure of assistance in the identification and tracing of instrumentalities, proceeds and other property liable to confiscation. Such assistance shall include any measure providing and securing evidence as to the existence, location or movement, nature, legal status or value of those instrumentalities, proceeds or other property.
Article 659
Requests for information on bank accounts and safe deposit boxes
In addition to the requirements of Article 680, the requesting State shall, in the request:
indicate why it considers that the requested information is likely to be of substantial value for the purposes of the criminal investigation into the offence;
state on what grounds it presumes that banks in the requested State hold the account and specify, to the widest extent possible, which banks and accounts may be involved; and
include any additional information available which may facilitate the execution of the request.
Article 660
Requests for information on banking transactions
Article 661
Requests for the monitoring of banking transactions
Article 662
Spontaneous information
Without prejudice to its own investigations or proceedings, a State may without prior request forward to another State information on instrumentalities, proceeds and other property liable to confiscation, where it considers that the disclosure of such information might assist the receiving State in initiating or carrying out investigations or proceedings or might lead to a request by that State under this Title.
Article 663
Obligation to take provisional measures
Article 664
Execution of provisional measures
Article 665
Obligation to confiscate
The State which has received a request for confiscation of property situated in its territory shall:
enforce a confiscation order made by a court of the requesting State in relation to such property; or
submit the request to its competent authorities for the purpose of obtaining an order of confiscation and, if such an order is granted, enforce it.
A State shall cooperate to the widest extent possible under its domestic law with a State requesting the execution of measures equivalent to confiscation of property, where the request has not been issued in the framework of proceedings in criminal matters, in so far as such measures are ordered by a judicial authority of the requesting State in relation to a criminal offence, provided that it has been established that the property constitutes proceeds or:
other property into which the proceeds have been transformed or converted;
property acquired from legitimate sources, if proceeds have been intermingled, in whole or in part, with such property, up to the assessed value of the intermingled proceeds; or
income or other benefit derived from the proceeds, from property into which proceeds of crime have been transformed or converted or from property with which the proceeds of crime have been intermingled, up to the assessed value of the intermingled proceeds, in the same manner and to the same extent as proceeds.
Article 666
Execution of confiscation
Article 667
Confiscated property
Where acting on the request made by another State in accordance with Article 665, and after having taken into account the right of a victim to restitution or compensation of property pursuant to paragraph 2 of this Article, the requested State shall dispose of the money obtained as a result of the execution of a confiscation order as follows:
if the amount is equal to or less than EUR 10 000 , the amount shall accrue to the requested State; or
if the amount is greater than EUR 10 000 , the requested State shall transfer 50 % of the amount recovered to the requesting State.
Article 668
Right of enforcement and maximum amount of confiscation
Article 669
Imprisonment in default
The requested State shall not impose imprisonment in default or any other measure restricting the liberty of a person as a result of a request under Article 665 without the consent of the requesting State.
Article 670
Grounds for refusal
Cooperation under this Title may be refused if:
the requested State considers that executing the request would be contrary to the principle of ne bis in idem; or
the offence to which the request relates does not constitute an offence under the domestic law of the requested State if committed within its jurisdiction; however, this ground for refusal applies to cooperation under Articles 658 to 662 only in so far as the assistance sought involves coercive action.
The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, on the basis of reciprocity, the condition of double criminality referred to in point (b) of paragraph 1 of this Article will not be applied provided that the offence giving rise to the request is:
one of the offences listed in Article 599(5), as defined by the law of the requesting State; and
punishable by the requesting State by a custodial sentence or a detention order for a maximum period of at least three years.
Cooperation under Articles 665 to 669 may also be refused if:
under the domestic law of the requested State, confiscation is not provided for in respect of the type of offence to which the request relates;
without prejudice to the obligation pursuant to Article 665(3), it would be contrary to the principles of the domestic law of the requested State concerning the limits of confiscation in respect of the relationship between an offence and:
an economic advantage that might be qualified as its proceeds; or
property that might be qualified as its instrumentalities;
under the domestic law of the requested State, confiscation may no longer be imposed or enforced because of the lapse of time;
without prejudice to Article 665(5) and (6), the request does not relate to a previous conviction, or a decision of a judicial nature or a statement in such a decision that an offence or several offences have been committed, on the basis of which the confiscation has been ordered or is sought;
confiscation is either not enforceable in the requesting State, or it is still subject to ordinary means of appeal; or
the request relates to a confiscation order resulting from a decision rendered in absentia of the person against whom the order was issued and, in the opinion of the requested State, the proceedings conducted by the requesting State leading to such decision did not satisfy the minimum rights of defence recognised as due to everyone against whom a criminal charge is made.
For the purposes of point (f) of paragraph 5 a decision is not considered to have been rendered in absentia if:
it has been confirmed or pronounced after opposition by the person concerned; or
it has been rendered on appeal, provided that the appeal was lodged by the person concerned.
The requested State shall not invoke the fact that:
the person under investigation or subject to a confiscation order by the authorities of the requesting State is a legal person as an obstacle to affording any cooperation under this Title;
the natural person against whom an order of confiscation of proceeds has been issued has died or a legal person against whom an order of confiscation of proceeds has been issued has subsequently been dissolved as an obstacle to affording assistance in accordance with point (a) of Article 665(1); or
the person under investigation or subject to a confiscation order by the authorities of the requesting State is mentioned in the request both as the author of the underlying criminal offence and of the offence of money laundering as an obstacle to affording any cooperation under this Title.
Article 671
Consultation and information
Where there are substantial grounds for believing that the execution of a freezing or confiscation order would entail a real risk for the protection of fundamental rights, the requested State shall, before it decides on the execution of the freezing or confiscation order, consult the requesting State and may require any necessary information to be provided.
Article 672
Postponement
The requested State may postpone action on a request if such action would prejudice investigations or proceedings by its authorities.
Article 673
Partial or conditional granting of a request
Before refusing or postponing cooperation under this Title, the requested State shall, where appropriate after having consulted the requesting State, consider whether the request may be granted partially or subject to such conditions as it deems necessary.
Article 674
Notification of documents
Nothing in this Article is intended to interfere with:
the possibility of sending judicial documents, by postal channels, directly to persons abroad; and
the possibility for judicial officers, officials or other competent authorities of the State of origin to effect service of judicial documents directly through the consular authorities of that State or through the judicial authorities, including judicial officers and officials, or other competent authorities of the State of destination.
Article 675
Recognition of foreign decisions
Recognition may be refused if:
third parties did not have adequate opportunity to assert their rights;
the decision is incompatible with a decision already taken in the requested State on the same matter;
it is incompatible with the ordre public of the requested State; or
the decision was taken contrary to provisions on exclusive jurisdiction provided for by the domestic law of the requested State.
Article 676
Authorities
Article 677
Direct communication
Article 678
Form of request and languages
Article 679
Legalisation
Documents transmitted in application of this Title shall be exempt from all legalisation formalities.
Article 680
Content of request
Any request for cooperation under this Title shall specify:
the authority making the request and the authority carrying out the investigations or proceedings;
the object of and the reason for the request;
the matters, including the relevant facts (such as date, place and circumstances of the offence) to which the investigations or proceedings relate, except in the case of a request for notification;
insofar as the cooperation involves coercive action:
the text of the statutory provisions or, where that is not possible, a statement of the relevant applicable law; and
an indication that the measure sought or any other measures having similar effects could be taken in the territory of the requesting State under its own domestic law;
where necessary and in so far as possible:
details of the person or persons concerned, including name, date and place of birth, nationality and location, and, in the case of a legal person, its seat; and
the property in relation to which cooperation is sought, its location, its connection with the person or persons concerned, any connection with the offence, as well as any available information about other persons, interests in the property; and
any particular procedure the requesting State wishes to be followed.
In addition to the information referred to in paragraph 1 of this Article, any request under Article 665 shall contain:
in the case of point (a) of Article 665(1):
a certified true copy of the confiscation order made by the court in the requesting State and a statement of the grounds on the basis of which the order was made, if they are not indicated in the order itself;
an attestation by the competent authority of the requesting State that the confiscation order is enforceable and not subject to ordinary means of appeal;
information as to the extent to which the enforcement of the order is requested; and
information as to the necessity of taking any provisional measures;
in the case of point (b) of Article 665(1), a statement of the facts relied upon by the requesting State sufficient to enable the requested State to seek the order under its domestic law;
where third parties have had the opportunity to claim rights, documents demonstrating that this has been the case.
Article 681
Defective requests
Article 682
Plurality of requests
Article 683
Obligation to give reasons
The requested State shall give reasons for any decision to refuse, postpone or make conditional any cooperation under this Title.
Article 684
Information
The requested State shall promptly inform the requesting State of:
the action initiated on the basis of a request under this Title;
the final result of the action carried out on the basis of a request under this Title;
a decision to refuse, postpone or make conditional, in whole or in part, any cooperation under this Title;
any circumstances which render impossible the carrying out of the action sought or are likely to delay it significantly; and
in the event of provisional measures taken pursuant to a request under Articles 658 to Article 663, such provisions of its domestic law as would automatically lead to the lifting of the provisional measure.
The requesting State shall promptly inform the requested State of:
any review, decision or any other fact by reason of which the confiscation order ceases to be wholly or partially enforceable; and
any development, factual or legal, by reason of which any action under this Title is no longer justified.
Article 685
Restriction of use
Personal data communicated under this Title may be used by the State to which they have been transferred:
for the purposes of proceedings to which this Title applies;
for other judicial and administrative proceedings directly related to proceedings referred to in point (a);
for preventing an immediate and serious threat to public security; or
for any other purpose, only with the prior consent of the communicating State, unless the State concerned has obtained the consent of the data subject.
Article 686
Confidentiality
Article 687
Costs
The ordinary costs of complying with a request shall be borne by the requested State. Where costs of a substantial or extraordinary nature are necessary to comply with a request, the requesting and requested States shall consult in order to agree the conditions on which the request is to be executed and how the costs will be borne.
Article 688
Damages
Article 689
Legal remedies
TITLE XII
OTHER PROVISIONS
Article 690
Notifications
To the extent that such a notification or indication has not been made in relation to a State, at the point in time referred to in the first subparagraph, notifications may be made in relation to that State as soon as possible and at the latest two months after the entry into force of this Agreement.
During that interim period, any State in relation to which no notification provided for in Article 602(2), Article 603(2), or Article 611(4) has been made, and which has not been the subject of an indication that no such notification is to be made, may avail itself of the possibilities provided for in that Article as if such a notification had been made in respect of that State. In the case of Article 603(2), a State may only avail itself of the possibilities provided for in that Article to the extent that to do so is compatible with the criteria for making a notification.
By the date of entry into force of this Agreement, the United Kingdom shall notify the Union of the identity of the following authorities:
the authority responsible for receiving and processing PNR data under Title III;
the authority considered as the competent law enforcement authority for the purposes of Title V and a short description of its competences;
the national contact point designated under Article 568(1);
the authority considered as the competent authority for the purposes of Title VI and a short description of its competences;
the contact point designated under Article 584(1);
the United Kingdom Domestic Correspondent for Terrorism Matters designated under Article 584(2);
the authority competent by virtue of domestic law of the United Kingdom to execute an arrest warrant, as referred to in point (c) of Article 598, and the authority competent by virtue of the domestic law of the United Kingdom to issue an arrest warrant, as referred to in point (d) of Article 598;
the authority designated by the United Kingdom under Article 623(3);
the central authority designated by the United Kingdom under Article 645;
the central authority designated by the United Kingdom under Article 676(1).
The Union shall publish information about the authorities referred to in the first subparagraph in the Official Journal of the European Union.
By the date of entry into force of this Agreement, the Union shall, on its behalf or on behalf of its Member States as the case may be, notify the United Kingdom, of the identity of the following authorities:
the Passenger Information Units established or designated by each Member State for the purposes of receiving and processing PNR data under Title III;
the authority competent by virtue of the domestic law of each Member State to execute an arrest warrant, as referred to in point (c) of Article 598, and the authority competent by virtue of the domestic law of each Member State to issue an arrest warrant, as referred to in point (d) of Article 598;
the authority designated for each Member State under Article 623(3);
the Union body referred to in Article 634;
the central authority designated by each Member State under Article 645;
the central authority designated by each Member State under Article 676(1);
any Union body designated under the first sentence of Article 676(2) and whether it is also designated as a central authority under the last sentence of that paragraph.
Article 691
Review and evaluation
Article 692
Termination
Article 693
Suspension
For the purposes of paragraph 2, "relevant adequacy decision" means:
in relation to the United Kingdom, a decision adopted by the European Commission, in accordance with Article 36 of Directive (EU) 2016/680 of the European Parliament and of the Council ( 82 ) or analogous successor legislation, attesting to the adequate level of protection;
in relation to the Union, a decision adopted by the United Kingdom attesting to the adequate level of protection for the purposes of transfers falling within the scope of Part 3 of the Data Protection Act 2018 ( 83 ) or analogous successor legislation.
In relation to the suspension of Title III or Title X, references to a "relevant adequacy decision" also include:
in relation to the United Kingdom, a decision adopted by the European Commission, in accordance with Article 45 of Regulation (EU) 2016/679 of the European Parliament and of the Council ( 84 ) (General Data Protection Regulation) or analogous successor legislation attesting to the adequate level of protection;
in relation to the Union, a decision adopted by the United Kingdom attesting to the adequate level of protection for the purposes of transfers falling within the scope of Part 2 of the Data Protection Act 2018 or analogous successor legislation.
Upon the notification of a suspension pursuant to paragraph 1 or 2, the Partnership Council shall immediately be seized of the matter. The Partnership Council shall explore possible ways of allowing the Party that notified the suspension to postpone its entry into effect, to reduce its scope or to withdraw it. To that end, upon a recommendation of the Specialised Committee on Law Enforcement and Judicial Cooperation, the Partnership Council may:
agree on joint interpretations of provisions of this Part;
recommend any appropriate action to the Parties;
adopt appropriate adaptations to this Part which are necessary to address the reasons underlying the suspension, with a maximum validity of 12 months; and
extend the period referred to in paragraph 5 by up to three months.
Article 694
Expenses
The Parties and the Member States, including institutions, bodies, offices and agencies of the Parties or the Member States, shall bear their own expenses which arise in the course of implementation of this Part, unless otherwise provided for in this Agreement.
TITLE XIII
DISPUTE SETTLEMENT
Article 695
Objective
The objective of this Title is to establish a swift, effective and efficient mechanism for avoiding and settling disputes between the Parties concerning this Part, including disputes concerning this Part when applied to situations governed by other provisions of this Agreement, with a view to reaching a mutually agreed solution, where possible.
Article 696
Scope
Article 697
Exclusivity
The Parties undertake not to submit a dispute between them regarding this Part to a mechanism of settlement other than that provided for in this Title.
Article 698
Consultations
Article 699
Mutually agreed solution
Article 700
Suspension
Article 701
Time Periods
PART FOUR
THEMATIC COOPERATION
TITLE I
HEALTH SECURITY
Article 702
Cooperation on health security
Moreover, the Union may invite the United Kingdom to participate in a committee established within the Union and composed of representatives of Member States for the purposes of supporting the exchange of information and of coordination in relation to the serious cross-border threat to health.
Both arrangements shall be on a temporary basis, and in any event for no longer than the duration that either of the Parties, having consulted the other Party, considers necessary for the relevant serious cross-border threat to health.
For the purposes of the information exchange referred to in paragraph 2 and any requests made pursuant to paragraph 3, each Party shall designate a focal point and notify the other Party thereof. The focal points shall also:
endeavour to facilitate understanding between the Parties as to whether or not a threat is a serious cross-border threat to health;
seek mutually agreed solutions to any technical issues arising from implementation of this Title.
The United Kingdom shall observe all applicable conditions for the use of the EWRS and the rules of procedure of the committee referred to in paragraph 3, for the period of access granted in respect of a particular serious cross-border threat to health. If, following clarificatory exchanges between the Parties:
the Union considers that the United Kingdom has not observed the above-mentioned conditions or rules of procedure, the Union may terminate the access of the United Kingdom to the EWRS or its participation in that committee, as the case may be, in respect of that threat;
the United Kingdom considers that it cannot accept the conditions or rules of procedure, the United Kingdom may withdraw its participation in the EWRS or its participation in that committee, as the case may be, in respect of that threat.
TITLE II
CYBER SECURITY
Article 703
Dialogue on cyber issues
The Parties shall endeavour to establish a regular dialogue in order to exchange information about relevant policy developments, including in relation to international security, security of emerging technologies, internet governance, cybersecurity, cyber defence and cybercrime.
Article 704
Cooperation on cyber issues
Article 705
Cooperation with the Computer Emergency Response Team – European Union
Subject to prior approval by the Steering Board of the Computer Emergency Response Team – European Union (CERT-EU), CERT-EU and the national UK computer emergency response team shall cooperate on a voluntary, timely and reciprocal basis to exchange information on tools and methods, such as techniques, tactics, procedures and best practices, and on general threats and vulnerabilities.
Article 706
Participation in specific activities of the Cooperation Group established pursuant to Directive (EU) 2016/1148
With a view to promoting cooperation on cyber security while ensuring the autonomy of the Union decision-making process, the relevant national authorities of the United Kingdom may participate at the invitation, which the United Kingdom may also request, of the Chair of the Cooperation Group in consultation with the Commission, in the following activities of the Cooperation Group:
exchanging best practices in building capacity to ensure the security of network and information systems;
exchanging information with regard to exercises relating to the security of network and information systems;
exchanging information, experiences and best practices on risks and incidents;
exchanging information and best practices on awareness-raising, education programmes and training; and
exchanging information and best practices on research and development relating to the security of network and information systems.
Article 707
Cooperation with the European Union Agency for Cybersecurity (ENISA)
With a view to promoting cooperation on cyber security while ensuring the autonomy of the Union decision-making process, the United Kingdom may participate at the invitation, which the United Kingdom may also request, of the Management Board of the European Union Agency for Cybersecurity (ENISA), in the following activities carried out by ENISA:
capacity building;
knowledge and information; and
awareness raising and education.
PART FIVE
PARTICIPATION IN UNION PROGRAMMES, SOUND FINANCIAL MANAGEMENT AND FINANCIAL PROVISIONS
Article 708
Scope
The applicable conditions for participation in the programmes referred to in the first subparagraph shall be specified in the applicable basic act and the financing agreement concluded thereunder. The Parties shall agree provisions with similar effect to Chapter 2 concerning the participation of the United Kingdom in those programmes.
Article 709
Definitions
For the purposes of this Part, the following definitions apply:
"basic act" means:
an act of one or more Union institutions establishing a programme or activity, which provides a legal basis for an action and for the implementation of the corresponding expenditure entered in the Union budget or of the budgetary guarantee backed by the Union budget, including any amendment and any relevant acts of a Union institution which supplement or implement that act, except those adopting work programmes, or
an act of one or more Union institutions establishing an activity financed from the Union budget other than programmes;
"funding agreement" means agreements relating to Union programmes and activities under Protocol I on Programmes and activities in which the United Kingdom participates which implement Union funds, such as grant agreements, contribution agreements, financial framework partnership agreements, financing agreements and guarantee agreements;
"other rules pertaining to the implementation of the Union programme and activity" means rules laid down in the Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council ( 85 ) ("Financial Regulation") that apply to the general budget of the Union, and in the work programme or in the calls or other Union award procedures;
"Union" means the Union or the European Atomic Energy Community, or both, as the context may require;
"Union award procedure" means a procedure for award of Union funding launched by the Union or by persons or entities entrusted with the implementation of Union funds;
"United Kingdom entity" means any type of entity, whether a natural person, legal person or another type of entity, which may participate in activities of a Union programme or activity in accordance with the basic act and who resides or which is established in the United Kingdom.
CHAPTER 1
PARTICIPATION OF THE UNITED KINGDOM IN UNION PROGRAMMES AND ACTIVITIES
SECTION 1
GENERAL CONDITIONS FOR PARTICIPATION IN UNION PROGRAMMES AND ACTIVITIES
Article 710
Establishment of the participation
Protocol I shall:
identify the Union programmes, activities, or in exceptional cases, the part of Union programmes or activities, in which the United Kingdom shall participate;
lay down the duration of participation, which shall refer to the period of time during which the United Kingdom and United Kingdom entities may apply for Union funding or may be entrusted with implementation of Union funds;
lay down specific conditions for the participation of the United Kingdom and United Kingdom entities, including specific modalities for the implementation of the financial conditions as identified under Article 714, specific modalities of the correction mechanism as identified under Article 716, and conditions for participation in structures created for the purposes of implementing those Union programmes or activities. These conditions shall comply with this Agreement and the basic acts and acts of one or more Union institutions establishing such structures;
where applicable, lay down the amount of United Kingdom's contribution to a Union programme implemented through a financial instrument or a budgetary guarantee and, where appropriate, specific modalities referred to in Article 717.
Article 711
Compliance with programme rules
The terms and conditions referred to in paragraph 1 shall include:
the eligibility of the United Kingdom entities and any other eligibility conditions related to the United Kingdom, in particular to the origin, place of activity or nationality;
the terms and conditions applicable to the submission, assessment and selection of applications and to the implementation of the actions by eligible United Kingdom entities.
Article 712
Conditions for participation
The United Kingdom's participation in a Union programme or activity, or parts thereof as referred to in Article 708 shall be conditional upon the United Kingdom:
making every effort, within the framework of its domestic laws, to facilitate the entry and residence of persons involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers;
ensuring, as far as it is under the control of the United Kingdom authorities, that the conditions for the persons referred to in point (a) to access services in the United Kingdom that are directly related to the implementation of the programmes or activities are the same as for United Kingdom nationals, including as regards any fees;
as regards participation involving exchange of or access to classified or sensitive non-classified information, having in place the appropriate agreements in accordance with Article 777.
In relation to the United Kingdom's participation in a Union programme or activity, or parts thereof as referred to in Article 708 the Union and its Member States shall:
make every effort, within the framework of Union or the Member States legislation, to facilitate the entry and residence of United Kingdom nationals involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers;
ensure, as far as it is under the control of the Union and Member States' authorities, that the conditions for the United Kingdom nationals referred to in point (a) to access services in the Union that are directly related to the implementation of the programmes or activities are the same as for Union citizens, including as regards any fees.
Article 713
Participation of the United Kingdom in the governance of programmes or activities
SECTION 2
RULES FOR FINANCING THE PARTICIPATION IN UNION PROGRAMMES AND ACTIVITIES
Article 714
Financial conditions
The financial contribution shall take the form of the sum of:
a participation fee; and
an operational contribution.
The first adjustment shall be made in year N+1 when the initial contribution shall be adjusted upwards or downwards by the difference between the initial contribution and an adjusted contribution calculated by applying the contribution key of year N to the sum of:
the amount of budgetary commitments made on commitment appropriations authorised in year N under the European Union adopted budget and on commitment appropriations corresponding to decommitments made available again; and
any external assigned revenue appropriations that do not result from financial contributions to Union programmes and activities from other donors as defined in Protocol I and that were available at the end of year N.
Each subsequent year, until all the budgetary commitments financed under commitment appropriations originating from year N have been paid or decommitted and at the latest three years after the end of the programme or after the end of the multiannual financial framework corresponding to year N, whichever is earlier, the Union shall calculate an adjustment of the contribution of year N by reducing the United Kingdom contribution by the amount obtained by applying the contribution key of year N to the decommitments made each year on commitments of year N financed under the Union budget or from decommitments made available again.
If external assigned revenue appropriations that do not result from financial contributions to Union programmes and activities from other donors as defined in Protocol I are cancelled, the contribution of the United Kingdom shall be reduced by the amount obtained by applying the contribution key of year N to the amount cancelled.
In year N+2 or in subsequent years, after having made the adjustments referred to in the second, third and fourth subparagraphs, the contribution of the United Kingdom for year N shall also be reduced by an amount obtained by multiplying the contribution of the United Kingdom for year N and the ratio of:
the legal commitments of year N, funded under any commitment appropriations available in year N, and resulting from competitive award procedures,
from which the United Kingdom and the United Kingdom entities have been excluded; or
for which the Specialised Committee on Participation in Union Programmes has decided, in accordance with the procedure established in Article 715 that there has been a quasi-exclusion of United Kingdom or United Kingdom entities; or
for which the deadline for submission of applications has expired during the suspension referred to in Article 718 or after termination referred to in Article 720 has taken effect; or
for which the participation of the United Kingdom and United Kingdom entities has been limited in accordance with Article 722(3); and
the total amount of legal commitments funded under any commitment appropriations of year N.
This amount of legal commitments shall be calculated by taking all budgetary commitments made in year N and deducting the decommitments that have been made on these commitments in year N+1.
Article 715
Quasi exclusion from competitive grant award procedure
Within three months of the deadline for submission of applications in the award procedure concerned, the Specialised Committee on Participation in Union Programmes shall examine the notification referred to in the paragraph 1 provided that the participation rate of United Kingdom entities in the award procedure concerned is at least 25 % lower compared to:
the average participation rate of United Kingdom entities in similar competitive award procedures not containing such a condition and launched within the three years preceding the notification; or,
in the absence of similar competitive award procedures, the average participation rate of United Kingdom entities in all competitive award procedures launched under the programme, or the preceding programme, as relevant, within the 3 years preceding the notification.
Article 716
Programmes to which an automatic correction mechanism applies
Article 717
Financing in relation to programmes implemented through financial instruments or budgetary guarantees
SECTION 3
SUSPENSION AND TERMINATION OF THE PARTICIPATION IN UNION PROGRAMMES
Article 718
Suspension of the participation of the United Kingdom in a Union programme by the Union
The Union may unilaterally suspend the application of Protocol I, in relation to one or more Union programmes, activities, or exceptionally parts thereof in accordance with this Article, if the United Kingdom does not pay its financial contribution in accordance with Section 2 of this Chapter or if the United Kingdom introduces significant changes to one of the following conditions that existed when the United Kingdom participation in a programme, an activity or exceptionally part thereof was agreed and included in Protocol I, and if such changes have a significant impact on their implementation:
the conditions for entry and residence in the United Kingdom of the persons that are involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers are changed. This shall apply, in particular, if the United Kingdom introduces a change in its domestic laws for the conditions for entry and residence in the United Kingdom for these persons, which discriminates between Member States;
there is a change in financial charges, including fees, that apply to persons referred in point (a) in order to perform the activities that they have to perform in order to implement the programme;
the conditions referred to in Article 712(3) are changed.
Prior to notification and suspension, and during the suspension period, the Specialised Committee on Participation in Union Programmes may discuss appropriate measures for avoiding or lifting the suspension. In case the Specialised Committee on Participation in Union Programmes finds an agreement for avoiding the suspension within the period referred to in the first subparagraph, the suspension shall not take effect.
In any case, the Specialised Committee on Participation in Union Programmes shall meet during the period of 45 days to discuss the matter.
Within 30 days from that notification the Union shall assess the matter and may, for that purpose, request the United Kingdom to present additional evidence. The time needed to provide such additional evidence shall not be taken into account in the overall period for assessment.
Where the Union has found that compliance with the conditions for participation is restored, it shall notify without undue delay the Specialised Committee on Participation in Union Programmes that the suspension is lifted. The lifting shall take effect on the day following the date of notification.
Where the Union has found that compliance with the conditions for participation is not restored, the suspension shall remain in force.
In case of the United Kingdom participation in a programme, activity, or part thereof being suspended, the financial contribution of the United Kingdom that is due during the period of suspension shall be established as follows:
the Union shall recalculate the operational contribution using the procedure described in point (a)(iii) of the fifth subparagraph of Article 714(8);
the participation fee shall be adjusted in line with the adjustment of the operational contribution.
Article 719
Termination of the participation of the United Kingdom in a Union programme by the Union
If, by one year after the reference date referred to in Article 718(2) the Union has not lifted the suspension under Article 718, the Union shall either:
reassess the conditions under which it may offer to allow the United Kingdom to continue participating in the Union programmes, activities or parts thereof concerned and shall propose those conditions to the Specialised Committee on Participation in Union Programmes within 45 days from expiry of the one year suspension period with a view to modifying Protocol I. In the absence of an agreement on those measures by the Specialised Committee within a further period of 45 days, termination shall take effect as referred to in point (b) of this paragraph; or
terminate unilaterally the application of Protocol I, in relation to the Union programmes, activities or parts thereof concerned, in accordance with this Article, taking into account the impact of the change referred to in Article 718 on the implementation of the programme or activity or exceptionally parts thereof, or the amount of the unpaid contribution.
Where the application of Protocol I, or a part thereof, is terminated in respect of the programmes or activities or exceptionally parts thereof concerned:
the operational contribution covering support expenditure related to legal commitments already entered into shall continue to be due until the completion of those legal commitments or the end of the multiannual financial framework under which the legal commitment has been financed;
no contribution except the one referred to in point (a) shall be made in the following years.
Article 720
Termination of the participation in a programme or activity in the case of substantial modification to Union programmes
The United Kingdom may unilaterally terminate its participation in a Union programme or activity or part thereof referred to in Protocol I where:
the basic act of that Union programme or activity is amended to an extent that the conditions for participation of the United Kingdom or of United Kingdom entities in that Union programme or activity have been substantially modified, in particular, as a result of a change of the objectives of the programme or activity and of the corresponding actions; or
the total amount of commitment appropriations as referred to in Article 714 is increased by more than 15 % compared with the initial financial envelope of that programme or activity or part thereof in which the United Kingdom participates and either the corresponding ceiling of the multiannual financial framework has been increased or the amount of external revenue referred to in Article 714(5) for the whole period of participation has been increased; or
the United Kingdom or United Kingdom entities are excluded from participation in part of a programme or activity on duly justified grounds, and that exclusion concerns commitment appropriations exceeding 10 % of the commitment appropriations in the Union budget definitively adopted for a year N for that programme or activity.
In case of termination under this Article in respect of the programmes or activities concerned:
the operational contribution covering support expenditure related to legal commitments already entered into shall continue to be due until the completion of those legal commitments or the end of the multiannual financial framework under which the legal commitment has been financed;
the Union shall recalculate the operational contribution of the year where termination occurs using the procedure described in point (a)(iii) of the fifth subparagraph of Article 714(8). No contribution except the one referred to in point (a) of this Article shall be made in the following years;
the participation fee shall be adjusted in line with the adjustment of the operational contribution.
SECTION 4
REVIEW OF PERFORMANCE AND FINANCIAL INCREASES
Article 721
Performance review
The measures referred to in the first subparagraph shall be applied for a period of twelve months after the adoption of the report. Following the application of the measures, performance data over the period in question shall be used to calculate the difference between the initial amounts due under the legal commitments actually entered into with the United Kingdom or United Kingdom entities during that calendar year and the corresponding operational contribution paid by the United Kingdom for the same year.
If the difference referred to in the second subparagraph is negative and exceeds 16 % of the corresponding operational contribution, the United Kingdom may:
notify its intention to terminate its participation in the Union programme or part of a programme concerned by giving notice 45 days before the intended day of termination, and may terminate its participation in accordance with Article 720(3) to (6); or
request the Specialised Committee on Participation in Union Programmes to adopt further measures to address underperformance, including by making adaptations to the participation of the United Kingdom in the Union programme concerned and adjusting future financial contributions of the United Kingdom in respect of that programme.
Article 722
Financial increases review
CHAPTER 2
SOUND FINANCIAL MANAGEMENT
Article 723
Scope
This Chapter shall apply in relation to the Union programmes, activities and services under Union programmes referred to in Protocol I and Protocol II on access of the United Kingdom to services established under certain Union programmes and activities in which the United Kingdom does not participate (Protocol II).
SECTION 1
PROTECTION OF FINANCIAL INTERESTS AND RECOVERY
Article 724
Conduct of activity for the purposes of sound financial management
For the purposes of the application of this Chapter, the authorities of the United Kingdom and of the Union referred to in this Chapter shall cooperate closely in accordance with their respective laws and regulations.
When exercising their duties in the territory of the United Kingdom, the agents and investigative bodies of the Union shall act in a manner consistent with United Kingdom law.
Article 725
Reviews and audits
Article 726
Fight against irregularities, fraud and other criminal offences affecting the financial interests of the Union
Article 727
Amendments to Articles 708, 723, 725 and 726
The Specialised Committee on Participation in Union Programmes may amend Articles 725 and 726, in particular to take account of changes of acts of one or more Union institutions.
The Specialised Committee on Participation in Union Programmes may amend Article 708 and Article 723 to extend the application of this Chapter to other Union programmes, activities and services.
Article 728
Recovery and enforcement
SECTION 2
OTHER RULES FOR THE IMPLEMENTATION OF UNION PROGRAMMES
Article 729
Communication and exchange of information
The Union institutions and bodies involved in the implementation of Union programmes or activities, or in control of such programmes or activities, shall be entitled to communicate directly, including through electronic exchange systems, with any natural person residing in the United Kingdom or legal entity established in the United Kingdom receiving Union funding, as well as with any third party involved in the implementation of Union funding that resides or is established in the United Kingdom. Such persons, entities and third parties may submit directly to the Union institutions and bodies all relevant information and documentation which they are required to submit on the basis of the Union legislation applicable to the Union programme or activity or on the basis of the contracts or funding agreements concluded to implement that programme or activity.
Article 730
Statistical cooperation
EUROSTAT and the United Kingdom Statistics Authority may establish an arrangement that enables cooperation on relevant statistical matters and includes that EUROSTAT, with the agreement of the United Kingdom Statistics Authority, provides statistical data on the United Kingdom for the purposes of this Part, including, in particular, data on the GDP of the United Kingdom.
CHAPTER 3
ACCESS OF THE UNITED KINGDOM TO SERVICES UNDER UNION PROGRAMMES
Article 731
Rules on service access
Protocol II shall, where appropriate:
identify the services under Union programmes and activities, to which the United Kingdom and United Kingdom entities shall have access;
lay down specific conditions for the access by the United Kingdom and United Kingdom entities. Those conditions shall comply with the conditions laid down in this Agreement and in the basic acts;
where applicable, specify the United Kingdom's financial or in-kind contribution with respect to a service provided under such Union programmes and activities.
CHAPTER 4
REVIEWS
Article 732
Review clause
Four years after Protocols I and II become applicable, the Specialised Committee on Participation in Union Programmes shall review the implementation thereof on the basis of the data concerning the participation of United Kingdom entities in indirect and direct actions under the programme, parts of the programme, activities and services covered under Protocols I and II.
Following a request by either Party, the Specialised Committee on Participation in Union Programmes shall discuss changes or proposed changes affecting the terms of the United Kingdom participation in any of the programmes or parts of programmes, activities and services listed in Protocols I and II, and, if necessary, may propose appropriate measures within the scope of this Agreement.
CHAPTER 5
PARTICIPATION FEE IN THE YEARS 2021 TO 2026
Article 733
Participation fee in the years 2021 to 2026
The participation fee referred to in Article 714(4) shall have the following value in the years 2021 to 2026:
PART SIX
DISPUTE SETTLEMENT AND HORIZONTAL PROVISIONS
TITLE I
DISPUTE SETTLEMENT
CHAPTER 1
GENERAL PROVISIONS
Article 734
Objective
The objective of this Title is to establish an effective and efficient mechanism for avoiding and settling disputes between the Parties concerning the interpretation and application of this Agreement and supplementing agreements with a view to reaching, where possible, a mutually agreed solution.
Article 735
Scope
The covered provisions shall include all provisions of this Agreement and of any supplementing agreement with the exception of:
Article 32(1) to (6) and Article 36;
Annex 12;
Title VII of Heading one of Part Two;
Title X of Heading One of Part Two;
Article 355(1), (2) and (4), Article 356(1) and (3), Chapter 2 of Title XI of Heading One of Part Two, Articles 371 and 372, Chapter 5 of Title XI of Heading One of Part Two, and Article 411(4) to (9);
Part Three, including when applying in relation to situations governed by other provisions of this Agreement;
Part Four;
Title II of Part Six;
Article 782; and
the Agreement on security procedures for exchanging and protecting classified information.
Article 736
Exclusivity
The Parties undertake not to submit a dispute between them regarding the interpretation or application of provisions of this Agreement or of any supplementing agreement to a mechanism of settlement other than those provided for in this Agreement.
Article 737
Choice of forum in case of a substantially equivalent obligation under another international agreement
For the purposes of this Article:
dispute settlement procedures under this Title are deemed to be initiated by a Party's request for the establishment of an arbitration tribunal under Article 739;
dispute settlement procedures under the WTO Agreement are deemed to be initiated by a Party's request for the establishment of a panel under Article 6 of the Understanding on Rules and Procedure Governing the Settlement of Disputes of the WTO; and
dispute settlement procedures under any other agreement are deemed to be initiated if they are initiated in accordance with the relevant provisions of that agreement.
CHAPTER 2
PROCEDURE
Article 738
Consultations
Article 739
Arbitration procedure
The complaining Party may request the establishment of an arbitration tribunal if:
the respondent Party does not respond to the request for consultations within 10 days of the date of its delivery;
consultations are not held within the time periods referred to in Article 738(3), (4) or (5);
the Parties agree not to have consultations; or
consultations have been concluded without a mutually agreed solution having been reached.
Article 740
Establishment of an arbitration tribunal
Article 741
Requirements for arbitrators
All arbitrators shall:
have demonstrated expertise in law and international trade, including on specific matters covered by Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two or Heading Six of Part Two, or in law and any other matter covered by this Agreement or by any supplementing agreement and, in the case of a chairperson, also have experience in dispute settlement procedures;
not be affiliated with or take instructions from either Party;
serve in their individual capacities and not take instructions from any organisation or government with regard to matters related to the dispute; and
comply with Annex 49.
Article 742
Functions of the arbitration tribunal
The arbitration tribunal:
shall make an objective assessment of the matter before it, including an objective assessment of the facts of the case and the applicability of, and conformity of the measures at issue with, the covered provisions;
shall set out, in its decisions and rulings, the findings of facts and law and the rationale behind any findings that it makes; and
should consult regularly with the Parties and provide adequate opportunities for the development of a mutually agreed solution.
Article 743
Terms of reference
"to examine, in the light of the relevant covered provisions of this Agreement or of a supplementing agreement, the matter referred to in the request for the establishment of the arbitration tribunal, to decide on the conformity of the measure at issue with the provisions referred to in Article 735 and to issue a ruling in accordance with Article 745".
Article 744
Urgent proceedings
Article 745
Ruling of the arbitration tribunal
CHAPTER 3
COMPLIANCE
Article 746
Compliance measures
Article 747
Reasonable Period of Time
Article 748
Compliance Review
Article 749
Temporary Remedies
The respondent Party shall, at the request of and after consultations with the complaining Party, present an offer for temporary compensation if:
the respondent Party delivers a notification to the complaining Party that it is not possible to comply with the ruling referred to in Article 745(4); or
the respondent Party fails to deliver a notification of any measure taken to comply within the deadline referred to in Article 746 or before the date of expiry of the reasonable period of time; or
the arbitration tribunal finds that no measure taken to comply exists or that the measure taken to comply is inconsistent with the covered provisions.
In any of the conditions referred to in points (a), (b) and (c) of paragraph 1, the complaining Party may deliver a written notification to the respondent Party that it intends to suspend the application of obligations under the covered provisions if:
the complaining Party decides not to make a request under paragraph 1; or
the Parties do not agree on the temporary compensation within 20 days after the expiry of the reasonable period of time or the delivery of the arbitration tribunal decision under Article 748 if a request under paragraph 1 of this Article is made.
The notification shall specify the level of intended suspension of obligations.
Suspension of obligations shall be subject to the following conditions:
obligations under Heading Four of Part Two, the Protocol on Social Security Coordination or its annexes or Part Five may not be suspended under this Article;
by way of derogation from point (a), obligations under Part Five may be suspended only where the ruling referred to in Article 745(4) concerns the interpretation and implementation of Part Five;
obligations outside Part Five may not be suspended where the ruling referred to in Article 745(4) concerns the interpretation and implementation of Part Five; and
obligations under Title II of Heading One of Part Two in respect of financial services may not be suspended under this Article, unless the ruling referred to in Article 745(4) concerns the interpretation and application of obligations under Title II of Heading One of Part two in respect of financial services.
If the arbitration tribunal has found the violation in Heading Two of Part Two:
the complaining party should first seek to suspend obligations in the same Title as that in which the arbitration tribunal has found the violation;
if the complaining party considers that it is not practicable or effective to suspend obligations with respect to the same Title as that in which the tribunal has found the violation, it may seek to suspend obligations in the other Title under the same Heading.
The suspension of obligations or the compensation referred to in this Article shall be temporary and shall not be applied after:
the Parties have reached a mutually agreed solution pursuant to Article 756;
the Parties have agreed that the measure taken to comply brings the respondent Party into compliance with the covered provisions; or
any measure taken to comply which the arbitration tribunal has found to be inconsistent with the covered provisions has been withdrawn or amended so as to bring the respondent Party into compliance with those covered provisions.
Article 750
Review of any measure taken to comply after the adoption of temporary remedies
CHAPTER 4
COMMON PROCEDURAL PROVISIONS
Article 751
Receipt of information
Article 752
Lists of arbitrators
The Partnership Council shall, no later than 180 days after the date of entry into force of this Agreement, establish a list of individuals with expertise in specific sectors covered by this Agreement or its supplementing agreements who are willing and able to serve as members of an arbitration tribunal. The list shall comprise at least 15 persons and shall be composed of three sub-lists:
one sub-list of individuals established on the basis of proposals by the Union;
one sub-list of individuals established on the basis of proposals by the United Kingdom; and
one sub-list of individuals who are not nationals of either Party who shall serve as chairperson to the arbitration tribunal.
Each sub-list shall include at least five individuals. The Partnership Council shall ensure that the list is always maintained at this minimum number of individuals.
The Partnership Council may establish additional lists of individuals with expertise in specific sectors covered by this Agreement or by any supplementing agreement. Subject to the agreement of the Parties, such additional lists may be used to compose the arbitration tribunal in accordance with the procedure set out in Article 740(3) and (5). Additional lists shall be composed of two sub-lists:
one sub-list of individuals established on the basis of proposals by the Union; and
one sub-list of individuals established on the basis of proposals by the United Kingdom.
Article 753
Replacement of arbitrators
If during dispute settlement procedures under this Title, an arbitrator is unable to participate, withdraws, or needs to be replaced because that arbitrator does not comply with the requirements of the Code of Conduct, the procedure set out in Article 740 shall apply. The time period for the delivery of the ruling or decision shall be extended for the time necessary for the appointment of the new arbitrator.
Article 754
Arbitration tribunal decisions and rulings
Article 755
Suspension and termination of the arbitration proceedings
At the request of both Parties, the arbitration tribunal shall suspend its work at any time for a period agreed by the Parties and not exceeding 12 consecutive months. The arbitration tribunal shall resume its work before the end of the suspension period at the written request of both Parties, or at the end of the suspension period at the written request of either Party. The requesting Party shall deliver a notification to the other Party accordingly. If a Party does not request the resumption of the arbitration tribunal's work at the expiry of the suspension period, the authority of the arbitration tribunal shall lapse and the dispute settlement procedure shall be terminated. In the event of a suspension of the work of the arbitration tribunal, the relevant time periods shall be extended by the same time period for which the work of the arbitration tribunal was suspended.
Article 756
Mutually agreed solution
Article 757
Time Periods
Article 758
Costs
Article 759
Annexes
CHAPTER 5
SPECIFIC ARRANGEMENTS FOR UNILATERAL MEASURES
Article 760
Special procedures for remedial measures and rebalancing
Article 761
Suspension of obligations for the purposes of Article 374(12), Article 501(5) and Article 506(7)
The level of nullified or impaired benefits requested by the complaining Party or determined by the arbitration tribunal:
shall not include punitive damages, interest or hypothetical losses of profits or business opportunities;
shall be reduced by any prior refunds of duties, indemnification of damages or other forms of compensation already received by the concerned operators or the concerned Party; and
shall not include the contribution to the nullification or impairment by wilful or negligent action or omission of the concerned Party or any person or entity in relation to whom remedies are sought pursuant to the intended suspension of obligations.
Article 762
Conditions for rebalancing, remedial, compensatory and safeguard measures
Where a Party takes a measure under Article 374, Article 411, Article 469, Article 501, Article 506 or Article 773, that measure shall only be applied in respect of covered provisions within the meaning of Article 735 and shall comply, mutatis mutandis, with the conditions set out in Article 749(3).
TITLE II
BASIS FOR COOPERATION
Article 763
Democracy, rule of law and human rights
Article 764
Fight against climate change
Article 765
Countering proliferation of weapons of mass destruction
The Parties, furthermore, agree to cooperate on and to contribute to countering the proliferation of weapons of mass destruction and their means of delivery by:
taking steps to sign, ratify, or accede to, as appropriate, and fully implement all other relevant international instruments; and
establishing an effective system of national export controls, controlling the export as well as transit of WMD-related goods, including a WMD end-use control on dual use technologies and containing effective sanctions for breaches of export controls.
Article 766
Small arms and light weapons and other conventional weapons
Article 767
The most serious crimes of concern to the international community
Article 768
Counter-terrorism
The Parties agree to establish a regular dialogue on those matters. This dialogue will, inter alia, aim to promote and facilitate:
the sharing of assessments on the terrorist threat;
the exchange of best practices and expertise on counter terrorism;
operational cooperation and exchange of information; and
exchanges on cooperation in the framework of multilateral organisations.
Article 769
Personal data protection
Article 770
Global cooperation on issues of shared economic, environmental and social interest
Article 771
Essential elements
Article 763(1), Article 764(1) and Article 765(1) constitute essential elements of the partnership established by this Agreement and any supplementing agreement.
TITLE III
FULFILLMENT OF OBLIGATIONS AND SAFEGUARD MEASURES
Article 772
Fulfilment of obligations described as essential elements
Article 773
Safeguard measures
The Party concerned shall, without delay, notify the measures taken to the Partnership Council and shall provide all relevant information.
PART SEVEN
FINAL PROVISIONS
Article 774
Territorial scope
This Agreement applies to:
the territories to which the TEU, the TFEU and the Treaty establishing the European Atomic Energy Community are applicable, and under the conditions laid down in those Treaties; and
the territory of the United Kingdom.
Article 775
Relationship with other agreements
This Agreement and any supplementing agreement apply without prejudice to any earlier bilateral agreement between the United Kingdom of the one part and the Union and the European Atomic Energy Community of the other part. The Parties reaffirm their obligations to implement any such Agreement.
Article 776
Review
The Parties shall jointly review the implementation of this Agreement and supplementing agreements and any matters related thereto five years after the entry into force of this Agreement and every five years thereafter.
Article 777
Classified information and sensitive non-classified information
Nothing in this Agreement or in any supplementing agreement shall be construed as requiring a Party to make available classified information.
Classified information or material provided by or exchanged between the Parties under this Agreement or any supplementing agreement shall be handled and protected in compliance with the Agreement on security procedures for exchanging and protecting classified information and any implementing arrangement concluded under it.
The Parties shall agree upon handling instructions to ensure the protection of sensitive non-classified information exchanged between them.
Article 778
Integral parts of this Agreement
Each of the Annexes to this Agreement, including its appendices, shall form an integral part of the Section, Chapter, Title, Heading or Protocol that refers to that Annex or to which reference is made in that Annex. For greater certainty:
Annex 1 forms an integral part of Title III of Part One;
Annexes 2, 3, 4, 5, 6, 7, 8 and 9 form an integral part of Chapter 2 of Title I of Heading One of Part Two;
Annex 10 forms an integral part of Chapter 3 of Title I of Heading One of Part Two;
Annexes 11, 12, 13, 14, 15, 16 and 17 form an integral part of Chapter 4 of Title I of Heading One of Part Two;
Annex 18 forms an integral part of Chapter 5 of Title I of Heading One of Part Two;
Annexes 19, 20, 21, 22, 23 and 24 form an integral part of Title II of Heading One of Part Two;
Annex 25 forms an integral part of Title VI of Heading One of Part Two;
Annexes 26, 27, 28 and 29 form an integral part of Title VIII of Heading One of Part Two;
Annex 27 forms an integral part of Title XI of Heading One of Part Two;
Annex 30 and any annex adopted in accordance with Article 454 form an integral part of Title Two of Heading Two of Part Two;
Annex 31 forms an integral part of Title I of Heading Three of Part Two;
Annexes 32, 33 and 34 form an integral part of Title II of Heading Three of Part Two;
Annexes 35, 36, 37 and 38 form an integral part of Heading Five of Part Two;
Annex 39 forms an integral part of Title II of Part Three;
Annex 40 forms an integral part of Title III of Part Three;
Annex 41 forms an integral part of Title V of Part Three;
Annex 42 forms an integral part of Title VI of Part Three;
Annex 43 forms an integral part of Title VII of Part Three;
Annex 44 forms an integral part of Title IX of Part Three;
Annex 45 forms an integral part of Title III, Title VII and Title XI of Part Three;
Annex 46 forms an integral part of Title XI of Part Three;
Annex 47 forms an integral part of Section 2 of Chapter 1 of Part Five;
Annexes 48 and 49 form an integral part of Title I of Part Six;
the Annex to the protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties forms an integral part of the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties;
Annexes SSC-1, SSC-2, SSC-3, SSC-4, SSC-5, SSC-6, SSC-7 and SSC-8 and their Appendices form an integral part of the Protocol on Social Security Coordination.
Article 779
Termination
Either Party may terminate this Agreement by written notification through diplomatic channels. This Agreement and any supplementing agreement shall cease to be in force on the first day of the twelfth month following the date of notification.
Article 780
Authentic texts
This Agreement shall be drawn up in duplicate in the Bulgarian, Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Irish, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish languages. By 30 April 2021, all language versions of the Agreement shall be subject to a process of final legal-linguistic revision. Notwithstanding the previous sentence, the process of final legal-linguistic revision for the English version of the Agreement shall be finalised at the latest by the day referred to in Article 783(1) if that day is earlier than 30 April 2021.
The language versions resulting from the above process of final legal-linguistic revision shall replace ab initio the signed versions of the Agreement and shall be established as authentic and definitive by exchange of diplomatic notes between the Parties.
Article 781
Future accessions to the Union
During the negotiations between the Union and a third country regarding the accession of that country to the Union ( 87 ), the Union shall endeavour to:
on request of the United Kingdom and, to the extent possible, provide any information regarding any matter covered by this Agreement and any supplementing agreement; and
take into account any concerns expressed by the United Kingdom.
To the extent necessary, the United Kingdom and the Union shall, before the entry into force of the agreement on the accession of a third country to the Union:
amend this Agreement or any supplementing agreement,
put in place by decision of the Partnership Council any other necessary adjustments or transitional arrangements regarding this Agreement or any supplementing agreement; or
decide within the Partnership Council whether:
to apply Article 492 to the nationals of that third country; or
to establish transitional arrangements as regards Article 492 in relation to that third country and its nationals once it accedes to the Union.
Article 782
Interim provision for transmission of personal data to the United Kingdom
For the purposes of this Article, the "designated powers" means the powers:
to make regulations pursuant to sections 17A, 17C and 74A of the UK Data Protection Act 2018;
to issue a new document specifying standard data protection clauses pursuant to section 119A of the UK Data Protection Act 2018;
to approve a new draft code of conduct pursuant to Article 40(5) of the UK General Data Protection Regulation ("UK GDPR"), other than a code of conduct which cannot be relied on to provide appropriate safeguards for transfers of personal data to a third country under Article 46(2)(e) of the UK GDPR;
to approve new certification mechanisms pursuant to Article 42(5) of the UK GDPR, other than certification mechanisms which cannot be relied on to provide appropriate safeguards for transfers of personal data to a third country under Article 46(2)(f) of the UK GDPR;
to approve new binding corporate rules pursuant to Article 47 of the UK GDPR;
to authorise new contractual clauses referred to in Article 46(3)(a) of the UK GDPR; or
to authorise new administrative arrangements referred to in Article 46(3)(b) of the UK GDPR.
The "specified period" begins on the date of entry into force of this Agreement and, subject to paragraph 5, ends on one of the following dates, whichever is earlier:
on the date on which adequacy decisions in relation to the United Kingdom are adopted by the European Commission under Article 36(3) of Directive (EU) 2016/680 and under Article 45(3) of Regulation (EU) 2016/679, or
on the date four months after the date on which the specified period begins, which period shall be extended by two further months unless one of the Parties objects.
Anything that would otherwise be an amendment to the applicable data protection regime which is:
made with the agreement of the Union within the Partnership Council; or
limited to alignment with the relevant Union data protection law;
shall not be treated as an amendment to the applicable data protection regime for the purposes of paragraph 5 and instead should be treated as being part of the applicable data protection regime for the purposes of paragraph 1.
For the purposes of paragraphs 1, 5 and 7, "the agreement of the Union within the Partnership Council" means:
a decision of the Partnership Council as described in paragraph 11; or
deemed agreement as described in paragraph 10.
Article 783
Entry into force and provisional application
The Parties agree to provisionally apply this Agreement from 1 January 2021 provided that prior to that date they have notified each other that their respective internal requirements and procedures necessary for provisional application have been completed. Provisional application shall cease on one of the following dates, whichever is the earliest:
28 February 2021 or another date as decided by the Partnership Council; or
the day referred to in paragraph 1.
Съставено в Брюксел и Лондон на тридесети декември две хиляди и двадесета година.
Hecho en Bruselas y Londres, el treinta de diciembre de dos mil veinte.
V Bruselu a v Londýně dne třicátého prosince dva tisíce dvacet.
Udfærdiget i Bruxelles og London, den tredivte december to tusind og tyve.
Geschehen zu Brüssel und London am dreißigsten Dezember zweitausendzwanzigt.
Kahe tuhande kahekümnenda aasta detsembrikuu kolmekümnendal päeval Brüsselis ja Londonis.
Έγινε στις Βρυξέλλες και στο Λονδίνο, στις τριάντα Δεκεμβρίου δύο χιλιάδες είκοσι.
Done at Brussels and London on the thirtieth day of December in the year two thousand and twenty.
Fait à Bruxelles et à Londres, le trente décembre deux mille vingt.
Arna dhéanamh sa Bhruiséil agus i Londain, an tríochadú lá de mhí na Nollag an bhliain dhá mhíle fiche.
Sastavljeno u Bruxellesu i Londonu tridesetog prosinca godine dvije tisuće dvadesete.
Fatto a Bruxelles e Londra, addì trenta dicembre duemilaventi.
Briselē un Londonā, divi tūkstoši divdesmitā gada trīsdesmitajā decembrī.
Priimta du tūkstančiai dvidešimtų metų gruodžio trisdešimtą dieną Briuselyje ir Londone.
Kelt Brüsszelben és Londonban, a kétezer-huszadik év december havának harmincadik napján.
Magħmul fi Brussell u Londra, fit-tletin jum ta’ Diċembru fis-sena elfejn u għoxrin.
Gedaan te Brussel en Londen, dertig december tweeduizend twintig.
Sporządzono w Brukseli i Londynie dnia trzydziestego grudnia roku dwa tysiące dwudziestego.
Feito em Bruxelas e em Londres, em trinta de dezembro de dois mil e vinte.
Întocmit la Bruxelles și la Londra la treizeci decembrie două mii douăzeci.
V Bruseli a Londýne tridsiateho decembra dvetisícdvadsať.
V Bruslju in Londonu, tridesetega decembra dva tisoč dvajset.
Tehty Brysselissä ja Lontoossa kolmantenakymmenentenä päivänä joulukuuta vuonna kaksituhattakaksikymmentä.
Som skedde i Bryssel och i London den trettionde december år tjugohundratjugo.
ANNEX 1
RULES OF PROCEDURE OF THE PARTNERSHIP COUNCIL AND COMMITTEES
Rule 1
Chair
Rule 2
Secretariat
The Secretariat of the Partnership Council (the "Secretariat") shall be composed of an official of the Union and an official of the Government of the United Kingdom. The Secretariat shall perform the tasks conferred on it by these Rules of Procedure.
The Union and the United Kingdom shall notify each other of the name, position and contact details of the official who is the member of the Secretariat of the Partnership Council for the Union and the United Kingdom, respectively. This official is deemed to continue acting as member of the Secretariat for the Union or for the United Kingdom until the date either the Union or the United Kingdom has notified a new member.
Rule 3
Meetings
Rule 4
Participation in meetings
Rule 5
Documents
Written documents on which the deliberations of the Partnership Council are based shall be numbered and circulated to the Union and the United Kingdom by the Secretariat.
Rule 6
Correspondence
Rule 7
Agenda for the meetings
Rule 8
Minutes
The minutes shall, as a rule, summarise each item on the agenda, specifying where applicable:
the documents submitted to the Partnership Council;
any statement that one of the co-chairs requested to be entered in the minutes; and
the decisions taken, recommendations made, statements agreed upon and conclusions adopted on specific items.
Rule 9
Decisions and Recommendations
Rule 10
Transparency
Rule 11
Languages
Rule 12
Expenses
Rule 13
Committees
ANNEX 2
INTRODUCTORY NOTES TO PRODUCT-SPECIFIC RULES OF ORIGIN
NOTE 1
General principles
1. This Annex sets out the general rules for the applicable requirements of Annex 3 as provided for in point (c) of Article 39(1) of this Agreement.
2. For the purposes of this Annex and Annex 3, the requirements for a product to be originating in accordance with point (c) of Article 39(1) of this Agreement are a change in tariff classification, a production process, a maximum value or weight of non-originating materials, or any other requirement specified in this Annex and Annex 3.
3. Reference to weight in a product-specific rule of origin means the net weight, which is the weight of a material or a product, not including the weight of any packaging.
4. This Annex and Annex 3 are based on the Harmonised System, as amended on 1 January 2017.
NOTE 2
The structure of the list of product-specific rules of origin
1. Notes on sections or Chapters, where applicable, are read in conjunction with the product-specific rules of origin for the relevant section, Chapter, heading or subheading.
2. Each product-specific rule of origin set out in Column 2 of Annex 3 applies to the corresponding product indicated in Column 1 of Annex 3.
3. If a product is subject to alternative product-specific rules of origin, the product shall be originating in a Party if it satisfies one of the alternatives.
4. If a product is subject to a product-specific rule of origin that includes multiple requirements, the product shall be originating in a Party only if it satisfies all of the requirements.
5. For the purposes of this Annex and Annex 3, the following definitions apply:
"section" means a section of the Harmonised System;
"Chapter" means the first two-digits in the tariff classification number under the Harmonised System;
"heading" means the first four-digits in the tariff classification number under the Harmonised System; and
"subheading" means the first six-digits in the tariff classification number under the Harmonised System.
6. For the purposes of the product-specific rules of origin, the following abbreviations apply:
"CC" means production from non-originating materials of any Chapter, except that of the product; this means that any non-originating material used in the production of the product must be classified under a Chapter (2-digit level of the Harmonised System) other than that of the product (i.e. a change in Chapter);
"CTH" means production from non-originating materials of any heading, except that of the product; this means that any non-originating material used in the production of the product must be classified under a heading (4-digit level of the Harmonised System) other than that of the product (i.e. a change in heading);
"CTSH" means production from non-originating materials of any subheading, except that of the product; this means that any non-originating material used in the production of the product must be classified under a subheading (6-digit level of the Harmonised System) other than that of the product (i.e. a change in subheading).
NOTE 3
Application of the product-specific rules of origin
1. Article 39 of this Agreement, concerning products having acquired originating status which are used in the production of other products, applies whether or not this status has been acquired inside the same factory in a Party where these products are used.
2. If a product-specific rule of origin specifically excludes certain non-originating material or provides that the value or weight of a specified non-originating material shall not exceed a specific threshold, these conditions do not apply to non-originating materials classified elsewhere in the Harmonised System.
Example 1: when the rule for bulldozers (subheading 8429.11) requires: "CTH except from non-originating materials of heading 84.31", the use of non-originating materials classified elsewhere than 84.29 and 84.31- such as screws (HS heading 73.18), insulated wires and electric conductors (heading 85.44) and various electronics (Chapter 85) - is not limited.
Example 2: When the rule for heading 35.05 (dextrins and other modified starches; glues based on starches etc) requires "CTH except from non-originating materials of heading 11.08" then the use of non-originating materials classified elsewhere than 11.08 (starches, inulin), such as materials of Chapter 10 (cereals), is not limited.
3. If a product-specific rule of origin provides that a product shall be produced from a particular material, this does not prevent the use of other materials which are unable to satisfy that rule because of their inherent nature.
NOTE 4
Calculation of a maximum value of non-originating materials
For the purposes of the product-specific rules of origin, the following definitions apply:
"customs value" means the value as determined in accordance with the Agreement on Implementation of Article VII of GATT 1994;
"EXW" or "ex-works price" means:
the price of the product paid or payable to the producer in whose undertaking the last working or processing is carried out, provided that the price includes the value of all the materials used and all other costs incurred in the production of the product, minus any internal taxes which are, or may be, repaid when the product obtained is exported; or
if there is no price paid or payable or if the actual price paid does not reflect all costs related to the production of the product which are actually incurred in the production of the product, the value of all the materials used and all other costs incurred in the production of the product in the exporting Party:
including selling, general and administrative expenses, as well as profit, that can reasonably be allocated to the product; and
excluding the cost of freight, insurance, all other costs incurred in transporting the product and any internal taxes of the exporting Party which are, or may be, repaid when the product obtained is exported;
for the purposes of point (i), where the last production has been contracted to a producer, the term "producer" in point (i) refers to the person who has employed the subcontractor.
"MaxNOM" means the maximum value of non-originating materials expressed as a percentage and shall be calculated according to the following formula:
"VNM" means the value of the non-originating materials used in the production of the product which is its customs value at the time of importation including freight, insurance if appropriate, packing and all other costs incurred in transporting the materials to the importation port in the Party where the producer of the product is located; where the value of the non-originating materials is not known and cannot be ascertained, the first ascertainable price paid for the non-originating materials in the Union or in the United Kingdom is used; the value of the non-originating materials used in the production of the product may be calculated on the basis of the weighted average value formula or other inventory valuation method under accounting principles which are generally accepted in the Party.
NOTE 5
Definitions of processes referred to in Sections V to VII of Annex 3
For the purposes of product-specific rules of origin, the following definitions apply:
"biotechnological processing" means:
biological or biotechnological culturing (including cell culture), hybridisation or genetic modification of micro-organisms (bacteria, viruses (including phages) etc.) or human, animal or plant cells; and
production, isolation or purification of cellular or intercellular structures (such as isolated genes, gene fragments and plasmids), or fermentation;
"change in particle size" means the deliberate and controlled modification in particle size of a product, other than by merely crushing or pressing, resulting in a product with a defined particle size, defined particle size distribution or defined surface area, which is relevant to the purposes of the resulting product and with physical or chemical characteristics different from those of the input materials;
"chemical reaction" means a process (including a biochemical processing) which results in a molecule with a new structure by breaking intramolecular bonds and by forming new intramolecular bonds, or by altering the spatial arrangement of atoms in a molecule, with the exception of the following, which are not considered to be chemical reactions for the purpose of this definition:
dissolving in water or other solvents;
the elimination of solvents including solvent water; or
the addition or elimination of water of crystallisation;
"distillation" means:
atmospheric distillation: a separation process in which petroleum oils are converted, in a distillation tower, into fractions according to boiling point and the vapour then condensed into different liquefied fractions; products produced from petroleum distillation may include liquefied petroleum gas, naphtha, gasoline, kerosene, diesel or heating oil, light gas oils and lubricating oil; and
vacuum distillation: distillation at a pressure below atmospheric but not so low that it would be classed as molecular distillation; vacuum distillation is used for distilling high-boiling and heat-sensitive materials such as heavy distillates in petroleum oils to produce light to heavy vacuum gas oils and residuum;
"isomer separation" means the isolation or separation of isomers from a mixture of isomers;
"mixing and blending" means the deliberate and proportionally controlled mixing or blending (including dispersing) of materials, other than the addition of diluents, only to conform to predetermined specifications which results in the production of a product having physical or chemical characteristics that are relevant to the purposes or uses of the product and are different from the input materials;
"production of standard materials" (including standard solutions) means a production of a preparation suitable for analytical, calibrating or referencing uses with precise degrees of purity or proportions certified by the producer; and
"purification" means a process which results in the elimination of at least 80 % of the content of existing impurities or the reduction or elimination of impurities resulting in a good suitable for one or more of the following applications:
pharmaceutical, medical, cosmetic, veterinary or food grade substances;
chemical products and reagents for analytical, diagnostic or laboratory uses;
elements and components for use in micro-electronics;
specialised optical uses;
biotechnical use, for example, in cell culturing, in genetic technology or as a catalyst;
carriers used in a separation process; or
nuclear grade uses.
NOTE 6
Definitions of terms used in Section XI of Annex 3
For the purposes of the product-specific rules of origin, the following definitions apply:
"man-made staple fibres" means synthetic or artificial filament tow, staple fibres or waste, of headings 55.01 to 55.07;
"natural fibres" means fibres other than synthetic or artificial fibres, the use of which is restricted to the stages before spinning takes place, including waste, and, unless otherwise specified, includes fibres which have been carded, combed or otherwise processed, but not spun; "natural fibres" includes horsehair of heading 05.11, silk of headings 50.02 and 50.03, wool-fibres and fine or coarse animal hair of headings 51.01 to 51.05, cotton fibres of headings 52.01 to 52.03, and other vegetable fibres of headings 53.01 to 53.05;
"printing" means a technique by which an objectively assessed function, such as colour, design, or technical performance, is given to a textile substrate with a permanent character, using screen, roller, digital or transfer techniques; and
"printing (as standalone operation)" means a technique by which an objectively assessed function, such as colour, design, or technical performance, is given to a textile substrate with a permanent character, using screen, roller, digital or transfer techniques combined with at least two preparatory or finishing operations (such as scouring, bleaching, mercerizing, heat setting, raising, calendaring, shrink resistance processing, permanent finishing, decatising, impregnating, mending and burling, shearing, singeing, process of air-tumbler, process of stenter, milling, steam and shrinking, and wet decatising), provided that the value of all the non-originating materials used does not exceed 50 % of the EXW of the product.
NOTE 7
Tolerances applicable to products containing two or more basic textile materials
1. For the purposes of this Note, basic textile materials are the following:
silk;
wool;
coarse animal hair;
fine animal hair;
horsehair;
cotton;
paper-making materials and paper;
flax;
true hemp;
jute and other textile bast fibres;
sisal and other textile fibres of the genus Agave;
coconut, abaca, ramie and other vegetable textile fibres;
synthetic man-made filaments;
artificial man-made filaments;
current-conducting filaments;
synthetic man-made staple fibres of polypropylene;
synthetic man-made staple fibres of polyester;
synthetic man-made staple fibres of polyamide;
synthetic man-made staple fibres of polyacrylonitrile;
synthetic man-made staple fibres of polyimide;
synthetic man-made staple fibres of polytetrafluoroethylene;
synthetic man-made staple fibres of poly (phenylene sulphide);
synthetic man-made staple fibres of poly (vinyl chloride);
other synthetic man-made staple fibres;
artificial man-made staple fibres of viscose;
other artificial man-made staple fibres;
yarn made of polyurethane segmented with flexible segments of polyether, whether or not gimped;
yarn made of polyurethane segmented with flexible segments of polyester whether or not gimped;
products of heading 56.05 (metallised yarn) incorporating strip consisting of a core of aluminium foil or of a core of plastic film irrespective of whether or not coated with aluminium powder, of a width not exceeding 5 mm, sandwiched by means of a transparent or coloured adhesive between two layers of plastic film;
other products of heading 56.05;
glass fibres; and
metal fibres.
2. Where reference to this Note is made in Annex 3, the requirements set out in its Column 2 shall not apply, as a tolerance, to non-originating basic textile materials which are used in the production of a product, provided that:
the product contains two or more basic textile materials; and
the weight of the non-originating basic textile materials, taken together, does not exceed 10 % of the total weight of all the basic textile materials used.
Example: For a woollen fabric of heading 51.12 containing woollen yarn of heading 51.07, synthetic yarn of staple fibres of heading 55.09 and materials other than basic textile materials, non-originating woollen yarn which does not satisfy the requirement set out in Annex 3, or non-originating synthetic yarn which does not satisfy the requirement set out in Annex 3, or a combination of both, may be used, provided that their total weight does not exceed 10 % of the weight of all the basic textile materials.
3. Notwithstanding point (b) of paragraph 2, for products containing "yarn made of polyurethane segmented with flexible segments of polyether, whether or not gimped", the maximum tolerance is 20 %. However, the percentage of the other non-originating basic textile materials shall not exceed 10 %.
4. Notwithstanding point (b) of paragraph 2, for products containing "strip consisting of a core of aluminium foil or of a core of plastic film irrespective of whether or not coated with aluminium powder, of a width not exceeding 5 mm, sandwiched by means of a transparent or coloured adhesive between two layers of plastic film", the maximum tolerance is 30 %. However, the percentage of the other non-originating basic textile materials shall not exceed 10 %.
NOTE 8
Other tolerances applicable to certain textile products
1. Where reference to this Note is made in Annex 3, non-originating textile materials (with the exception of linings and interlinings) which do not satisfy the requirements set out in its Column 2 for a made-up textile product may be used, provided that they are classified under a heading other than that of the product and that their value does not exceed 8 % of the EXW of the product.
2. Non-originating materials which are not classified under Chapters 50 to 63 may be used without restriction in the production of textile products classified under Chapters 50 to 63, whether or not they contain textiles.
Example: If a requirement set out in Annex 3 provides that yarn shall be used, for a certain textile item (such as trousers), this does not prevent the use of non-originating metal items (such as buttons), because metal items are not classified under Chapters 50 to 63. For the same reasons, it does not prevent the use of non-originating slide fasteners, even though slide-fasteners normally contain textiles.
3. Where a requirement set out in Annex 3 consists in a maximum value of non-originating materials, the value of the non-originating materials which are not classified under Chapters 50 to 63 shall be taken into account in the calculation of the value of the non-originating materials.
NOTE 9
Agricultural products
Agricultural products classified under Section II of the Harmonised System and heading 24.01, which are grown or harvested in the territory of a Party, shall be treated as originating in the territory of that Party, even if grown from seeds, bulbs, rootstock, cuttings, slips, grafts, shoots, buds, or other live parts of plants imported from a third country.
ANNEX 3
PRODUCT-SPECIFIC RULES OF ORIGIN
|
Column 1 Harmonised System classification (2017) including specific description |
Column 2 Product-specific rule of origin |
|
SECTION I |
LIVE ANIMALS; ANIMAL PRODUCTS |
|
Chapter 1 |
Live animals |
|
01.01-01.06 |
All animals of Chapter 1 are wholly obtained. |
|
Chapter 2 |
Meat and edible meat offal |
|
02.01-02.10 |
Production in which all the materials of Chapters 1 and 2 used are wholly obtained. |
|
Chapter 3 |
Fish and crustaceans, molluscs and other aquatic invertebrates |
|
03.01-03.08 |
Production in which all the materials of Chapter 3 used are wholly obtained. |
|
Chapter 4 |
Dairy produce; birds' eggs; natural honey; edible products of animal origin, not elsewhere specified or included |
|
04.01-04.10 |
Production in which: — all the materials of Chapter 4 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 does not exceed 20 % of the weight of the product. |
|
Chapter 5 |
Products of animal origin, not elsewhere specified or included |
|
05.01-05.11 |
Production from non-originating materials of any heading. |
|
SECTION II |
VEGETABLE PRODUCTS |
|
Chapter 6 |
Live trees and other plants; bulbs, roots and the like; cut flowers and ornamental foliage |
|
06.01-06.04 |
Production in which all the materials of Chapter 6 used are wholly obtained. |
|
Chapter 7 |
Edible vegetables and certain roots and tubers |
|
07.01-07.14 |
Production in which all the materials of Chapter 7 used are wholly obtained. |
|
Chapter 8 |
Edible fruit and nuts; peel of citrus fruit or melons |
|
08.01-08.14 |
Production in which: — all the materials of Chapter 8 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 does not exceed 20 % of the weight of the product. |
|
Chapter 9 |
Coffee, tea, maté and spices |
|
09.01-09.10 |
Production from non-originating materials of any heading. |
|
Chapter 10 |
Cereals |
|
10.01-10.08 |
Production in which all the materials of Chapter 10 used are wholly obtained. |
|
Chapter 11 |
Products of the milling industry; malt; starches; inulin; wheat gluten |
|
11.01-11.09 |
Production in which all materials of Chapters 10 and 11, headings 07.01, 07.14, 23.02 to 23.03 or subheading 0710.10 used are wholly obtained. |
|
Chapter 12 |
Oil seeds and oleaginous fruits; miscellaneous grains, seeds and fruit; industrial or medicinal plants; straw and fodder |
|
12.01-12.14 |
CTH |
|
Chapter 13 |
Lac; gums, resins and other vegetable saps and extracts |
|
13.01-13.02 |
Production from non-originating materials of any heading in which the total weight of non-originating materials of headings 17.01 and 17.02 does not exceed 20 % of the weight of the product. |
|
Chapter 14 |
Vegetable plaiting materials; vegetable products not elsewhere specified or included |
|
14.01-14.04 |
Production from non-originating materials of any heading. |
|
SECTION III |
ANIMAL OR VEGETABLE FATS AND OILS AND THEIR CLEAVAGE PRODUCTS; PREPARED EDIBLE FATS; ANIMAL OR VEGETABLE WAXES |
|
Chapter 15 |
Animal or vegetable fats and oils and their cleavage products; prepared edible fats; animal or vegetable waxes |
|
15.01-15.04 |
CTH |
|
15.05-15.06 |
Production from non-originating materials of any heading. |
|
15.07-15.08 |
CTSH |
|
15.09-15.10 |
Production in which all the vegetable materials used are wholly obtained. |
|
15.11-15.15 |
CTSH |
|
15.16-15.17 |
CTH |
|
15.18-15.19 |
CTSH |
|
15.20 |
Production from non-originating materials of any heading. |
|
15.21-15.22 |
CTSH |
|
SECTION IV |
PREPARED FOODSTUFFS; BEVERAGES, SPIRITS AND VINEGAR; TOBACCO AND MANUFACTURED TOBACCO SUBSTITUTES |
|
Chapter 16 |
Preparations of meat, of fish or of crustaceans, molluscs or other aquatic invertebrates |
|
1601.00-1604.18 |
Production in which all the materials of Chapters 1, 2, 3 and 16 used are wholly obtained (1). |
|
1604.19 |
CC |
|
1604.20 |
|
|
— Preparations of surimi: |
CC |
|
— Others: |
Production in which all the materials of Chapters 3 and 16 used are wholly obtained (2). |
|
1604.31-1605.69 |
Production in which all the materials of Chapters 3 and 16 used are wholly obtained. |
|
Chapter 17 |
Sugars and sugar confectionery |
|
17.01 |
CTH |
|
17.02 |
CTH, provided that the total weight of non-originating materials of headings 11.01 to 11.08, 17.01 and 17.03 used does not exceed 20 % of the weight of the product. |
|
17.03 |
CTH |
|
17.04 |
|
|
— White chocolate: |
CTH, provided that: (a) all the materials of Chapter 4 used are wholly obtained; and (b)(i) the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product; or (ii) the value of non-originating materials of headings 17.01 and 17.02 used does not exceed 30 % of the ex-works price of the product. |
|
— Others: |
CTH, provided that: — all the materials of Chapter 4 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product. |
|
Chapter 18 |
Cocoa and cocoa preparations |
|
18.01-18.05 |
CTH |
|
1806.10 |
CTH, provided that: — all the materials of Chapter 4 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product. |
|
1806.20-1806.90 |
CTH, provided that: (a) all the materials of Chapter 4 used are wholly obtained; and (b)(i) the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product; or (ii) the value of non-originating materials of headings 17.01 and 17.02 used does not exceed 30 % of the ex-works price of the product. |
|
Chapter 19 |
Preparations of cereals, flour, starch or milk; pastrycooks' products |
|
19.01-19.05 |
CTH, provided that: — all the materials of Chapter 4 used are wholly obtained; — the total weight of non-originating materials of Chapters 2, 3 and 16 used does not exceed 20 % of the weight of the product; — the total weight of non-originating materials of headings 10.06 and 11.08 used does not exceed 20 % of the weight of the product; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product. |
|
Chapter 20 |
Preparations of vegetables, fruit, nuts or other parts of plants |
|
20.01 |
CTH |
|
20.02-20.03 |
Production in which all the materials of Chapter 7 used are wholly obtained. |
|
20.04-20.09 |
CTH, provided that the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product. |
|
Chapter 21 |
Miscellaneous edible preparations |
|
21.01-21.02 |
CTH, provided that: — all the materials of Chapter 4 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product. |
|
2103.10 2103.20 2103.90 |
CTH; however, non-originating mustard flour or meal or prepared mustard may be used. |
|
2103.30 |
Production from non-originating materials of any heading. |
|
21.04-21.06 |
CTH, provided that: — all the materials of Chapter 4 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product. |
|
Chapter 22 |
Beverages, spirits and vinegar |
|
22.01-22.06 |
CTH except from non-originating materials of headings 22.07 and 22.08, provided that: — all the materials of subheadings 0806.10, 2009.61, 2009.69 used are wholly obtained; — all the materials of Chapter 4 used are wholly obtained; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product. |
|
22.07 |
CTH except from non-originating materials of heading 22.08, provided that all the materials of Chapter 10, subheadings 0806.10, 2009.61 and 2009.69 used are wholly obtained. |
|
22.08-22.09 |
CTH except from non-originating materials of headings 22.07 and 22.08, provided that all the materials of subheadings 0806.10, 2009.61 and 2009.69 used are wholly obtained. |
|
Chapter 23 |
Residues and waste from the food industries; prepared animal fodder |
|
23.01 |
CTH |
|
2302.10-2303.10 |
CTH, provided that the total weight of non-originating materials of Chapter 10 used does not exceed 20 % of the weight of the product. |
|
2303.20-2308.00 |
CTH |
|
23.09 |
CTH, provided that: — all the materials of Chapters 2 and 4 used are wholly obtained; — the total weight of non-originating materials of headings 10.01 to 10.04, 10.07 to 10.08, Chapter 11, and headings 23.02 and 23.03 used does not exceed 20 % of the weight of the product; and — the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product. |
|
Chapter 24 |
Tobacco and manufactured tobacco substitutes |
|
24.01 |
Production in which all materials of heading 24.01 are wholly obtained. |
|
2402.10 |
Production from non-originating materials of any heading, provided that the total weight of non-originating materials of heading 24.01 used does not exceed 30 % of the weight of materials of Chapter 24 used. |
|
2402.20 |
Production from non-originating materials of any heading, except that of the product and of smoking tobacco of subheading 2403.19, and in which at least 10 % by weight of all materials of heading 24.01 used is wholly obtained. |
|
2402.90 |
Production from non-originating materials of any heading, provided that the total weight of non-originating materials of heading 24.01 used does not exceed 30 % of the weight of materials of Chapter 24 used. |
|
24.03 |
CTH, in which at least 10 % by weight of all materials of heading 24.01 used are wholly obtained. |
|
SECTION V |
MINERAL PRODUCTS Section note: For definitions of horizontal processing rules within this Section, see Note 5 of Annex 2 |
|
Chapter 25 |
Salt; sulphur; earths and stone; plastering materials, lime and cement |
|
25.01-25.30 |
CTH; or MaxNOM 70 % (EXW). |
|
Chapter 26 |
Ores, slag and ash |
|
26.01-26.21 |
CTH |
|
Chapter 27 |
Mineral fuels, mineral oils and products of their distillation; bituminous substances; mineral waxes |
|
27.01-27.09 |
Production from non-originating materials of any heading. |
|
27.10 |
CTH except from non-originating biodiesel of subheading 3824.99 or 3826.00; or Distillation or a chemical reaction is undergone, provided that biodiesel (including hydrotreated vegetable oil) of heading 27.10 and subheadings 3824.99 and 3826.00 used is obtained by esterification, transesterification or hydrotreatment. |
|
27.11-27.15 |
Production from non-originating materials of any heading. |
|
SECTION VI |
PRODUCTS OF THE CHEMICAL OR ALLIED INDUSTRIES Section note: For definitions of horizontal processing rules within this Section, see Note 5 of Annex 2 |
|
Chapter 28 |
Inorganic chemicals; organic or inorganic compounds of precious metals, of rare-earth metals, of radioactive elements or of isotopes |
|
28.01-28.53 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 29 |
Organic chemicals |
|
2901.10-2905.42 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
2905.43-2905.44 |
CTH except from non-originating materials of heading 17.02 and subheading 3824.60. |
|
2905.45 |
CTSH, however, non-originating materials of the same subheading as the product may be used, provided that their total value does not exceed 20 % of the ex-works price of the product; or MaxNOM 50 % (EXW). |
|
2905.49-2942 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 30 |
Pharmaceutical products |
|
30.01-30.06 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 31 |
Fertilisers |
|
31.01-31.04 |
CTH, however, non-originating materials of the same heading as the product may be used, provided that their total value does not exceed 20 % of the EXW of the product; or MaxNOM 40 % (EXW). |
|
31.05 |
|
|
— Sodium nitrate — Calcium cyanamide — Potassium sulphate — Magnesium potassium sulphate |
CTH, however, non-originating materials of the same heading as the product may be used, provided that their total value does not exceed 20 % of the EXW of the product; or MaxNOM 40 % (EXW). |
|
-Others |
CTH, however, non-originating materials of the same heading as the product may be used, provided that their total value does not exceed 20 % of the EXW of the product, and in which the value of all non-originating materials used does not exceed 50 % of the EXW of the product; or MaxNOM 40 % (EXW). |
|
Chapter 32 |
Tanning or dyeing extracts; tannins and their derivatives; dyes, pigments and other colouring matter; paints and varnishes; putty and other mastics; inks |
|
32.01-32.15 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 33 |
Essential oils and resinoids; perfumery, cosmetic or toilet preparations |
|
33.01 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
3302.10 |
CTH, however, non-originating materials of subheading 3302.10 may be used, provided that their total value does not exceed 20 % of the EXW of the product. |
|
3302.90 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
33.03 |
Production from non-originating materials of any heading. |
|
33.04 -33.07 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 34 |
Soap, organic surface-active agents, washing preparations, lubricating preparations, artificial waxes, prepared waxes, polishing or scouring preparations, candles and similar articles, modelling pastes, "dental waxes" and dental preparations with a basis of plaster |
|
34.01-34.07 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 35 |
Albuminoidal substances; modified starches; glues; enzymes |
|
35.01-35.04 |
CTH except from non-originating materials of Chapter 4. |
|
35.05 |
CTH except from non-originating materials of heading 11.08. |
|
35.06-35.07 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 36 |
Explosives; pyrotechnic products; matches; pyrophoric alloys; certain combustible preparations |
|
36.01-36.06 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 37 |
Photographic or cinematographic goods |
|
37.01-37.07 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
Chapter 38 |
Miscellaneous chemical products |
|
38.01-38.08 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
3809.10 |
CTH except from non-originating materials of headings 11.08 and 35.05. |
|
3809.91-3822.00 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
38.23 |
Production from non-originating material of any heading. |
|
3824.10-3824.50 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
3824.60 |
CTH except from non-originating materials of subheadings 2905.43 and 2905.44. |
|
3824.71-3825.90 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
38.26 |
Production in which biodiesel is obtained through transesterification, esterification or hydro-treatment. |
|
SECTION VII |
PLASTICS AND ARTICLES THEREOF; RUBBER AND ARTICLES THEREOF Section note: For definitions of horizontal processing rules within this Section, see Note 5 of Annex 2 |
|
Chapter 39 |
Plastics and articles thereof |
|
39.01-39.15 |
CTSH; A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone; or MaxNOM 50 % (EXW). |
|
39.16-39.19 |
CTH; or MaxNOM 50 % (EXW). |
|
39.20 |
CTSH; or MaxNOM 50 % (EXW). |
|
39.21-39.22 |
CTH; or MaxNOM 50 % (EXW). |
|
3923.10-3923.50 |
CTSH; or MaxNOM 50 % (EXW). |
|
3923.90-3925.90 |
CTH; or MaxNOM 50 % (EXW). |
|
39.26 |
CTSH; or MaxNOM 50 % (EXW). |
|
Chapter 40 |
Rubber and articles thereof |
|
40.01-40.11 |
CTH; or MaxNOM 50 % (EXW). |
|
4012.11-4012.19 |
CTSH; or Retreading of used tyres. |
|
4012.20-4017.00 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION VIII |
RAW HIDES AND SKINS, LEATHER, FURSKINS AND ARTICLES THEREOF; SADDLERY AND HARNESS; TRAVEL GOODS, HANDBAGS AND SIMILAR CONTAINERS; ARTICLE OF ANIMAL GUT (OTHER THAN SILK-WORM GUT) |
|
Chapter 41 |
Raw hides and skins (other than furskins) and leather |
|
41.01-4104.19 |
CTH |
|
4104.41-4104.49 |
CTSH except from non-originating materials of subheadings 4104.41 to 4104.49. |
|
4105.10 |
CTH |
|
4105.30 |
CTSH |
|
4106.21 |
CTH |
|
4106.22 |
CTSH |
|
4106.31 |
CTH |
|
4106.32-4106.40 |
CTSH |
|
4106.91 |
CTH |
|
4106.92 |
CTSH |
|
41.07-41.13 |
CTH except from non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32 and 4106.92. However, non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32 or 4106.92 may be used provided that they undergo a retanning operation. |
|
4114.10 |
CTH |
|
4114.20 |
CTH except from non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32, 4106.92 and 4107. However, non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32, 4106.92 and heading 41.07 may be used provided that they undergo a retanning operation. |
|
41.15 |
CTH |
|
Chapter 42 |
Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silk-worm gut) |
|
42.01-42.06 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 43 |
Furskins and artificial fur; manufactures thereof |
|
4301.10-4302.20 |
CTH; or MaxNOM 50 % (EXW). |
|
4302.30 |
CTSH |
|
43.03-43.04 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION IX |
WOOD AND ARTICLES OF WOOD; WOOD CHARCOAL; CORK AND ARTICLES OF CORK; MANUFACTURES OF STRAW, OF ESPARTO OR OTHER PLAITING MATERIALS; BASKETWARE AND WICKERWORK |
|
Chapter 44 |
Wood and articles of wood; wood charcoal |
|
44.01-44.21 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 45 |
Cork and articles of cork |
|
45.01-45.04 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 46 |
Manufactures of straw, of esparto or of other plaiting materials; basketware and wickerwork |
|
46.01-46.02 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION X |
PULP OF WOOD OR OF OTHER FIBROUS CELLULOSIC MATERIAL; RECOVERED (WASTE AND SCRAP) PAPAER OR PAPERBOARD; PAPER AND PAPERBOARD AND ARTICLES THEREOF |
|
Chapter 47 |
Pulp of wood or of other fibrous cellulosic material; recovered (waste and scrap) paper or paperboard |
|
47.01-47.07 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 48 |
Paper and paperboard; articles of paper pulp, of paper or of paperboard |
|
48.01-48.23 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 49 |
Printed books, newspapers, pictures and other products of the printing industry; manuscripts, typescripts and plans |
|
49.01-49.11 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION XI |
TEXTILES AND TEXTILE ARTICLES Section note: For definitions of terms used for tolerances applicable to certain products made of textile materials, see Notes 6,7 and 8 of Annex 2 |
|
Chapter 50 |
Silk |
|
50.01-50.02 |
CTH |
|
50.03 |
|
|
— Carded or combed: |
Carding or combing of silk waste. |
|
— Others: |
CTH |
|
50.04-50.05 |
Spinning of natural fibres; Extrusion of man-made continuous filament combined with spinning; Extrusion of man-made continuous filament combined with twisting; or Twisting combined with any mechanical operation. |
|
50.06 |
|
|
— Silk yarn and yarn spun from silk waste: |
Spinning of natural fibres; Extrusion of man-made continuous filament combined with spinning; Extrusion of man-made continuous filament combined with twisting; or Twisting combined with any mechanical operation. |
|
— Silk-worm gut: |
CTH |
|
50.07 |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Twisting or any mechanical operation combined with weaving; Weaving combined with dyeing; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 51 |
Wool, fine or coarse animal hair; horsehair yarn and woven fabric |
|
51.01-51.05 |
CTH |
|
51.06-51.10 |
Spinning of natural fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
51.11-51.13 |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Weaving combined with dyeing; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 52 |
Cotton |
|
52.01-52.03 |
CTH |
|
52.04-52.07 |
Spinning of natural fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
52.08-52.12 |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Twisting or any mechanical operation combined with weaving; Weaving combined with dyeing or with coating or with laminating; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 53 |
Other vegetable textile fibres; paper yarn and woven fabrics of paper yarn |
|
53.01-53.05 |
CTH |
|
53.06-53.08 |
Spinning of natural fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
53.09-53.11 |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Weaving combined with dyeing or with coating or with laminating; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 54 |
Man-made filaments; strip and the like of man-made textile materials |
|
54.01-54.06 |
Spinning of natural fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
54.07-54.08 |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Yarn dyeing combined with weaving; Weaving combined with dyeing or with coating or with laminating; Twisting or any mechanical operation combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 55 |
Man-made staple fibres |
|
55.01-55.07 |
Extrusion of man-made fibres. |
|
55.08-55.11 |
Spinning of natural fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
55.12-55.16 |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Twisting or any mechanical operation combined with weaving; Weaving combined with dyeing or with coating or with laminating; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 56 |
Wadding, felt and nonwovens; special yarns; twine, cordage, ropes and cables and articles thereof |
|
56.01 |
Spinning or bonding of natural fibres; Extrusion of man-made fibres combined with spinning or bonding; Flocking combined with dyeing or with printing; or Coating, flocking, laminating, or metalizing combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing), provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product. |
|
56.02 |
|
|
— Needleloom Felt: |
Extrusion of man-made fibres combined with fabric formation; however: — non-originating polypropylene filament of heading 54.02; — non-originating polypropylene fibres of heading 55.03 or 55.06; or — non-originating polypropylene filament tow of heading 55.01; — of which the denomination in all cases of a single filament or fibre is less than 9 decitex, may be used, provided that their total value does not exceed 40 % of the EXW of the product; — or — Non-woven fabric formation alone in the case of felt made from natural fibres. |
|
— Others: |
Extrusion of man-made fibres combined with fabric formation; or Non-woven fabric formation alone in the case of other felt made from natural fibres. |
|
5603.11-5603.14 |
Production from — directionally or randomly oriented filaments; or — substances or polymers of natural or man-made origin; — followed in both cases by bonding into a nonwoven. |
|
5603.91-5603.94 |
Production from — directionally or randomly oriented staple fibres; or — chopped yarns, of natural or man-made origin; — followed in both cases by bonding into a nonwoven. |
|
5604.10 |
Production from rubber thread or cord, not textile covered. |
|
5604.90 |
Spinning of natural fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
56.05 |
Spinning of natural or man-made staple fibres; Extrusion of man-made fibres combined with spinning; or Twisting combined with any mechanical operation. |
|
56.06 |
Extrusion of man-made fibres combined with spinning; Twisting combined with gimping; Spinning of natural or man-made staple fibres; or Flocking combined with dyeing. |
|
56.07-56.09 |
Spinning of natural fibres; or Extrusion of man-made fibres combined with spinning. |
|
Chapter 57 |
Carpets and other textile floor coverings Chapter note: For products of this Chapter non-originating jute fabric may be used as a backing. |
|
57.01-57.05 |
Spinning of natural or man-made staple fibres combined with weaving or with tufting; Extrusion of man-made filament yarn combined with weaving or with tufting; Production from coir yarn or sisal yarn or jute yarn or classical ring spun viscose yarn; Tufting combined with dyeing or with printing; Tufting or weaving of man-made filament yarn combined with coating or with laminating; Flocking combined with dyeing or with printing; or Extrusion of man-made fibres combined with nonwoven techniques including needle punching. |
|
Chapter 58 |
Special woven fabrics; tufted textile fabrics; lace; tapestries; trimmings; embroidery |
|
58.01-58.04 |
Spinning of natural or man-made staple fibres combined with weaving or with tufting; Extrusion of man-made filament yarn combined with weaving or with tufting; Weaving combined with dyeing or with flocking or with coating or with laminating or with metalizing; Tufting combined with dyeing or with printing; Flocking combined with dyeing or with printing; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
58.05 |
CTH |
|
58.06-58.09 |
Spinning of natural or man-made staple fibres combined with weaving or with tufting; Extrusion of man-made filament yarn combined with weaving or with tufting; Weaving combined with dyeing or with flocking or with coating or with laminating or with metalizing; Tufting combined with dyeing or with printing; Flocking combined with dyeing or with printing; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
58.10 |
Embroidering in which the value of non-originating materials of any heading, except that of the product, used does not exceed 50 % of the EXW of the product. |
|
58.11 |
Spinning of natural or man-made staple fibres combined with weaving or with tufting; Extrusion of man-made filament yarn combined with weaving or with tufting; Weaving combined with dyeing or with flocking or with coating or with laminating or with metalizing; Tufting combined with dyeing or with printing; Flocking combined with dyeing or with printing; Yarn dyeing combined with weaving; Weaving combined with printing; or Printing (as standalone operation). |
|
Chapter 59 |
Impregnated, coated, covered or laminated textile fabrics; textile articles of a kind suitable for industrial use |
|
59.01 |
Weaving combined with dyeing or with flocking or with coating or with laminating or with metalising; or Flocking combined with dyeing or with printing. |
|
59.02 |
|
|
— Containing not more than 90 % by weight of textile materials: |
Weaving. |
|
— Others: |
Extrusion of man-made fibres combined with weaving. |
|
59.03 |
Weaving, knitting or crocheting combined with impregnating or with coating or with covering or with laminating or with metalising; Weaving combined with printing; or Printing (as standalone operation). |
|
59.04 |
Calendaring combined with dyeing, coating, laminating or metalizing. Non-originating jute fabric may be used as a backing; or Weaving combined with dyeing or with coating or with laminating or with metalising. Non-originating jute fabric may be used as a backing. |
|
59.05 |
|
|
— Impregnated, coated, covered or laminated with rubber, plastics or other materials: |
Weaving, knitting or non-woven fabric formation combined with impregnating or with coating or with covering or with laminating or with metalising. |
|
— Others: |
Spinning of natural or man-made staple fibres combined with weaving; Extrusion of man-made filament yarn combined with weaving; Weaving, knitting or nonwoven fabric formation combined with dyeing or with coating or with laminating; Weaving combined with printing; or Printing (as standalone operation). |
|
59.06 |
|
|
— Knitted or crocheted fabrics: |
Spinning of natural or man-made staple fibres combined with knitting or with crocheting; Extrusion of man-made filament yarn combined with knitting or with crocheting; Knitting or crocheting combined with rubberising; or Rubberising combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing) provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product. |
|
— Other fabrics made of synthetic filament yarn, containing more than 90 % by weight of textile materials: |
Extrusion of man-made fibres combined with weaving. |
|
— Others: |
Weaving, knitting or nonwoven process combined with dyeing or with coating or with rubberising; Yarn dyeing combined with weaving, knitting or nonwoven process; or Rubberising combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing) provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product. |
|
59.07 |
Weaving, knitting or nonwoven fabric formation combined with dyeing or with printing or with coating or with impregnating or with covering; Flocking combined with dyeing or with printing; or Printing (as standalone operation). |
|
59.08 |
|
|
— Incandescent gas mantles, impregnated: |
Production from tubular knitted or crocheted gas-mantle fabric. |
|
— Others: |
CTH |
|
59.09-59.11 |
Spinning of natural or of man-made staple fibres combined with weaving; Extrusion of man-made fibres combined with weaving; Weaving combined with dyeing or with coating or with laminating; or Coating, flocking, laminating or metalizing combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing) provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product. |
|
Chapter 60 |
Knitted or crocheted fabrics |
|
60.01-60.06 |
Spinning of natural or man-made staple fibres combined with knitting or with crocheting; Extrusion of man-made filament yarn combined with knitting or with crocheting; Knitting or crocheting combined with dyeing or with flocking or with coating or with laminating or with printing; Flocking combined with dyeing or with printing; Yarn dyeing combined with knitting or with crocheting; or Twisting or texturing combined with knitting or with crocheting provided that the value of non-originating non-twisted or non-textured yarns used does not exceed 50 % of the EXW of the product. |
|
Chapter 61 |
Articles of apparel and clothing accessories, knitted or crocheted |
|
61.01-61.17 |
|
|
— Obtained by sewing together or otherwise assembling, two or more pieces of knitted or crocheted fabric which have been either cut to form or obtained directly to form: |
Knitting or crocheting combined with making-up including cutting of fabric. |
|
— Others: |
Spinning of natural or man-made staple fibres combined with knitting or with crocheting; Extrusion of man-made filament yarn combined with knitting or with crocheting; or Knitting and making-up in one operation. |
|
Chapter 62 |
Articles of apparel and clothing accessories, not knitted or crocheted |
|
62.01 |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.02 |
|
|
— Embroidered: |
Weaving combined with making-up including cutting of fabric; or Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.03 |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.04 |
|
|
— Embroidered: |
Weaving combined with making-up including cutting of fabric; or Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.05 |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.06 |
|
|
— Embroidered: |
Weaving combined with making-up including cutting of fabric; or Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.07-62.08 |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.09 |
|
|
— Embroidered: |
Weaving combined with making-up including cutting of fabric; or Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.10 |
|
|
— Fire-resistant equipment of fabric covered with foil of aluminised polyester: |
Weaving combined with making-up including cutting of fabric; or Coating or laminating combined with making-up including cutting of fabric, provided that the value of non-originating uncoated or unlaminated fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.11 |
|
|
— Women's, or girls' garments, embroidered: |
Weaving combined with making-up including cutting of fabric; or Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.12 |
|
|
— Knitted or crocheted obtained by sewing together or otherwise assembling, two or more pieces of knitted or crocheted fabric which have been either cut to form or obtained directly to form: |
Knitting combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.13-62.14 |
|
|
— Embroidered: |
Weaving combined with making-up including cutting of fabric; Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.15 |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.16 |
|
|
— Fire-resistant equipment of fabric covered with foil of aluminised polyester: |
Weaving combined with making-up including cutting of fabric; or Coating or laminating combined with making-up including cutting of fabric, provided that the value of non-originating uncoated or unlaminated fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
62.17 |
|
|
— Embroidered: |
Weaving combined with making-up including cutting of fabric; Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product; or Making-up including cutting of fabric preceded by printing (as standalone operation). |
|
— Fire-resistant equipment of fabric covered with foil of aluminised polyester: |
Weaving combined with making-up including cutting of fabric; or Coating or laminating combined with making-up including cutting of fabric, provided that the value of non-originating uncoated or unlaminated fabric used does not exceed 40 % of the EXW of the product. |
|
— Interlinings for collars and cuffs, cut out: |
CTH, provided that the value of all the non-originating materials used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving combined with making-up including cutting of fabric. |
|
Chapter 63 |
Other made up textile articles; sets; worn clothing and worn textile articles; rags |
|
63.01-63.04 |
|
|
— Of felt, of nonwovens: |
Nonwoven fabric formation combined with making-up including cutting of fabric. |
|
— Others: — Embroidered: |
Weaving or knitting or crocheting combined with making-up including cutting of fabric; or Production from unembroidered fabric (other than knitted or crocheted), provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product. |
|
— Others: |
Weaving, knitting or crocheting combined with making-up including cutting of fabric. |
|
63.05 |
Extrusion of man-made fibres or spinning of natural or man-made staple fibres, combined with weaving or with knitting and making-up including cutting of fabric. |
|
63.06 |
|
|
— Of nonwovens: |
Nonwoven fabric formation combined with making-up including cutting of fabric. |
|
— Others: |
Weaving combined with making-up including cutting of fabric. |
|
63.07 |
MaxNOM 40 % (EXW). |
|
63.08 |
Each item in the set must satisfy the rule which would apply to it if it were not included in the set; however, non-originating articles may be incorporated, provided that their total value does not exceed 15 % of the EXW of the set. |
|
63.09-63.10 |
CTH |
|
SECTION XII |
FOOTWEAR, HEADGEAR, UMBRELLAS, SUN UMBRELLAS, WALKING-STICKS, SEAT-STICKS, WHIPS, RIDING-CROPS AND PARTS THEREOF; PREPARED FEATHERS AND ARTICLES MADE THEREWITH; ARTIFICIAL FLOWERS; ARTICLE OF HUMAN HAIR |
|
Chapter 64 |
Footwear, gaiters and the like; parts of such articles |
|
64.01-64.05 |
Production from non-originating materials of any heading, except from non-originating assemblies of uppers affixed to inner soles or to other sole components of heading 64.06. |
|
64.06 |
CTH |
|
Chapter 65 |
Headgear and parts thereof |
|
65.01-65.07 |
CTH |
|
Chapter 66 |
Umbrellas, sun umbrellas, walking-sticks, seat-sticks, whips, riding-crops and parts thereof |
|
66.01-66.03 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 67 |
Prepared feathers and down and articles made of feathers or of down; artificial flowers; articles of human hair |
|
67.01-67.04 |
CTH |
|
SECTION XIII |
ARTICLES OF STONE, PLASTER, CEMENT, ASBESTOS, MICA OR SIMILAR MATERIALS; CERAMIC PRODUCTS; GLASS AND GLASSWARE |
|
Chapter 68 |
Articles of stone, plaster, cement, asbestos, mica or similar materials |
|
68.01-68.15 |
CTH; or MaxNOM 70 % (EXW). |
|
Chapter 69 |
Ceramic products |
|
69.01-69.14 |
CTH |
|
Chapter 70 |
Glass and glassware |
|
70.01-70.09 |
CTH; or MaxNOM 50 % (EXW). |
|
70.10 |
CTH |
|
70.11 |
CTH; or MaxNOM 50 % (EXW). |
|
70.13 |
CTH except from non-originating materials of heading 70.10. |
|
70.14-70.20 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION XIV |
NATURAL OR CULTURED PEARLS, PRECIOUS OR SEMI-PRECIOUS STONES, PRECIOUS METALS, METALS CLAD WITH PRECIOUS METAL, AND ARTICLES THEREOF; IMITATION JEWELLERY; COIN |
|
Chapter 71 |
Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal, and articles thereof; imitation jewellery; coin |
|
71.01-71.05 |
Production from non-originating materials of any heading. |
|
71.06 |
|
|
— Unwrought: |
CTH except from non-originating materials of headings 71.06, 71.08 and 71.10; Electrolytic, thermal or chemical separation of non-originating precious metals of headings 71.06, 71.08 and 71.10; or Fusion or alloying of non-originating precious metals of headings 71.06, 71.08 and 71.10 with each other or with base metals or purification. |
|
— Semi-manufactured or in powder form: |
Production from non-originating unwrought precious metals. |
|
71.07 |
Production from non-originating materials of any heading. |
|
71.08 |
|
|
— Unwrought: |
CTH except from non-originating materials of headings 71.06, 71.08 and 71.10; Electrolytic, thermal or chemical separation of non-originating precious metals of headings 71.06, 71.08 and 71.10; or Fusion or alloying of non-originating precious metals of headings 71.06, 71.08 and 71.10 with each other or with base metals or purification. |
|
— Semi-manufactured or in powder form: |
Production from non-originating unwrought precious metals. |
|
71.09 |
Production from non-originating materials of any heading. |
|
71.10 |
|
|
— Unwrought: |
CTH except from non-originating materials of headings 71.06, 71.08 and 71.10; Electrolytic, thermal or chemical separation of non-originating precious metals of headings 71.06, 71.08 and 71.10; or Fusion or alloying of non-originating precious metals of headings 71.06, 71.08 and 71.10 with each other or with base metals or purification. |
|
— Semi-manufactured or in powder form: |
Production from non-originating unwrought precious metals. |
|
71.11 |
Production from non-originating materials of any heading. |
|
71.12-71.18 |
CTH |
|
SECTION XV |
BASE METALS AND ARTICLES OF BASE METAL |
|
Chapter 72 |
Iron and Steel |
|
72.01-72.06 |
CTH |
|
72.07 |
CTH except from non-originating materials of heading 72.06. |
|
72.08-72.17 |
CTH except from non-originating materials of headings 72.08 to 72.17. |
|
72.18 |
CTH |
|
72.19-72.23 |
CTH except from non-originating materials of headings 72.19 to 72.23. |
|
72.24 |
CTH |
|
72.25-72.29 |
CTH except from non-originating materials of headings 72.25 to 72.29. |
|
Chapter 73 |
Articles of iron or steel |
|
7301.10 |
CC except from non-originating materials of headings 72.08 to 72.17. |
|
7301.20 |
CTH |
|
73.02 |
CC except from non-originating materials of headings 72.08 to 72.17. |
|
73.03 |
CTH |
|
73.04-73.06 |
CC except from non-originating materials of headings 72.13 to 72.17, 72.21 to 72.23 and 72.25 to 72.29. |
|
73.07 |
|
|
— Tube or pipe fittings of stainless steel: |
CTH except from non-originating forged blanks; however, non-originating forged blanks may be used provided that their value does not exceed 50 % of the EXW of the product. |
|
— Others: |
CTH |
|
73.08 |
CTH except from non-originating materials of subheading 7301.20. |
|
7309.00-7315.19 |
CTH |
|
7315.20 |
CTH; or MaxNOM 50 % (EXW). |
|
7315.81-7326.90 |
CTH |
|
Chapter 74 |
Copper and articles thereof |
|
74.01-74.02 |
CTH |
|
74.03 |
Production from non-originating materials of any heading. |
|
74.04-74.07 |
CTH |
|
74.08 |
CTH and MaxNOM 50 % (EXW). |
|
74.09-74.19 |
CTH |
|
Chapter 75 |
Nickel and articles thereof |
|
75.01 |
CTH |
|
75.02 |
Production from non-originating materials of any heading. |
|
75.03-75.08 |
CTH |
|
Chapter 76 |
Aluminium and articles thereof |
|
76.01 |
CTH and MaxNOM 50 % (EXW); or Thermal or electrolytic treatment from unalloyed aluminium or waste and scrap of aluminium. |
|
76.02 |
CTH |
|
76.03-76.16 |
CTH and MaxNOM 50 % (EXW) (3). |
|
Chapter 78 |
Lead and articles thereof |
|
7801.10 |
Production from non-originating materials of any heading. |
|
7801.91-7806.00 |
CTH |
|
Chapter 79 |
Zinc and articles thereof |
|
79.01-79.07 |
CTH |
|
Chapter 80 |
Tin and articles thereof |
|
80.01-80.07 |
CTH |
|
Chapter 81 |
Other base metals; cermets; articles thereof |
|
81.01-81.13 |
Production from non-originating materials of any heading. |
|
Chapter 82 |
Tools, implements, cutlery, spoons and forks, of base metal; parts thereof of base metal |
|
8201.10-8205.70 |
CTH; or MaxNOM 50 % (EXW). |
|
8205.90 |
CTH, however, non-originating tools of heading 82.05 may be incorporated into the set, provided that their total value does not exceed 15 % of the EXW of the set. |
|
82.06 |
CTH except from non-originating materials of headings 82.02 to 82.05; however, non-originating tools of headings 82.02 to 82.05 may be incorporated into the set, provided that their total value does not exceed 15 % of the EXW of the set. |
|
82.07-82.15 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 83 |
Miscellaneous articles of base metal |
|
83.01-83.11 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION XVI |
MACHINERY AND MECHANICAL APPLIANCE; ELECTRICAL EQUIPMENT; PARTS THEREOF; SOUND RECORDERS AND REPRODUCERS, TELEVISION IMAGE AND SOUND RECORDERS AND REPRODUCERS, AND PARTS AND ACCESSORIES OF SUCH ARTICLES |
|
Chapter 84 |
Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof |
|
84.01-84.06 |
CTH; or MaxNOM 50 % (EXW). |
|
84.07-84.08 |
MaxNOM 50 % (EXW). |
|
84.09-84.12 |
CTH; or MaxNOM 50 % (EXW). |
|
8413.11-8415.10 |
CTSH; or MaxNOM 50 % (EXW). |
|
8415.20 |
CTH; or MaxNOM 50 % (EXW). |
|
8415.81-8415.90 |
CTSH; or MaxNOM 50 % (EXW). |
|
84.16-84.20 |
CTH; or MaxNOM 50 % (EXW). |
|
84.21 |
CTSH; or MaxNOM 50 % (EXW). |
|
84.22-84.24 |
CTH; or MaxNOM 50 % (EXW). |
|
84.25-84.30 |
CTH except from non-originating materials of heading 84.31; or MaxNOM 50 % (EXW). |
|
84.31-84.43 |
CTH; or MaxNOM 50 % (EXW). |
|
84.44-84.47 |
CTH except from non-originating materials of heading 84.48; or MaxNOM 50 % (EXW). |
|
84.48-84.55 |
CTH; or MaxNOM 50 % (EXW). |
|
84.56-84.65 |
CTH except from non-originating materials of heading 84.66; or MaxNOM 50 % (EXW). |
|
84.66-84.68 |
CTH; or MaxNOM 50 % (EXW). |
|
84.70-84.72 |
CTH except from non-originating materials of heading 84.73; or MaxNOM 50 % (EXW). |
|
84.73-84.78 |
CTH; or MaxNOM 50 % (EXW). |
|
8479.10-8479.40 |
CTSH; or MaxNOM 50 % (EXW). |
|
8479.50 |
CTH; or MaxNOM 50 % (EXW). |
|
8479.60-8479.82 |
CTSH; or MaxNOM 50 % (EXW). |
|
8479.89 |
CTH; or MaxNOM 50 % (EXW). |
|
8479.90 |
CTSH; or MaxNOM 50 % (EXW). |
|
84.80 |
CTH; or MaxNOM 50 % (EXW). |
|
84.81 |
CTSH; or MaxNOM 50 % (EXW). |
|
84.82-84.87 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 85 |
Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles |
|
85.01-85.02 |
CTH except from non-originating materials of heading 85.03; or MaxNOM 50 % (EXW). |
|
85.03-85.06 |
CTH; or MaxNOM 50 % (EXW). |
|
85.07 |
|
|
— Accumulators containing one or more battery cells or battery modules and the circuitry to interconnect them amongst themselves, — often referred to as "battery packs", of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04 |
CTH except from non-originating active cathode materials; or MaxNOM 30 % (EXW) (4). |
|
— Battery cells, battery modules and parts thereof, intended to be incorporated into an electric accumulator of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04 |
CTH except from non-originating active cathode materials; or MaxNOM 35 % (EXW) (5) |
|
— others |
CTH; or MaxNOM 50 % (EXW). |
|
85.08-85.18 |
CTH; or MaxNOM 50 % (EXW). |
|
85.19-85.21 |
CTH except from non-originating materials of heading 85.22; or MaxNOM 50 % (EXW). |
|
85.22-85.23 |
CTH; or MaxNOM 50 % (EXW). |
|
85.25-85.27 |
CTH except from non-originating materials of heading 85.29; or MaxNOM 50 % (EXW). |
|
85.28-85.34 |
CTH; or MaxNOM 50 % (EXW). |
|
85.35-85.37 |
CTH except from non-originating materials of heading 85.38; or MaxNOM 50 % (EXW). |
|
8538.10-8541.90 |
CTH; or MaxNOM 50 % (EXW). |
|
8542.31-8542.39 |
CTH; Non-originating materials undergo a diffusion; or MaxNOM 50 % (EXW). |
|
8542.90-8543.90 |
CTH; or MaxNOM 50 % (EXW). |
|
85.44-85.48 |
MaxNOM 50 % (EXW). |
|
SECTION XVII |
VEHICLES, AIRCRAFT, VESSELS AND ASSOCIATED TRANSPORT EQUIPMENT |
|
Chapter 86 |
Railway or tramway locomotives, rolling-stock and parts thereof; railway or tramway track fixtures and fittings and parts thereof; mechanical (including electro-mechanical) traffic signalling equipment of all kinds |
|
86.01-86.09 |
CTH except from non-originating materials of heading 86.07; or MaxNOM 50 % (EXW). |
|
Chapter 87 |
Vehicles other than railway or tramway rolling-stock, and parts and accessories thereof |
|
87.01 |
MaxNOM 45 % (EXW). |
|
87.02-87.04 |
|
|
— vehicles with both internal combustion piston engine and electric motor as motors for propulsion capable of being charged by plugging to external source of electric power ("plug-in hybrid"); — vehicles with only electric motor for propulsion |
MaxNOM 45 % (EXW) and battery packs of heading 85.07 of a kind used as the primary source of electrical power for propulsion of the vehicle must be originating (6). |
|
— others |
MaxNOM 45 % (EXW) (7). |
|
87.05-87.07 |
MaxNOM 45 % (EXW). |
|
87.08-87.11 |
CTH; or MaxNOM 50 % (EXW). |
|
87.12 |
MaxNOM 45 % (EXW). |
|
87.13-87.16 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 88 |
Aircraft, spacecraft, and parts thereof |
|
88.01-88.05 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 89 |
Ships, boats and floating structures |
|
89.01-89.08 |
CC; or MaxNOM 40 % (EXW). |
|
SECTION XVIII |
OPTICAL, PHOTOGRAPHIC, CINEMATOGRAPHIC, MEASURING, CHECKING, PRECISION, MEDICAL OR SURGICAL INSTRUMENTS AND APPARATUS; CLOCKS AND WATCHES; MUSICAL INSTRUMENTS; PARTS AND ACCESSORIES THEREOF |
|
Chapter 90 |
Optical, photographic, cinematographic, measuring, checking, precision, medical or surgical instruments and apparatus; parts and accessories thereof |
|
9001.10-9001.40 |
CTH; or MaxNOM 50 % (EXW). |
|
9001.50 |
CTH; Surfacing of the semi-finished lens into a finished ophthalmic lens with optical corrective power meant to be mounted on a pair of spectacles; Coating of the lens through appropriated treatments to improve vision and ensure protection of the wearer; or MaxNOM 50 % (EXW). |
|
9001.90-9033.00 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 91 |
Clocks and watches and parts thereof |
|
91.01-91.14 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 92 |
Musical instruments; parts and accessories of such articles |
|
92.01-92.09 |
MaxNOM 50 % (EXW). |
|
SECTION XIX |
ARMS AND AMMUNITION; PARTS AND ACCESSORIES THEREOF |
|
Chapter 93 |
Arms and ammunition; parts and accessories thereof |
|
93.01-93.07 |
MaxNOM 50 % (EXW). |
|
SECTION XX |
MISCELLANEOUS MANUFACTURED ARTICLES |
|
Chapter 94 |
Furniture; bedding, mattresses, mattress supports, cushions and similar stuffed furnishings; lamps and lighting fittings, not elsewhere specified or included; illuminated signs, illuminated name-plates and the like; prefabricated buildings |
|
94.01-94.06 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 95 |
Toys, games and sports requisites; parts and accessories thereof |
|
95.03-95.08 |
CTH; or MaxNOM 50 % (EXW). |
|
Chapter 96 |
Miscellaneous manufactured articles |
|
96.01-96.04 |
CTH; or MaxNOM 50 % (EXW). |
|
96.05 |
Each item in the set shall satisfy the rule which would apply to it if it were not included in the set, provided that non-originating articles may be incorporated, provided that their total value does not exceed 15 % of the EXW of the set. |
|
96.06-9608.40 |
CTH; or MaxNOM 50 % (EXW). |
|
9608.50 |
Each item in the set shall satisfy the rule which would apply to it if it were not included in the set, provided that non-originating articles may be incorporated, provided that their total value does not exceed 15 % of the EXW of the set. |
|
9608.60-96.20 |
CTH; or MaxNOM 50 % (EXW). |
|
SECTION XXI |
WORKS OF ART, COLLECTORS' PIECES AND ANTIQUES |
|
Chapter 97 |
Works of Art, Collectors' Pieces and Antiques |
|
97.01-97.06 |
CTH |
|
(1)
Prepared or preserved tunas, skipjack and bonito (Sarda spp.), whole or in pieces (excl. minced) classified under subheading 1604.14 may be considered as originating under alternative product-specific rules of origin within annual quotas as specified in Annex 4.
(2)
Prepared or preserved tunas, skipjack or other fish of genus Euthynnus (excl. whole or in pieces) classified under subheading 1604.20 may be considered as originating under alternative product-specific rules of origin within annual quotas as specified in Annex 4.
(3)
Certain aluminium products may be considered as originating under alternative product-specific rules of origin with annual quotas as specified in Annex 4.
(4)
For the period from the entry into force of this Agreement until 31 December 2026 alternative product-specific rules of origin apply, as specified in Annex 5.
(5)
For the period from the entry into force of this Agreement until 31 December 2026 alternative product-specific rules of origin apply, as specified in Annex 5.
(6)
For the period from the entry into force of this Agreement until 31 December 2026 alternative product-specific rules of origin apply, as specified in Annex 5.
(7)
For hybrid vehicles with both internal combustion engine and electric motor as motors for propulsion, other than those capable of being charged by plugging to external source of electric power, alternative product-specific rules of origin apply for the period from the entry into force of this Agreement until 31 December 2026, as specified in Annex 5. |
|
ANNEX 4
ORIGIN QUOTAS AND ALTERNATIVES TO THE PRODUCT-SPECIFIC RULES OF ORIGIN IN ANNEX 3
Common provisions
For the products listed in the tables below, the corresponding rules of origin are alternatives to those set out in Annex 3, within the limits of the applicable annual quota.
A statement on origin made out pursuant to this Annex shall contain the following statement: "Origin quotas - Product originating in accordance with Annex 4".
In the Union, any quantities referred to in this Annex shall be managed by the European Commission, which shall take all administrative actions it deems advisable for their efficient management in respect of the applicable legislation of the Union.
In the United Kingdom, any quantities referred to in this Annex shall be managed by its customs authority, which shall take all administrative actions it deems advisable for their efficient management in respect of the applicable legislation in the United Kingdom.
The importing Party shall manage the origin quotas on a first-come first-served basis and shall calculate the quantity of products entered under these origin quotas on the basis of that Party's imports.
SECTION 1
Annual quota allocation for canned tuna
|
Harmonised system classification (2017) |
Product description |
Alternative product-specific rule |
Annual quota for exports from the Union to the United Kingdom (net weight) |
Annual quota for exports from the United Kingdom to the Union (net weight) |
|
1604.14 |
Prepared or preserved tunas, skipjack and bonito (Sarda spp.), whole or in pieces (excl. minced) |
CC |
3 000 tonnes |
3 000 tonnes |
|
1604.20 |
Other prepared or preserved fish |
|||
|
|
Of tuna, skipjack or other fish of the genus Euthynnus (excl. whole or in pieces) |
CC |
4 000 tonnes |
4 000 tonnes |
|
Of other fish |
- |
- |
- |
|
SECTION 2
Annual quota allocation for aluminium products ( 89 )
Table 1
Quotas applicable from 1 January 2021 until 31 December 2023
|
Harmonised system classification (2017) |
Product description |
Alternative product-specific rule |
Annual quota for exports from the Union to the United Kingdom (net weight) |
Annual quota for exports from the United Kingdom to the Union (net weight) |
|
76.03, 76.04, 76.06, 76.08-76.16 |
Aluminium products and articles of aluminium (excluding aluminium wire and aluminium foil) |
CTH |
95 000 tonnes |
95 000 tonnes |
|
76.05 |
Aluminium wire |
CTH except from non-originating materials of heading 76.04 |
||
|
76.07 |
Aluminium foil |
CTH except from non-originating materials of heading 76.06 |
Table 2
Quotas applicable from 1 January 2024 until 31 December 2026
|
Harmonised system classification (2017) |
Product description |
Alternative product-specific rule |
Annual quota for exports from the Union to the United Kingdom (net weight) |
Annual quota for exports from the United Kingdom to the Union (net weight) |
|
76.03, 76.04, 76.06, 76.08-76.16 |
Aluminium products and articles of aluminium (excluding aluminium wire and aluminium foil) |
CTH |
72 000 tonnes |
72 000 tonnes |
|
76.05 |
Aluminium wire |
CTH except from non-originating materials of heading 76.04 |
||
|
76.07 |
Aluminium foil |
CTH except from non-originating materials of heading 76.06 |
Table 3
Quotas applicable from 1 January 2027 onwards
|
Harmonised system classification (2017) |
Product description |
Alternative product-specific rule |
Annual quota for exports from the Union to the United Kingdom (net weight) |
Annual quota for exports from the United Kingdom to the Union (net weight) |
|
76.04 |
Aluminium bars, rods and profiles |
CTH |
57 500 tonnes |
57 500 tonnes |
|
76.06 |
Aluminium plates, sheets and strip, of a thickness exceeding 0,2 mm |
CTH |
||
|
76.07 |
Aluminium foil |
CTH except from non-originating materials of heading 76.06 |
Review of quotas for aluminium products in Table 3 in Section 2
Not earlier than 5 years from the entry into force of this Agreement and not earlier than 5 years from the completion of any review referred to in this paragraph, the Trade Partnership Committee, at the request of either Party and assisted by the Trade Specialised Committee on Customs Cooperation and Rules of Origin, shall review the quotas for aluminium contained in Table 3 in Section 2.
The review referred to in paragraph 1 shall be made on the basis of available information about the market conditions in both Parties and information about their imports and exports of relevant products.
On the basis of the result of a review carried out pursuant to paragraph 1, the Partnership Council may adopt a decision to increase or maintain the quantity, to change the scope, or to apportion or change any apportionment between products, of the quotas for aluminium contained in Table 3 in Section 2.
ANNEX 5
TRANSITIONAL PRODUCT-SPECIFIC RULES FOR ELECTRIC ACCUMULATORS AND ELECTRIFIED VEHICLES
Interim product-specific rules applicable from the entry into force of this Agreement until 31 December 2026
For the products listed in column 1 below, the product-specific rule listed in column 2 shall apply for the period from the entry into force of this Agreement until 31 December 2026.
|
Column 1 Harmonised System classification (2017) including specific description |
Column 2 Product-specific rule of origin applicable from the entry into force of this Agreement until 31 December 2026 |
|
85.07 |
|
|
— Accumulators containing one or more battery cells or battery modules and the circuitry to interconnect them amongst themselves, often referred to as "battery packs", of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04 |
CTSH; Assembly of battery packs from non-originating battery cells or battery modules; or MaxNOM 70 % (EXW) |
|
— Battery cells, battery modules, and parts thereof, intended to be incorporated into an electric accumulator of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04 |
CTH; or MaxNOM 70 % (EXW) |
|
87.02-87.04 |
|
|
— vehicles with both internal combustion engine and electric motor as motors for propulsion other than those capable of being charged by plugging to external source of electric power ("hybrid"); — vehicles with both internal combustion piston engine and electric motor as motors for propulsion capable of being charged by plugging to external source of electric power ("plug-in hybrid"); — vehicles with only electric motor for propulsion |
MaxNOM 60 % (EXW) |
ANNEX 6
SUPPLIER’S DECLARATION
1. A supplier’s declaration shall have the content set out in this Annex.
2. Except in the cases referred to in point 3, a supplier’s declaration shall be made out by the supplier for each consignment of products in the form provided for in Appendix 6-A and annexed to the invoice, or to any other document describing the products concerned in sufficient detail to enable them to be identified.
3. Where a supplier regularly supplies a particular customer with products for which the production carried out in a Party is expected to remain constant for a period of time, that supplier may provide a single supplier’s declaration to cover subsequent consignments of those products (the "long-term supplier’s declaration"). A long-term supplier’s declaration is normally valid for a period of up to two years from the date of making out the declaration. The customs authorities of the Party where the declaration is made out may lay down the conditions under which longer periods may be used. The long-term supplier’s declaration shall be made out by the supplier in the form provided for in Appendix 6-B and shall describe the products concerned in sufficient detail to enable them to be identified. The supplier shall inform the customer immediately if the long-term supplier’s declaration ceases to apply to the products supplied.
4. The supplier making out a declaration shall be prepared to submit at any time, at the request of the customs authorities of the Party where the declaration is made out, all appropriate documents proving that the information given on that declaration is correct.
Appendix 6-A
SUPPLIER'S DECLARATION
The supplier's declaration, the text of which is provided below, must be made out in accordance with the footnotes. However, the footnotes do not have to be reproduced.
SUPPLIER'S DECLARATION
I, the undersigned, the supplier of the products covered by the annexed document, declare that:
The following materials which do not originate in [indicate the name of the relevant Party] have been used in [indicate the name of the relevant Party] to produce these products:
|
Description of the products supplied(1) |
Description of non-originating materials used |
HS heading of non-originating materials used(2) |
Value of non-originating materials used(2)(3) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total value |
|
||
All the other materials used in [indicate the name of the relevant Party] to produce those products originate in [indicate the name of the relevant Party]
I undertake to make available any further supporting documents required.
… (Place and Date)
… (Name and position of the undersigned, name and address of company)
… (Signature)(6)
Appendix 6-B
LONG-TERM SUPPLIER'S DECLARATION
The long-term supplier's declaration, the text of which is given below, must be made out in accordance with the footnotes. However, the footnotes do not have to be reproduced.
LONG-TERM SUPPLIER'S DECLARATION
I, the undersigned, the supplier of the products covered by the annexed document, which are regularly supplied to(4) …, declare that:
The following materials which do not originate in [indicate the name of the relevant Party] have been used in [indicate the name of the relevant Party] to produce these products:
|
Description of the products supplied(1) |
Description of non-originating materials used |
HS heading of non-originating materials used(2) |
Value of non-originating materials used(2)(3) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total value |
|
||
All the other materials used in [indicate the name of the relevant Party] to produce those products originate in a Party [indicate the name of the relevant Party];
This declaration is valid for all subsequent consignments of these products dispatched
from … to … (5)
I undertake to inform … (4) immediately if this declaration ceases to be valid.
… (Place and Date)
…
(Name and position of the undersigned, name and address of company)
… (Signature)(6)
Footnotes
(1) Where the invoice or other document to which the declaration is annexed relates to different kinds of products, or to products which do not incorporate non-originating materials to the same extent, the supplier must clearly differentiate them.
(2) The information requested does not have to be given unless it is necessary.
Examples:
One of the rules for garments of Chapter 62 provides "Weaving combined with making-up including cutting of fabric". If a manufacturer of such garments in a Party uses fabric imported from the other Party which has been obtained there by weaving non-originating yarn, it is sufficient for the supplier in the latter Party to describe in his declaration the non-originating material used as yarn, without it being necessary to indicate the HS heading and the value of such yarn.
A producer of wire of iron of HS heading 72.17 who has produced it from non-originating iron bars should indicate in the second column "bars of iron". Where that wire is to be used in the production of a machine for which the rule contains a limitation for all non-originating materials used to a certain percentage value, it is necessary to indicate in the third column the value of non-originating bars.
(3) "Value of non-originating materials used" means the value of the non-originating materials used in the production of the product, which is its customs value at the time of importation, including freight, insurance if appropriate, packing and all other costs incurred in transporting the materials to the importation port in the Party where the producer of the product is located; where the value of the non-originating materials is not known and cannot be ascertained, the first ascertainable price paid for the non-originating materials in the Union or in the United Kingdom is used.
(4) Name and address of the customer
(5) Insert dates
(6) This field may contain an electronic signature, a scanned image or other visual representation of the signer’s handwritten signature instead of original signatures, where appropriate.
ANNEX 7
TEXT OF THE STATEMENT ON ORIGIN
The statement on origin referred to in Article 56 of this Agreement shall be made out using the text set out below in one of the following language versions and in accordance with the laws and regulations of the exporting Party. If the statement on origin is handwritten, it shall be written in ink in printed characters. The statement on origin shall be made out in accordance with the respective footnotes. The footnotes do not have to be reproduced.
Bulgarian version
Croatian version
Czech version
Danish version
Dutch version
English version
Estonian version
Finnish version
French version
German version
Greek version
Hungarian version
Italian version
Latvian version
Lithuanian version
Maltese version
Polish version
Portuguese version
Romanian version
Slovak version
Slovenian version
Spanish version
Swedish version
(Period: from ___________ to ___________ (1))
The exporter of the products covered by this document (Exporter Reference No ...(2)) declares that, except where otherwise clearly indicated, these products are of ...(3) preferential origin.
…(4)
(Place and date)
…
(Name of the exporter)
(1) If the statement on origin is completed for multiple shipments of identical originating products within the meaning of point (b) of Article 56(4) of this Agreement, indicate the period for which the statement on origin is to apply. That period shall not exceed 12 months. All importations of the product must occur within the period indicated. If a period is not applicable, the field may be left blank.
(2) Indicate the reference number by which the exporter is identified. For the Union exporter, this will be the number assigned in accordance with the laws and regulations of the Union. For the United Kingdom exporter, this will be the number assigned in accordance with the laws and regulations applicable within the United Kingdom. Where the exporter has not been assigned a number, this field may be left blank.
(3) Indicate the origin of the product: the United Kingdom or the Union.
(4) Place and date may be omitted if the information is contained on the document itself.
ANNEX 8
JOINT DECLARATION CONCERNING THE PRINCIPALITY OF ANDORRA
1. Products originating in the Principality of Andorra that fall within Chapters 25 to 97 of the Harmonised System shall be accepted by the United Kingdom as originating in the Union within the meaning of this Agreement.
2. Paragraph 1 only applies if, by virtue of the customs union established by Council Decision 90/680/EEC of 26 November 1990 on the conclusion of an agreement in the form of an exchange of letters between the European Economic Community and the Principality of Andorra, the Principality of Andorra applies to products originating in the United Kingdom the same preferential tariff treatment as the Union applies to such products.
3. Part Two, Heading One, Title I, Chapter 2 of this Agreement applies mutatis mutandis for the purpose of defining the originating status of products referred to in paragraph 1 of this Joint Declaration.
ANNEX 9
JOINT DECLARATION CONCERNING THE REPUBLIC OF SAN MARINO
1. Products originating in the Republic of San Marino shall be accepted by the United Kingdom as originating in the Union within the meaning of this Agreement.
2. Paragraph 1 only applies if, by virtue of the Agreement on Cooperation and Customs Union between the European Economic Community and the Republic of San Marino, done at Brussels on 16 December 1991, the Republic of San Marino applies to products originating in the United Kingdom the same preferential tariff treatment as the Union applies to such products.
3. Part Two, Heading One, Title I, Chapter 2 of this Agreement applies mutatis mutandis for the purposes of defining the originating status of products referred to in paragraph 1 of this Joint Declaration.
ANNEX 10
CRITERIA REFERRED TO IN POINT (d) OF ARTICLE 87
The criteria referred to in point (d) of Article 87 of this Agreement are:
the information made available by the exporting Party for the purposes of obtaining import authorisation of a given product into the importing party according to Article 75 of this Agreement;
the outcome of audits and verifications by the importing party in accordance with Article 79 of this Agreement;
the frequency and severity of non-compliance detected by the importing party on products from the exporting party;
the exporting operators' past record as regards compliance with the requirements of the importing party; and
available scientific assessments and any other pertinent information regarding the risk associated with the products.
ANNEX 11
MOTOR VEHICLES AND EQUIPMENT AND PARTS THEREOF
Article 1
Definitions
For the purposes of this Annex, the following definitions apply:
"WP.29" means the World Forum for Harmonisation of Vehicle Regulations within the framework of the United Nations Economic Commission for Europe ("UNECE");
"1958 Agreement" means the Agreement Concerning the Adoption of Harmonized Technical United Nations Regulations for Wheeled Vehicles, Equipment and Parts which can be Fitted and/or be Used on Wheeled Vehicles and the Conditions for Reciprocal Recognition of Approvals Granted on the Basis of these United Nations Regulations, done at Geneva on 20 March 1958, administered by the WP.29, and all subsequent amendments and revisions thereof;
"1998 Agreement" means the Agreement concerning the Establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998, administered by the WP.29, and all subsequent amendments and revisions thereof;
"UN Regulations" means Regulations adopted in accordance with the 1958 Agreement;
"GTR" means a Global Technical Regulation established and placed on the Global Registry in accordance with the 1998 Agreement;
"HS 2017" means the 2017 edition of the Harmonised System Nomenclature issued by the World Customs Organization;
"type approval" means the procedure whereby an approval authority certifies that a type of vehicle, system, component or separate technical unit satisfies the relevant administrative provisions and technical requirements;
"type-approval certificate" means the document whereby an approval authority officially certifies that a type of vehicle, system, component or separate technical unit is type-approved.
Article 2
Product scope
This Annex applies to the trade between the Parties of all categories of motor vehicles, equipment and parts thereof, as defined in Paragraph 1 of UNECE Consolidated Resolution on the Construction of Vehicles (R.E.3) ( 90 ), falling under, inter alia, Chapters 40, 84, 85, 87 and 94 of the HS 2017 (hereinafter referred to as "products covered").
Article 3
Objectives
With regard to the products covered, the objectives of this Annex are to:
eliminate and prevent any unnecessary technical barriers to bilateral trade;
promote the compatibility and convergence of regulations based on international standards;
promote the recognition of approvals based on approval schemes applied under the agreements administered by WP.29;
reinforce competitive market conditions based on principles of openness, non-discrimination and transparency;
promote high levels of protection of human health, safety and the environment; and
maintain cooperation on issues of mutual interest to foster continued mutually beneficial development in trade.
Article 4
Relevant international standards
The Parties recognise that the WP.29 is the relevant international standardising body and that UN Regulations and GTRs under the 1958 Agreement and 1998 Agreement are relevant international standards for the products covered by this Annex.
Article 5
Regulatory convergence based on relevant international standards
Article 6
Type approval and market surveillance
For the purpose of paragraph 1, the following shall be considered sufficient proof of the existence of a valid UN type-approval:
for whole vehicles, a valid UN Declaration of Conformance certifying compliance with a U-IWVTA;
for equipment and parts, a valid UN type-approval mark affixed to the product; or
for equipment and parts to which a UN type-approval mark cannot be affixed, a valid UN type-approval certificate.
For the purpose of conducting market surveillance, the competent authorities of a Party may verify that the products covered comply, as appropriate, with
all the domestic technical regulations of that Party; or
the UN Regulations with which compliance has been attested, in accordance with this Article, by a valid UN Declaration of Conformance certifying compliance with a U-IWVTA in the case of whole vehicles, or by a valid UN type-approval mark affixed to the product or a valid UN type-approval certificate in the case of equipment and parts.
Such verifications shall be carried out by random sampling in the market and in accordance with the technical regulations referred to in point (a) or (b) of this paragraph, as the case may be.
Article 7
Products with new technologies or new features
Article 8
Cooperation
Areas of cooperation under this Article may include in particular:
the development and establishment of technical regulations or related standards;
the exchange, to the extent possible, of research, information and results linked to the development of new vehicle safety regulations or related standards, advanced emission reduction, and emerging vehicle technologies;
the exchange of available information on the identification of safety-related or emission-related defects and non-compliance with technical regulations; and
the promotion of greater international harmonisation of technical requirements through multilateral fora, such as the 1958 Agreement and the 1998 Agreement, including through cooperation in the planning of initiatives in support of such harmonisation.
Article 9
Working Group on Motor Vehicles and Parts
The functions of the Working Group on Motor Vehicles and Parts shall be the following:
discussing any matter arising under this Annex, on request of a Party;
facilitating cooperation and exchange of information in accordance with Article 8;
carrying out technical discussions in accordance with Article 97 of this Agreement on matters falling within the scope of this Annex; and
maintaining a list of contact points responsible for matters arising under this Annex.
ANNEX 12
MEDICINAL PRODUCTS
Article 1
Definitions
For the purposes of this Annex, the following definitions apply:
"authority" means an authority of a Party as listed in Appendix 12-A;
"Good Manufacturing Practice" or "GMP" means that part of quality assurance which ensures that products are consistently produced and controlled in accordance with the quality standards appropriate for their intended use and as required by the applicable marketing authorisation or product specifications, as listed in Appendix 12-B;
"inspection" means an evaluation of a manufacturing facility to determine whether such manufacturing facility is operating in compliance with Good Manufacturing Practice and/or commitments made as part of the approval to market a product, which is conducted in accordance with the laws, regulations and administrative provisions of the relevant Party, and includes pre-marketing and post-marketing inspection;
"official GMP document" means a document issued by an authority of a Party following the inspection of a manufacturing facility, including, for example, inspection reports, certificates attesting the compliance of a manufacturing facility with GMP, or a GMP non-compliance statement.
Article 2
Scope
The provisions of this Annex apply to medicinal products as listed in Appendix 12-C.
Article 3
Objectives
With regard to the products covered, the objectives of this Annex are:
to facilitate the availability of medicines in each Party’s territory;
to set out the conditions for the recognition of inspections and for the exchange and acceptance of official GMP documents between the Parties;
to promote public health by safeguarding patient safety and animal health and welfare, as well as to protect high levels of consumer and environmental protection, where relevant, by promoting regulatory approaches in line with the relevant international standards.
Article 4
International standards
The relevant standards for the products covered by this Annex shall ensure a high level of protection of public health in line with standards, practices and guidelines developed by the World Health Organization (WHO), the Organization for Economic Cooperation and Development (OECD), the International Council for Harmonisation of Technical Requirements for Pharmaceuticals for Human Use (ICH), and the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH).
Article 5
Recognition of inspections and acceptance of official GMP documents
Article 6
Exchange of official GMP documents
Article 7
Safeguards
Article 8
Changes to applicable laws and regulations
Article 9
Suspension
Article 10
Regulatory cooperation
Article 11
Amendments to appendices
The Partnership Council shall have the power to amend Appendix 12-A in order to update the list of authorities, Appendix 12-B in order to update the list of applicable laws, regulations and technical guidelines, and Appendix 12-C in order to update the list of covered products.
Article 12
Working Group on Medicinal Products
The functions of the Working Group on Medicinal Products shall be the following:
discussing any matter arising under this Annex at the request of a Party;
facilitating cooperation and exchanges of information for the purposes of Articles 8 and 10;
functioning as the forum for consultations and discussions for the purposes of Articles 8(3) and 9(3);
carrying out technical discussions in accordance with Article 97 of this Agreement on matters falling within the scope of this Annex; and
maintaining a list of contact points responsible for matters arising under this Annex.
Article 13
Non-application of dispute settlement
Title I of Part Six of this Agreement does not apply in respect of disputes regarding the interpretation and application of this Annex.
Appendix 12-A
AUTHORITIES OF THE PARTIES
(1) European Union:
|
Country |
For medicinal products for human use |
For medicinal products for veterinary use |
|
Belgium |
Federal agency for medicines and health products / Federaal Agentschap voor geneesmiddelen en gezondheidsproducten/ Agence fédérale des médicaments et produits de santé |
See authority for medicinal products for human use |
|
Bulgaria |
Bulgarian Drug Agency / ИЗПЪЛНИТЕЛНА АГЕНЦИЯ ПО ЛЕКАРСТВАТА |
Bulgarian Food Safety Agency / Българска агенция по безопасност на храните |
|
Czechia |
State Institute for Drug Control / Státní ústav pro kontrolu léčiv (SÚKL) |
Institute for State Control of Veterinary Biologicals and Medicaments / Ústav pro státní kontrolu veterinárních biopreparátů a léčiv (ÚSKVBL) |
|
Denmark |
Danish Medicines Agency / Laegemiddelstyrelsen |
See authority for medicinal products for human use |
|
Germany |
Federal Institute for Drugs and Medical Devices / Bundesinstitut für Arzneimittel und Medizinprodukte (BfArM) Paul-Ehrlich-Institute (PEI), Federal Institute for Vaccines and Biomedicines / Paul-Ehrlich-Institut (PEI) Bundesinstitut für Impfstoffe und biomedizinische Arzneimittel Federal Ministry of Health / Bundesministerium für Gesundheit (BMG) / Zentralstelle der Länder für Gesundheitsschutz bei Arzneimitteln und Medizinprodukten (ZLG) (1) |
Federal Office for Consumer Protection and Food Safety / Bundesamt für Verbraucherschutz und Lebensmittelsicherheit (BVL) Federal Ministry of Food and Agriculture, Bundesministerium für Ernährung und Landwirtschaft Paul-Ehrlich-Institute (PEI), Federal Institute for Vaccines and Biomedicines / Paul-Ehrlich-Institut (PEI) Bundesinstitut für Impfstoffe und biomedizinische Arzneimittel |
|
Estonia |
State Agency of Medicines / Ravimiamet |
See authority for medicinal products for human use |
|
Ireland |
Health Products Regulatory Authority (HPRA) |
See authority for medicinal products for human use |
|
Greece |
National Organisation for Medicines / Ethnikos Organismos Farmakon (EOF) - (ΕΘΝIΚΟΣ ΟΡΓΑΝIΣΜΟΣ ΦΑΡΜΑΚΩΝ) |
See authority for medicinal products for human use |
|
Spain |
Spanish Agency of Medicines and Medical Devices / Agencia Española de Medicamentos y Productos Sanitarios (2) |
See authority for medicinal products for human use |
|
France |
French National Agency for Medicines and Health Products Safety Agence nationale de sécurité du médicament et des produits de santé (ANSM) |
French agency for food, environmental and occupational health safety-National Agency for Veterinary Medicinal Products / Agence Nationale de Sécurité Sanitaire de l’alimentation, de l’environnement et du travail-Agence Nationale du Médicament Vétérinaire (Anses-ANMV) |
|
Croatia |
Agency for Medicinal Products and Medical Devices / Agencija za lijekove i medicinske proizvode (HALMED) |
Ministry of Agriculture, Veterinary and Food Safety Directorate / Ministarstvo Poljoprivrede, Uprava za veterinarstvo i sigurnost hrane |
|
Italy |
Italian Medicines Agency / Agenzia Italiana del Farmaco |
Direction General for Animal Health and Veterinary Medicinal Products / Ministero della Salute, Direzione Generale della Sanità Animale e dei Farmaci Veterinari |
|
Cyprus |
Ministry of Health - Pharmaceutical Services / Φαρμακευτικές Υπηρεσίες, Υπουργείο Υγείας |
Ministry of Agriculture, Rural Development and Environment- Veterinary Services / Κτηνιατρικές Υπηρεσίες- Υπουργείο Γεωργίας, Αγροτικής Ανάπτυξης και Περιβάλλοντος |
|
Latvia |
State Agency of Medicines / Zāļu valsts aģentūra |
Assessment and Registration Department of the Food and Veterinary Service / Pārtikas un veterinārā dienesta Novērtēšanas un reģistrācijas departaments |
|
Lithuania |
State Medicines Control Agency / Valstybinė vaistų kontrolės tarnyba |
State Food and Veterinary Service / Valstybinė maisto ir veterinarijos tarnyba |
|
Luxembourg |
Minìstere de la Santé, Division de la Pharmacie et des Médicaments |
See authority for medicinal products for human use |
|
Hungary |
Országos Gyógyszerészeti és Élelmezés-egészségügyi Intézet / National Institute of Pharmacy and Nutrition |
National Food Chain Safety Office, Directorate of Veterinary Medicinal Products / Nemzeti Élelmiszerlánc-biztonsági Hivatal, Állatgyógyászati Termékek Igazgatósága (ÁTI) |
|
Malta |
Medicines Regulatory Authority |
Veterinary Medicines Section of the National Veterinary Laboratory (NVL) within The Animal Health and Welfare Department (AHWD) |
|
Netherlands |
Healthcare and Youth Inspectorate / Inspectie Gezondheidszorg en Youth (IGJ) |
Medicines Evaluation Board / Bureau Diergeneesmiddelen, College ter Beoordeling van Geneesmiddelen (CBG) |
|
Austria |
Austrian Agency for Health and Food Safety / Österreichische Agentur für Gesundheit und Ernährungssicherheit GmbH |
See authority for medicinal products for human use |
|
Poland |
The Main Pharmaceutical Inspectorate / Główny Inspektorat Farmaceutyczny (GIF) |
See authority medicinal products for human use |
|
Portugal |
National Authority of Medicines and Health Products / INFARMED, I.P Autoridade Nacional do Medicamento e Produtos de Saúde, I.P |
General Directorate of Food and Veterinary / DGAV - Direção Geral de Alimentação e Veterinária (PT) |
|
Romania |
National Agency for Medicines and Medical Devices / Agenția Națională a Medicamentului și a Dispozitivelor Medicale |
National Sanitary Veterinary and Food Safety Authority / Autoritatea Națională Sanitară Veterinară și pentru Siguranța Alimentelor |
|
Slovenia |
Agency for Medicinal Products and Medical Devices of the Republic of Slovenia / Javna agencija Republike Slovenije za zdravila in medicinske pripomočke (JAZMP) |
See authority for medicinal products for human use |
|
Slovakia |
State Institute for Drug Control / Štátny ústav pre kontrolu liečiv (ŠÚKL) |
Institute for State Control of Veterinary Biologicals and Medicaments / Ústav štátnej kontroly veterinárnych biopreparátov a liečiv (ÚŠKVBL) |
|
Finland |
Finnish Medicines Agency / Lääkealan turvallisuus- ja kehittämiskeskus (FIMEA) |
See authority for medicinal products for human use |
|
Sweden |
Medical Products Agency / Läkemedelsverket |
See authority for medicinal products for human use |
|
(1)
For the purpose of this Annex, and without prejudice to the internal division of competence in Germany on matters falling within the scope of this Annex, ZLG shall be understood as covering all the competent Länder authorities issuing GMP documents and conducting pharmaceutical inspections.
(2)
For the purpose of this Annex, and without prejudice to the internal division of competence in Spain on matters falling within the scope of this Annex, Agencia Española de Medicamentos y Productos Sanitarios shall be understood as covering all the competent regional authorities issuing official GMP documents and conducting pharmaceutical inspections. |
||
(2) United Kingdom
Medicines and Healthcare Products Regulatory Agency
Veterinary Medicines Directorate
Appendix 12-B
LIST OF APPLICABLE LAWS, REGULATIONS AND TECHNICAL GUIDELINES RELATING TO GOOD MANUFACTURING PRACTICE
(1) For the European Union:
(2) For the United Kingdom:
The Human Medicines Regulations 2012 (SI 2012/1916)
The Medicines for Human Use (Clinical Trials) Regulations 2004 (SI 2004/1031)
The Veterinary Medicines Regulations 2013 (SI 2013/2033)
Regulations on good manufacturing practice made under regulation B17, and guidelines on good manufacturing practice published pursuant to regulation C17, of the Human Medicines Regulations 2012
The principles and guidelines on good manufacturing practice applicable for the purposes of Schedule 2 to the Veterinary Medicines Regulations 2013
Appendix 12-C
COVERED PRODUCTS
Medicinal products for human use and veterinary use:
ANNEX 13
CHEMICALS
Article 1
Definitions
For the purposes of this Annex, the following definitions apply:
"responsible authorities" means:
for the Union: the European Commission;
for the United Kingdom: the government of the United Kingdom;
"UN GHS" means the United Nations Globally Harmonized System of Classification and Labelling of Chemicals.
Article 2
Scope
This Annex applies to the trade, regulation, import and export of chemicals between the Union and the United Kingdom in respect of their registration, evaluation, authorisation, restriction, approval, classification, labelling and packaging.
Article 3
Objectives
The objectives of this Annex are to:
facilitate the trade of chemicals and related products between the Parties;
ensure high levels of protection for the environment, and human and animal health; and
provide for cooperation between Union and United Kingdom responsible authorities.
Article 4
Relevant international organisations and bodies
The Parties recognise that international organisations and bodies, in particular the OECD and the Sub-Committee of Experts on the Globally Harmonized System of Classification and Labelling of Chemicals (SCEGHS) of the United Nations Economic and Social Council (ECOSOC), are relevant for developing scientific and technical guidelines with respect to chemicals.
Article 5
Participation in relevant international organisations and bodies and regulatory developments
Article 6
Classification and labelling of chemicals
Article 7
Cooperation
Article 8
Information exchange
The Parties shall cooperate and exchange information with respect to any issue relevant for the implementation of this Annex within the Trade Specialised Committee on Technical Barriers to Trade.
ANNEX 14
ORGANIC PRODUCTS
Article 1
Objective and scope
Article 2
Definitions
For the purposes of this Annex, the following definitions apply:
"competent authority" means an official agency that has jurisdiction over the laws and regulations listed in Appendix 14-C or 14-D and is responsible for the implementation of this Annex;
"control authority" means an authority on which the competent authority has conferred, in whole or in part, its competence for inspections and certifications in the field of organic production in accordance with the laws and regulations listed in Appendix 14-C or 14-D;
"control body" means an entity recognised by the competent authority to carry out inspections and certifications in the field of organic production in accordance with the laws and regulations listed in Appendix 14-C or 14-D; and
"equivalence" means the capability of different laws, regulations and requirements, as well as inspection and certification systems, of meeting the same objectives.
Article 3
Recognition of equivalence
Article 4
Import and placing on the market
Article 5
Labelling
Article 6
Exchange of information
The Parties shall exchange all relevant information with respect to the implementation and application of this Annex. In particular, by 31 March of the second year following the entry into force of this Agreement, and by 31 March of each following year, each Party shall send to the other:
a report that contains information with respect to the types and quantities of organic products exported under this Annex, covering the period from January to December of the previous year;
a report on the monitoring and supervisory activities carried out by its competent authorities, the results obtained, and the corrective measures taken, covering the period from January to December of the previous year; and
details of observed irregularities and infringements of the laws and regulations listed in Appendix 14-C or 14-D, as relevant.
Each Party shall inform the other Party without delay of:
any update to the list of its competent authorities, control authorities and control bodies, including the relevant contact details (in particular the address and the internet address);
any changes or repeals it intends to make in respect of laws or regulations listed in Appendix 14-C or Appendix 14-D, any proposals for new laws or regulations or any relevant proposed changes to administrative procedures and practices related to organic products covered by this Annex; and
any changes or repeals it has adopted in respect of laws or regulations listed in Appendix 14-C or Appendix 14-D, any new legislation or relevant changes to administrative procedures and practices related to organic products covered by this Annex.
Article 7
Peer reviews
Article 8
Working Group on Organic Products
The functions of the Working Group on Organic Products shall be the following:
discussing any matter arising under this Annex at the request of a Party, including any possible need for amendments to this Annex or any of its Appendices;
facilitating cooperation regarding laws, regulations, standards and procedures concerning the organic products covered by this Annex, including discussions on any technical or regulatory issue related to rules and control systems; and
carrying out technical discussions in accordance with Article 97 of this Agreement on matters falling within the scope of this Annex.
Appendix 14-A
ORGANIC PRODUCTS FROM THE UNITED KINGDOM FOR WHICH THE UNION RECOGNISES EQUIVALENCE
|
Description |
Comments |
|
Unprocessed plant products |
|
|
Live animals or unprocessed animal products |
Includes Honey |
|
Aquaculture products and seaweeds |
|
|
Processed agricultural products for use as food |
|
|
Processed agricultural products for use as feed |
|
|
Seeds and propagating material |
|
The organic products listed in this Appendix shall be unprocessed agricultural or aquaculture products produced in the United Kingdom or processed agricultural products for use as food or feed that have been processed in the United Kingdom with ingredients that have been grown in the United Kingdom or that have been imported into the United Kingdom in accordance with United Kingdom laws and regulations.
Appendix 14-B
ORGANIC PRODUCTS FROM THE UNION FOR WHICH THE UNITED KINGDOM RECOGNISES EQUIVALENCE
|
Description |
Comments |
|
Unprocessed plant products |
|
|
Live animals or unprocessed animal products |
Includes Honey |
|
Aquaculture products and seaweeds |
|
|
Processed agricultural products for use as food |
|
|
Processed agricultural products for use as feed |
|
|
Seeds and propagating material |
|
The organic products listed in this Appendix shall be unprocessed agricultural or aquaculture products produced in the Union or processed agricultural products for use as food or feed that have been processed in the Union with ingredients that have been grown in the Union or that have been imported into the Union in accordance with the Union laws and regulations.
Appendix 14-C
LAWS AND REGULATIONS ON ORGANIC PRODUCTS APPLICABLE IN THE UNITED KINGDOM ( 102 )
The following laws and regulations are applicable in the United Kingdom:
Retained Regulation (EC) No 834/2007
Retained Regulation (EC) No 889/2008
Retained Regulation (EC) No 1235/2008
The Organic Products Regulations 2009 (SI 2009/842)
Appendix 14-D
LAWS AND REGULATIONS ON ORGANIC PRODUCTS APPLICABLE IN THE UNION
The following laws and regulations are applicable in the Union:
Council Regulation (EC) No 834/2007 of 28 June 2007 on organic production and labelling of organic products and repealing Regulation (EEC) No 2092/91 ( 103 )
Commission Regulation (EC) No 889/2008 of 5 September 2008 laying down detailed rules for the implementation of Council Regulation (EC) No 834/2007 on organic production and labelling of organic products with regard to organic production, labelling and control ( 104 )
Commission Regulation (EC) No 1235/2008 of 8 December 2008 laying down detailed rules for implementation of Council Regulation (EC) No 834/2007 as regards the arrangements for imports of organic products from third countries ( 105 )
ANNEX 15
TRADE IN WINE
Article 1
Scope and definitions
Article 2
Product definitions, oenological practices and processes
Each Party shall authorise the importation and sale for consumption of wine produced in the other Party, if that wine has been produced in accordance with:
product definitions authorised in each Party under the laws and regulations referred to in Appendix 15-A;
the oenological practices established in each Party under the laws and regulations referred to in Appendix 15-A that are in accordance with the relevant OIV standards; and
oenological practices and restrictions established in each Party that are not in accordance with the relevant OIV standards, listed in Appendix 15-B.
Article 3
Certification requirements on import in the respective territories of the Parties
Article 4
Food information and lot codes
A Party shall not require any of the following dates or their equivalent to appear on the container, label, or packaging of wine:
the date of packaging;
the date of bottling;
the date of production or manufacture;
the date of expiration, use by date, use or consume by date, expire by date;
the date of minimum durability, best-by-date, best quality before date; or
the sell-by-date.
By way of derogation from point (e) of the first subparagraph, a Party may require the display of a date of minimum durability on products that on account of the addition of perishable ingredients could have a shorter date of minimum durability than would normally be expected by the consumer.
Article 5
Transitional measures
Wine which, at the date of entry into force of this Agreement, has been produced, described and labelled in accordance with the laws and regulations of a Party but in a manner that does not comply with this Annex, may continue to be labelled and placed on the market as follows:
by wholesalers or producers, for a period of two years from the entry into force of this Agreement; and
by retailers, until stocks are exhausted.
Article 6
Information exchange
The Parties shall cooperate and exchange information on any issue relevant for the implementation of this Annex within the Trade Specialised Committee on Technical Barriers to Trade.
Article 7
Review
No later than three years from the entry into force of this Agreement, the Parties shall consider further steps to facilitate trade in wine between the Parties.
Appendix 15-A
LAWS AND REGULATIONS OF THE PARTIES
Laws and regulations of the United Kingdom ( 106 )
Laws and regulations referred to in Article 2(2) concerning:
product definitions:
Retained Regulation (EU) No 1308/2013, in particular production rules in the wine sector, in accordance with Articles 75, 81 and 91, Part IV of Annex II and Part II of Annex VII to that Regulation and its implementing rules, including subsequent modifications;
Retained Commission Delegated Regulation (EU) 2019/33, in particular Articles 47, 52 to 54 and Annexes III, V and VI to that Regulation, including subsequent modifications;
Retained Regulation (EU) No 1169/2011, including subsequent modifications;
oenological practices and restrictions:
Retained Regulation (EU) No 1308/2013, in particular oenological practices and restrictions in accordance with Articles 80 and 83 and Annex VIII to that Regulation and its implementing rules, including subsequent modifications;
Retained Commission Delegated Regulation (EU) 2019/934, including subsequent modifications.
Laws and regulations of the Union:
Laws and regulations referred to in Article 2(2) concerning:
product definitions:
Regulation (EU) No 1308/2013 of the European Parliament and of the Council ( 107 ), in particular production rules in the wine sector, in accordance with Articles 75, 81 and 91, Part IV of Annex II and Part II of Annex VII to that Regulation and its implementing rules, including subsequent modifications;
Commission Delegated Regulation (EU) 2019/33 ( 108 ), in particular Articles 47, 52 to 54 and Annexes III, V and VI to that Regulation, including subsequent modifications;
Regulation (EU) No 1169/2011 of the European Parliament and of the Council ( 109 ), including subsequent modifications.
oenological practices and restrictions:
Regulation (EU) No 1308/2013, in particular oenological practices and restrictions in accordance with Articles 80 and 83 and Annex VIII to that Regulation and its implementing rules, including subsequent modifications;
Commission Delegated Regulation (EU) 2019/934 ( 110 ), including subsequent modifications.
Appendix 15-B
ADDITIONAL OENOLOGICAL PRACTICES AND RESTRICTIONS JOINTLY ACCEPTED BY THE PARTIES
(1) Concentrated grape must, rectified concentrated grape must and sucrose may be used for enrichment and sweetening under the specific and limited conditions set out in Part I of Annex VIII to Regulation (EU) No 1308/2013 and in Part I of Annex VIII to Retained Regulation (EU) No 1308/2013, subject to the exclusion of use of these products in a reconstituted form in wines covered by this Agreement.
(2) The addition of water in winemaking is not allowed, except where required on account of a specific technical necessity.
(3) Fresh lees may be used under the specific and limited conditions set out in line item 11.2 of Table 2 of Part A of Annex I to Commission Delegated Regulation (EU) 2019/934 and in line item 11.2 of Table 2 of Part A of Annex I to Retained Commission Delegated Regulation (EU) 2019/934.
Appendix 15-C
TEMPLATE FOR SELF-CERTIFICATE FOR WINE IMPORTED FROM THE [EUROPEAN UNION / UNITED KINGDOM] INTO THE [UNITED KINGDOM / EUROPEAN UNION](1)
|
1. Exporter (name and address) |
2. Serial No(2) |
|
3. Importer (name and address) |
4. Competent authority at the place of dispatch in the [European Union / United Kingdom](3) |
|
5. Customs stamp (for official [European Union / United Kingdom] use only) |
|
|
6. Means of transport and transport details(4) |
7. Place of unloading (if different from 3) |
|
8. Description of the imported product(5) |
9. Quantity in l/hl/kg |
|
10. Number of containers(6) |
|
|
11. Certificate The product described above is intended for direct human consumption and complies with the definitions and oenological practices authorised under Annex 15 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part. It has been produced by a producer who is subject to inspection and supervision by the following competent authority(7): Consignor certifying the above information(8) Identification of the consignor(9) Place, date and signature of the consignor |
|
(1) In accordance with Article 3(1) of Annex 15 to the Trade and Cooperation Agreement between the European Union European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part.
(2) Indicate the traceability number of the consignment, i.e. a serial number that identifies the consignment in the records of the exporter.
(3) Indicate full name, address and contact details of the competent authority in one of the Member States of the European Union or in the United Kingdom from which the consignment is exported that is responsible for verifying the information referred to in this certificate.
(4) Indicate transport used for delivery to the point of entry into the European Union or the United Kingdom; specify transport mode (ship, airplane, etc.), give name of the means of transport (name of ship, number of flight, etc.).
(5) Indicate the following information:
(6) A container means a receptacle for wine of less than 60 litres. The number of containers may be the number of bottles.
(7) Indicate full name, address and contact details of relevant competent authority in one of the Member States of the European Union or in the United Kingdom.
(8) Indicate full name, address and contact details of the consignor.
(9) Indicate:
ANNEX 16
ARRANGEMENT REFERRED TO IN ARTICLE 96(4) FOR THE REGULAR EXCHANGE OF INFORMATION IN RELATION TO THE SAFETY OF NON-FOOD PRODUCTS AND RELATED PREVENTIVE, RESTRICTIVE AND CORRECTIVE MEASURES
This Annex shall establish an arrangement for the regular exchange of information between the Union’s Rapid Alert System for non-food products (RAPEX), or its successor, and the United Kingdom’s database relating to market surveillance and product safety established under the General Product Safety Regulations 2005, or its successor.
In accordance with Article 96(8) of this Agreement, the arrangement shall specify the type of information to be exchanged, the modalities for the exchange and the application of confidentiality and personal data protection rules.
ANNEX 17
ARRANGEMENT REFERRED TO IN ARTICLE 96(5) FOR THE REGULAR EXCHANGE OF INFORMATION REGARDING MEASURES TAKEN ON NON-COMPLIANT NON-FOOD PRODUCTS, OTHER THAN THOSE COVERED BY ARTICLE 96(4)
This Annex shall establish an arrangement for the regular exchange of information, including the exchange of information by electronic means, regarding measures taken on non-compliant non-food products, other than those covered by Article 96(4) of this Agreement.
In accordance with Article 96(8) of this Agreement, the arrangement shall specify the type of information to be exchanged, the modalities for the exchange and the application of confidentiality and personal data protection rules.
ANNEX 18
AUTHORISED ECONOMIC OPERATORS
Article 1
Criteria for and treatment of Authorised Economic Operators
The specified criteria for qualification as an Authorised Economic Operator ("AEO") referred to in Article 110 of this Agreement, shall be established by the Parties' laws, regulations or procedures. The specified criteria, which shall be published, shall include:
the absence of any serious infringement or repeated infringements of customs legislation and taxation rules, including no record of serious criminal offences relating to the economic activity of the applicant;
the demonstration by the applicant of a high level of control of his or her operations and of the flow of goods, by means of a system of managing commercial and, where appropriate, transport records, which allows appropriate customs controls;
financial solvency which shall be deemed to be proven where the applicant has good financial standing, which enables him or her to fulfil his or her commitments, with due regard to the characteristics of the type of business activity concerned; and
appropriate security and safety standards which shall be considered as fulfilled where the applicant demonstrates that he or she maintains appropriate measures to ensure the security and safety of the international supply chain including in the areas of physical integrity and access controls, logistical processes and handling of specific types of goods, personnel and identification of his or her business partners.
The trade partnership programme referred to in Article 110 of this Agreement shall include the following treatment:
taking the AEO status granted by the other Party favourably into account in its risk assessment to reduce inspections or controls and in other security and safety-related measures;
giving priority to the inspection of consignments covered by exit or entry summary declarations lodged by an AEO, if the customs authority decides to proceed with an inspection;
taking the AEO status granted by the other Party into account with a view to treating the AEO as a secure and safe partner when assessing requirements concerning business partners for applicants under its own Programme; and
endeavouring to establish a joint business continuity mechanism to respond to disruptions in trade flows due to increases in security alerts levels, border closures and/or natural disasters, hazardous emergencies or other major incidents where priority cargos related to AEOs could be facilitated and expedited to the extent possible by the customs authorities of the Parties.
Article 2
Mutual recognition and responsibility for implementation
The trade partnership programmes concerned are:
The European Union Authorised Economic operator (security and safety) (point (b) of Article 38(2) of Regulation (EU) No 952/2013);
The United Kingdom Authorised Economic Operator programme (security and safety) (point (b) of Article 38(2) of Regulation (EU) No 952/2013, as retained in United Kingdom domestic law).
Article 3
Compatibility
The Parties shall cooperate to maintain compatibility of the standards applied to each of their trade partnership programmes with respect to the following matters:
the application process for granting the AEO status to operators;
the assessment of AEO status applications;
the granting of the AEO status; and
the managing, monitoring, suspension and re-assessment, and revocation of the AEO status.
The Parties shall ensure that their customs authorities monitor AEOs′ compliance with the relevant conditions and criteria.
Article 4
Treatment of status holders
Article 5
Exchange of information and communication
The Parties shall endeavour to communicate effectively with each other in the implementation of this Agreement. They shall exchange information and foster communication regarding their trade partnership programmes, in particular by:
providing updates on the operation and development of their trade partnership programmes in a timely manner;
engaging in mutually beneficial exchanges of information regarding supply chain security;
designating the contact points for their respective trade partnership programmes and providing the contact details for those contact points to the other Party; and
facilitating effective inter-agency communication between the European Commission's Directorate-General for Taxation and Customs Union and Her Majesty's Revenue and Customs to enhance risk management practices under their respective trade partnership programmes with respect to supply chain security on the part of AEOs.
The data to be exchanged regarding AEOs shall include:
name;
address;
status of membership;
validation or authorisation date;
suspensions and revocations;
the unique authorisation or identification number (in a form mutually determined by the customs authorities); and
other details that may be mutually determined between the customs authorities, subject, where applicable, to any necessary safeguards.
The exchange of data shall commence with the entry into force of this Agreement.
Article 6
Treatment of data
Any exchange of information between the Parties under this Annex shall be mutatis mutandis subject to the confidentiality and protection of information set out in Article 12 of the Protocol on mutual administrative assistance in customs matters.
Article 7
Consultation and review
The Trade Specialised Committee on Customs Cooperation and Rules of Origin shall review the implementation of the provisions of this Annex regularly. That review shall include:
joint validations of AEOs granted status by each Party to identify strengths and weaknesses in implementing this Annex;
exchanges of views on data to be shared and treatment of operators.
Article 8
Suspension and discontinuation
A Party may pursue the procedure set out in paragraph 2 in the event that either of the following circumstances arise:
Before or within three months of entry into force of this Agreement the other Party has made material changes to the legal provisions referred to in Article 2(2) that were assessed in order to establish that the trade partnership programmes are compatible, such that the compatibility required for recognition under Article 2(1) has ceased to exist.
The provisions under Article 5(2) are not operational.
A Party may pursue the procedure set out in paragraph 5 in the event that either of the following circumstances arise:
The other Party changes its AEO programme or its implementation of this programme such that the compatibility required for recognition under Article 2(1) has ceased to exist;
The joint validations provided for in Article 3(2) do not confirm the compatibility of the Parties' respective AEO programmes.
ANNEX 19
EXISTING MEASURES
Headnotes
1. The Schedules of the United Kingdom and the Union set out, under Articles 133, 139 and 195 of this Agreement, the reservations taken by the United Kingdom and the Union with respect to existing measures that do not conform with obligations imposed by:
Article 128 or 135 of this Agreement;
Article 136 of this Agreement;
Article 129 or 137 of this Agreement;
Article 130 or 138 of this Agreement;
Article 131 of this Agreement;
Article 132 of this Agreement; or
Article 194 of this Agreement.
2. The reservations of a Party are without prejudice to the rights and obligations of the Parties under GATS.
3. Each reservation sets out the following elements:
"sector" refers to the general sector in which the reservation is taken;
"sub-sector" refers to the specific sector in which the reservation is taken;
"industry classification" refers, where applicable, to the activity covered by the reservation according to the CPC, ISIC Rev. 3.1, or as expressly otherwise described in that reservation;
"type of reservation" specifies the obligation referred to in paragraph 1 for which a reservation is taken;
"level of government" indicates the level of government maintaining the measure for which a reservation is taken;
"measures" identifies the laws or other measures as qualified, where indicated, by the "description" element for which the reservation is taken. A "measure" cited in the "measures" element:
means the measure as amended, continued or renewed as of the date of entry into force of this Agreement;
includes any subordinate measure adopted or maintained under the authority of and consistent with the measure; and
in respect of the Schedule of the Union, includes any laws or other measures which implement a directive at Member State level; and
"description" sets out the non-conforming aspects of the existing measure for which the reservation is taken.
4. For greater certainty, if a Party adopts a new measure at a level of government different to that at which the reservation was originally taken, and this new measure effectively replaces – within the territory to which it applies – the non-conforming aspect of the original measure cited in the "measures" element, the new measure shall be deemed to constitute "modification" to the original measure within the meaning of point (c) of Article 133(1), point (c) of Article 139(1), point (c) of Article 144 and point (c) of Article 195(1) of this Agreement.
5. In the interpretation of a reservation, all elements of the reservation shall be considered. A reservation shall be interpreted in the light of the relevant obligations of the Chapters or Sections against which the reservation is taken. The "measures" element shall prevail over all other elements.
6. For the purposes of the Schedules of the United Kingdom and the Union:
"ISIC Rev. 3.1" means the International Standard Industrial Classification of All Economic Activities as set out in Statistical Office of the United Nations, Statistical Papers, Series M, No.4, ISIC Rev. 3.1, 2002;
"CPC" means the Provisional Central Product Classification (Statistical Papers, Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
7. For the purposes of the Schedules of the United Kingdom and the Union, a reservation for a requirement to have a local presence in the territory of the Union or the United Kingdom is taken against Article 136 of this Agreement, and not against Article 135 or 137 of this Agreement. Furthermore, such a requirement is not taken as a reservation against Article 129 of this Agreement.
8. A reservation taken at the level of the Union applies to a measure of the Union, to a measure of a Member State at the central level or to a measure of a government within a Member State, unless the reservation excludes a Member State. A reservation taken by a Member State applies to a measure of a government at the central, regional or local level within that Member State. For the purposes of the reservations of Belgium, the central level of government covers the federal government and the governments of the regions and the communities as each of them holds equipollent legislative powers. For the purposes of the reservations of the Union and its Member States, a regional level of government in Finland means the Åland Islands. A reservation taken at the level of the United Kingdom applies to a measure of the central government, a regional government or a local government.
9. The list of reservations below does not include measures relating to qualification requirements and procedures, technical standards and licensing requirements and procedures where they do not constitute a limitation within the meaning of Article 128, 129, 135, 136, 137 or 194 of this Agreement. These measures may include, in particular, the need to obtain a licence, to satisfy universal service obligations, to have recognised qualifications in regulated sectors, to pass specific examinations, including language examinations, to fulfil a membership requirement of a particular profession, such as membership in a professional organisation, to have a local agent for service, or to maintain a local address, or any other non-discriminatory requirements that certain activities may not be carried out in protected zones or areas. While not listed, such measures continue to apply.
10. For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, pursuant to the Treaty on the Functioning of the European Union, or any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
natural persons or residents of another Member State; or
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
11. Treatment granted to legal persons established by investors of a Party in accordance with the law of the other Party (including, in the case of the Union, the law of a Member State) and having their registered office, central administration or principal place of business within that other Party, is without prejudice to any condition or obligation, consistent with Chapter 2 of Title II of Heading One of Part Two of this Agreement, which may have been imposed on such legal person when it was established in that other Party, and which shall continue to apply.
12. The Schedules apply only to the territories of the United Kingdom and the Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
13. For greater certainty, non-discriminatory measures do not constitute a market access limitation within the meaning of Article 128, 135 or 194 of this Agreement for any measure:
requiring the separation of the ownership of infrastructure from the ownership of the goods or services provided through that infrastructure to ensure fair competition, for example in the fields of energy, transportation and telecommunications;
restricting the concentration of ownership to ensure fair competition;
seeking to ensure the conservation and protection of natural resources and the environment, including a limitation on the availability, number and scope of concessions granted, and the imposition of a moratorium or ban;
limiting the number of authorisations granted because of technical or physical constraints, for example telecommunications spectra and frequencies; or
requiring that a certain percentage of the shareholders, owners, partners, or directors of an enterprise be qualified or practice a certain profession such as lawyers or accountants.
14. With respect to financial services: Unlike foreign subsidiaries, branches established directly in a Member State by a non-European Union financial institution are not, with certain limited exceptions, subject to prudential regulations harmonised at Union level which enable such subsidiaries to benefit from enhanced facilities to set up new establishments and to provide cross-border services throughout the Union. Therefore, such branches receive an authorisation to operate in the territory of a Member State under conditions equivalent to those applied to domestic financial institutions of that Member State, and may be required to satisfy a number of specific prudential requirements such as, in the case of banking and securities, separate capitalisation and other solvency requirements and reporting and publication of accounts requirements or, in the case of insurance, specific guarantee and deposit requirements, a separate capitalisation, and the localisation in the Member State concerned of the assets representing the technical reserves and at least one third of the solvency margin.
The following abbreviations are used in the list of reservations below:
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UK |
United Kingdom |
|
EU |
European Union, including all its Member States |
|
AT |
Austria |
|
BE |
Belgium |
|
BG |
Bulgaria |
|
CY |
Cyprus |
|
CZ |
Czechia |
|
DE |
Germany |
|
DK |
Denmark |
|
EE |
Estonia |
|
EL |
Greece |
|
ES |
Spain |
|
FI |
Finland |
|
FR |
France |
|
HR |
Croatia |
|
HU |
Hungary |
|
IE |
Ireland |
|
IT |
Italy |
|
LT |
Lithuania |
|
LU |
Luxembourg |
|
LV |
Latvia |
|
MT |
Malta |
|
NL |
The Netherlands |
|
PL |
Poland |
|
PT |
Portugal |
|
RO |
Romania |
|
SE |
Sweden |
|
SI |
Slovenia |
|
SK |
Slovak Republic |
Schedule of the Union
Reservation No. 1 - All sectors
|
Sector: |
All sectors |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Performance requirements Senior management and boards of directors Obligations for legal services |
|
Chapter/Section: |
Investment liberalisation; Cross-border trade in services and Regulatory framework for legal services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Type of establishment
With respect to Investment liberalisation – National treatment and Regulatory framework for legal services – Obligations:
Treatment less favourable may be accorded to legal persons formed in accordance with the law of the Union or of a Member State which have only their registered office in the Union, unless it can be shown that they possess an effective and continuous link with the economy of one of the Member States.
Measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
The EU (applies also to the regional level of government): Any Member State, when selling or disposing of its equity interests in, or the assets of, an existing state enterprise or an existing governmental entity providing health, social or education services (CPC 93, 92), may prohibit or impose limitations on the ownership of such interests or assets, and/or restrict the ability of owners of such interests and assets to control any resulting enterprise, with respect to investors of the United Kingdom or their enterprises. With respect to such a sale or other disposition, any Member State may adopt or maintain any measure relating to the nationality of senior management or members of the boards of directors, as well as any measure limiting the number of suppliers.
For the purposes of this reservation:
any measure maintained or adopted after the date of entry into force of this Agreement that, at the time of the sale or other disposition, prohibits or imposes limitations on the ownership of equity interests or assets or imposes nationality requirements or imposes limitations on the numbers of suppliers as described in this reservation shall be deemed to be an existing measure; and
"state enterprise" means an enterprise owned or controlled through ownership interests by any Member State and includes an enterprise established after the date of entry into force of this Agreement solely for the purposes of selling or disposing of equity interests in, or the assets of, an existing state enterprise or governmental entity.
Measures:
With respect to Investment liberalisation – National Treatment and Regulatory framework for legal services – Obligations
In AT: For the operation of a branch, non-European Economic Area (non-EEA) corporations must appoint at least one person responsible for its representation who is resident in Austria.
Executives (managing directors, natural persons) responsible for the observance of the Austrian Trade Act (Gewerbeordnung) must be domiciled in Austria.
In BG: Foreign legal persons, unless established under the legislation of a Member State of the European Economic Area (EEA), may conduct business and pursue activities if established in the Republic of Bulgaria in the form of a company registered in the Commercial Register. Establishment of branches is subject to authorisation.
Representative offices of foreign enterprises are to be registered with Bulgarian Chamber of Commerce and Industry and may not engage in economic activity but are only entitled to advertise their owner and act as representatives or agents.
In EE: If the residence of at least half of the members of the management board of a private limited company, a public limited company or a branch is not in Estonia, in another Member State of the EEA or in the Swiss Confederation, the private limited company, the public limited company or the foreign company shall appoint a point of contact whose Estonian address can be used for the delivery of the procedural documents of the undertaking and the declarations of intent addressed to the undertaking (i.e. the branch of a foreign company).
With respect to Investment liberalisation – National treatment; Cross-border trade in services – Market access and Regulatory framework for legal services – Obligations:
To carry on trade as a private entrepreneur, residency in the EEA is required.
If a foreign organisation from a country outside the EEA intends to carry on a business or trade by establishing a branch in Finland, a trade permit is required.
Residency in the EEA is required for at least one of the ordinary and one of the deputy members of the board of directors and for the managing director. Company exemptions may be granted by the registration authority.
In SE: A foreign company, which has not established a legal entity in Sweden or is conducting its business through a commercial agent, shall conduct its commercial operations through a branch, registered in Sweden, with independent management and separate accounts. The managing director and the vice-managing director, if appointed, of the branch, must reside in the EEA. A natural person not resident in the EEA, who conducts commercial operations in Sweden, shall appoint and register a resident representative responsible for the operations in Sweden. Separate accounts shall be kept for the operations in Sweden. The competent authority may in individual cases grant exemptions from the branch and residency requirements. Building projects with duration of less than a year, conducted by a company located or a natural person residing outside the EEA, are exempted from the requirements of establishing a branch or appointing a resident representative.
For limited liability companies and co-operative economic associations, at least 50 per cent of the members of the board of directors, at least 50 per cent of the deputy board members, the managing director, the vice-managing director, and at least one of the persons authorised to sign for the company, if any, must reside within the EEA. The competent authority may grant exemptions from this requirement. If none of the company's or society's representatives reside in Sweden, the board must appoint and register a person resident in Sweden, who has been authorised to receive servings on behalf of the company or society.
Corresponding conditions prevail for establishment of all other types of legal entities.
In SK: A foreign natural person whose name is to be registered in the appropriate register (Commercial register, Entrepreneurial or other professional register) as a person authorised to act on behalf of an entrepreneur is required to submit a residence permit for Slovakia.
Measures:
With respect to Investment liberalisation – Market Access, National Treatment, Performance requirements and Regulatory framework for legal services – Obligations:
For highly qualified, seasonal and posted workers, as well as for intra-corporate transferees, researchers and students there is no limitation on the number of third country nationals working for a single enterprise. For the employment of third country nationals in these categories, no labour market test is required.
Measures:
With respect to Investment liberalisation – Market access, National treatment:
Measures:
(b) Acquisition of real estate
With respect to Investment liberalisation – National treatment:
For legal persons that are not registered in Denmark, acquisition of real property will in general be permitted, if the acquisition is a prerequisite for the business activities of the purchaser. Permission is also required if the applicant is going to use the real property as a secondary dwelling. Such permission will only be granted if the applicant through an overall and concrete assessment is regarded to have particular strong ties to Denmark.
Permission under the Acquisition Act is only granted for the acquisition of a specific real property. The acquisition of agricultural land by natural or legal persons is in addition governed by the Danish Agricultural Holdings Act, which imposes restrictions on all persons, Danish or foreign, when acquiring agricultural property. Accordingly, any natural or legal person, who wishes to acquire agricultural real property, must fulfil the requirements in this Act. This generally means a limited residence requirement on the agricultural holding applies. The residence requirement is not personal. Legal entities must be of the types listed in §20 and §21 of the act and must be registered in the Union (or EEA).
In EE: A legal person from an OECD Member State has the right to acquire an immovable which contains:
less than ten hectares of agricultural land, forest land or agricultural and forest land in total without restrictions.
ten hectares or more of agricultural land if the legal person has been engaged, for three years immediately preceding the year of making the transaction of acquisition of the immovable, in production of agricultural products listed in Annex I to the Treaty on the Functioning of the European Union, except fishery products and cotton (hereinafter agricultural product).
ten hectares or more of forest land if the legal person has been engaged, for three years immediately preceding the year of making the transaction of acquisition of the immovable, in forest management within the meaning of the Forest Act (hereinafter forest management) or production of agricultural products.
less than ten hectares of agricultural land and less than ten hectares of forest land, but ten hectares or more of agricultural and forest land in total, if the legal person has been engaged, for three years immediately preceding the year of making the transaction of acquisition of the immovable, in production of agricultural products or forest management.
If a legal person does not meet the requirements provided for in (ii)–(iv), the legal person may acquire an immovable which contains ten hectares or more of agricultural land, forest land or agricultural and forest land in total only with the authorisation of the council of the local government of the location of the immovable to be acquired.
Restrictions on acquiring immovable property apply in certain geographical areas for non-EEA nationals.
In EL: Real estate acquisition or tenancy in the border regions is prohibited to natural or legal persons whose nationality or base is outside the Member States and the European Free Trade Association. The ban may be lifted with a discretionary decision taken by a committee of the appropriate Decentralized Administration (or the Minister of National Defense in case the properties to be exploited belong to the Fund for the Exploitation of Private Public Property).
In HR: Foreign companies are only allowed to acquire real estate for the supply of services if they are established and incorporated in Croatia as legal persons. Acquisition of real estate necessary for the supply of services by branches requires the approval of the Ministry of Justice. Agricultural land cannot be acquired by foreigners.
In MT: Non-nationals of a Member State may not acquire immovable property for commercial purposes. Companies with 25 per cent (or more) of non-European Union shareholding must obtain an authorisation from the competent authority (Minister responsible for Finance) to buy immovable property for commercial or business purposes. The competent authority will determine whether the proposed acquisition represents a net benefit to the Maltese economy.
In PL: The acquisition of real estate, direct and indirect, by foreigners requires a permit. A permit is issued through an administrative decision by a minister competent in internal affairs, with the consent of the Minister of National Defence, and in the case of agricultural real estate, also with the consent of the Minister of Agriculture and Rural Development.
Measures:
With respect to Investment liberalisation – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment:
if more than 50 per cent of their equity capital is owned by nationals of Member States, the Latvian Government or a municipality, separately or in total;
if more than 50 per cent of their equity capital is owned by natural persons and companies of third country with whom Latvia has concluded bilateral agreements on promotion and reciprocal protection of investments and which have been approved by the Latvian Parliament before 31 December 1996;
if more than 50 per cent of their equity capital is possessed by natural persons and companies of third country with whom Latvia has concluded bilateral agreements on promotion and reciprocal protection of investments after 31 December 1996, if in those agreements the rights of Latvian natural persons and companies on acquisition of land in the respective third country have been determined;
if more than 50 per cent of their equity capital is possessed jointly by persons referred to in points (i) to (iii); or
which are public joint stock companies, if their shares thereof are quoted in the stock exchange.
Where the United Kingdom allows Latvian nationals and enterprises to purchase urban real estate in their territories, Latvia will allow nationals and enterprises of the United Kingdom to purchase urban real estate in Latvia under the same conditions as Latvian nationals.
Measures:
With respect to Investment liberalisation - National treatment, Most-favoured-nation treatment:
Measures:
Reservation No. 2 - Professional services (except health-related professions)
|
Sector – sub-sector: |
Professional services – legal services; patent agent, industrial property agent, intellectual property attorney; accounting and bookkeeping services; auditing services, taxation advisory services; architecture and urban planning services, engineering services and integrated engineering services |
|
Industry classification: |
CPC 861, 862, 863, 8671, 8672, 8673, 8674, part of 879 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Local presence Obligations for legal Services |
|
Chapter/Section: |
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Legal services (part of CPC 861) ( 112 )
With respect to Investment liberalisation – Market access – and Regulatory framework for legal services – Obligations
In EU: Specific non-discriminatory legal form requirements apply in each Member State.
(i) Designated legal services supplied under the home professional title (part of CPC 861 – legal advisory, arbitration, conciliation and mediation services with regard to home-jurisdiction and international law governed by Section 7 of Chapter 5 of Title II of Heading One of Part Two of this Agreement).
For greater certainty, consistent with the Headnotes, in particular paragraph 9, requirements to register with a Bar may include a requirement to have completed some training under the supervision of a licensed lawyer, or to have an office or a postal address within the jurisdiction of a specific Bar in order to be eligible to apply for membership in that Bar. Some Member States may impose the requirement of having the right to practise host-jurisdiction law on those natural persons holding certain positions within a law firm/company/enterprise or for shareholders.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Market access and Regulatory framework for legal services – Obligations:
Equity participation and shares in the operating result of any law firm by foreign lawyers (who must be fully qualified in their home-jurisdiction) is allowed up to 25 per cent; the rest must be held by fully qualified EEA or Swiss lawyers and only the latter may exercise decisive influence in the decision making of the law firm.
In BE: (with respect also to Most-favoured-nation treatment) Foreign lawyers may practise as legal consultants. Lawyers who are members of foreign (non-EU) Bars and want to establish in Belgium but do not meet the conditions for registration on the Tableau of fully qualified lawyers, on the EU-list or on the List of Trainee Lawyers, may request registration on the so-called "B-List". Only at the Brussels Bar there exists such a "B-List". A lawyer on the B-list is allowed to supply designated legal services.
In BG: (with respect also to Most-favoured-nation treatment): Permanent residency is required for legal mediation services. A mediator may be only a person who has been entered in the Uniform Register of Mediators with the Minister of Justice.
In Bulgaria, full national treatment on the establishment and operation of companies, as well as on the supply of services, may be extended only to companies established in, and citizens of, countries with whom bilateral agreements on mutual legal assistance have been or will be concluded.
In CY: EEA or Swiss nationality as well as residency (commercial presence) is required. Only advocates enrolled in the Bar may be partners or shareholders or members of the board of directors in a law company in Cyprus.
In CZ: For foreign lawyers residence (commercial presence) is required.
In DE: For foreign lawyers (with other than EEA and Swiss qualification) there may be restrictions for holding shares of a lawyers company which provides legal services in host-jurisdiction law.
In DK: Without prejudice to the EU reservation above, shares of a law firm can only be owned by advocates who actively practise law in the firm, its parent company or its subsidiary company, other employees in the firm, or another law firm registered in Denmark. Other employees in the firm may collectively only own less than 10 per cent of the shares and of the voting rights, and in order to be shareholders they must pass an exam on the rules of particular importance for the practice of law.
Only advocates who actively practise law in the firm, its parent company or its subsidiary company, other shareholders, and representatives of employees, may be members of the board. The majority of the members of the board must be advocates who actively practise law in the firm, its parent company or its subsidiary company. Only advocates who actively practise law in the firm, its parent company or its subsidiary company, and other shareholders having passed the exam mentioned above, may be a director of the law firm.
In ES: Professional address is required in order to provide designated legal services.
In FR, Residency or establishment in the EEA is required to practise on a permanent basis. Without prejudice to the EU reservation above: For all lawyers, company must take one of the following legal forms authorised under French law on a non-discriminatory basis: SCP (société civile professionnelle), SEL (société d'exercice libéral), SEP (société en participation), SARL (société à responsabilité limitée), SAS (société par actions simplifiée), SA (société anonyme), SPE (société pluriprofessionnelle d'exercice) and "association", under certain conditions. Shareholders, directors and partners may be subject to specific restrictions related to their professional activity.
In HR: Only a lawyer who has the Croatian title of lawyer can establish a law firm (UK firms can establish branches, which may not employ Croatian lawyers).
In HU: A cooperation contract concluded with a Hungarian attorney (ügyvéd) or law firm (ügyvédi iroda) is required. A foreign legal adviser cannot be a member of a Hungarian law firm. A foreign lawyer is not authorized for the preparation of documents to be submitted to, or act as the client's legal representative before an arbitrator, conciliator or mediator in any dispute.
In PT (with respect also to Most-favoured-nation treatment): Foreigners holding a diploma awarded by any Faculty of Law in Portugal, may register with the Portuguese Bar (Ordem dos Advogados), under the same terms as Portuguese nationals, if their respective country grants Portuguese nationals reciprocal treatment.
Other foreigners holding a Degree in Law which has been acknowledged by a Faculty of Law in Portugal may register as members of the Bar Association provided they undergo the required training and pass the final assessment and admission exam.
Legal consultation is allowed by jurists, provided they have their professional residence ("domiciliação") in PT, pass an admission exam and are registered in the Bar.
In RO: A foreign lawyer may not make oral or written conclusions before the courts and other judicial bodies, except for international arbitration.
In SE: (with respect also to Most-favoured-nation treatment) Without prejudice to the EU reservation above: A member of the Swedish Bar Association may not be employed by anyone other than a Bar member or a company conducting the business of a Bar member. However, a Bar member may be employed by a foreign company conducting the business of an advocate, provided that the company in question is domiciled in a country within the Union, the EEA or the Swiss Confederation. Subject to an exemption from the Board of the Swedish Bar Association, a member of the Swedish Bar Association may also be employed by a non-European Union law firm.
Bar members conducting their practice in the form of a company or a partnership may not have any other objective and may not carry out any other business than the practice of an advocate. Collaboration with other advocate businesses is permitted, however, collaboration with foreign businesses requires permission by the Board of the Swedish Bar Association. Only a Bar member may directly or indirectly, or through a company, practise as an advocate, own shares in the company or be a partner. Only a member may be a member or deputy member of the Board or deputy managing director, or an authorised signatory or secretary of the company or the partnership.
In SI: (with respect also to Most-favoured-nation treatment) A foreign lawyer who has the right to practise home-jurisdiction law may supply legal services or practise law under the conditions laid down in Article 34a of the Attorneys Act, provided the condition of actual reciprocity is fulfilled. Without prejudice to the EU reservation on non-discriminatory legal form requirements, commercial presence for appointed attorneys by the Slovene Bar Association is restricted to sole proprietorship, law firm with limited liability (partnership) or to a law firm with unlimited liability (partnership) only. The activities of a law firm shall be restricted to the practice of law. Only attorneys may be partners in a law firm.
In SK: For non-EU lawyers actual reciprocity is required.
(ii) Other legal services (host-jurisdiction law including legal advisory, arbitration, conciliation and mediation services and legal representational services).
For greater certainty, consistent with the Headnotes, in particular paragraph 9, requirements to register with a Bar may include a requirement to have obtained a law degree in the host jurisdiction or its equivalent, or to have completed some training under the supervision of a licensed lawyer, or to have an office or a postal address within the jurisdiction of a specific Bar in order to be eligible to apply for membership in that Bar.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
Equity participation and shares in the operating result of any law firm by foreign lawyers (who must be fully qualified in their home-jurisdiction) is allowed up to 25 per cent; the rest must be held by fully qualified EEA or Swiss lawyers and only the latter may exercise decisive influence in the decision making of the law firm.
In BE: (with respect also to Most-favoured-nation treatment) Residency is required for full admission to the Bar, including for representation before courts. The residency requirement for a foreign lawyer to obtain full admission to the Bar is at least six years from the date of application for registration, three years under certain conditions. Requirement to have a certificate issued by the Belgian Minister of Foreign Affairs under which the national law or international convention allows reciprocity (reciprocity condition).
Foreign lawyers may practise as legal consultants. Lawyers who are members of foreign (non-EU) Bars and want to establish in Belgium but do not meet the conditions for registration on the Tableau of fully qualified lawyers, on the EU-list or on the List of Trainee Lawyers, may request registration on the so-called "B-List". Only at the Brussels Bar there exists such a "B-List". A lawyer on the B-list is allowed to give advice. Representation before "the Cour de Cassation" is subject to nomination on a specific list.
In BG: (with respect also to Most-favoured-nation treatment) Reserved to nationals of a Member State, of another State which is a party to the Agreement on the EEA, or of the Swiss Confederation who has been granted authorisation to pursue the profession of lawyer according to the legislation of any of the aforementioned countries. A foreign national (except for the above mentioned) who has been authorised to pursue the profession of lawyer in accordance with the legislation of his or her own country, may appeal before judicial bodies of the Republic of Bulgaria as defence-counsel or mandatary of a national of his or her own country, acting on a specific case, together with a Bulgarian attorney-at-law, in cases where this has been envisaged in an agreement between the Bulgarian and the respective foreign state, or on the basis of mutuality, making a preliminary request to this effect to the Chairperson of the Supreme Bar Council. Countries, in respect of which mutuality exists, shall be designated by the Minister of Justice, upon request of the Chairperson of the Supreme Bar Council. In order to provide legal mediation services, a foreign national must have a permit for long-term or permanent residence in the Republic of Bulgaria and has been entered in the Uniform Register of Mediators with the Minister of Justice.
In CY: EEA or Swiss nationality as well as residency (commercial presence) is required. Only advocates enrolled in the Bar may be partners or shareholders or members of the board of directors in a law company in Cyprus.
In CZ: For foreign lawyers full admission to the Czech Bar Association and residence (commercial presence) is required.
In DE: Only lawyers with EEA or Swiss qualification may be admitted to the Bar and are thus entitled to provide legal services. Commercial presence is required in order to obtain full admission to the Bar. Exemptions may be granted by the competent bar association. For foreign lawyers (with other than EEA and Swiss qualification) there may be restrictions for holding shares of a lawyers company which provides legal services in domestic law.
In DK: Legal services provided under the title "advokat" (advocate) or any similar title, as well as representation before the courts, is reserved for advocates with a Danish license to practise. EU, EEA and Swiss advocates may practise under the title of their country of origin.
Without prejudice to the EU reservation on non-discriminatory legal form requirements, shares of a law firm can only be owned by advocates who actively practise law in the firm, its parent company or its subsidiary company, other employees in the firm, or another law firm registered in Denmark. Other employees in the firm may collectively only own less than 10 per cent of the shares and of the voting rights, and in order to be shareholders they must pass an exam on the rules of particular importance for the practice of law.
Only advocates who actively practise law in the firm, its parent company or its subsidiary company, other shareholders, and representatives of employees, may be members of the board. The majority of the members of the board must be advocates who actively practise law in the firm, its parent company or its subsidiary company. Only advocates who actively practise law in the firm, its parent company or its subsidiary company, and other shareholders having passed the exam mentioned above, may be a director of the law firm.
In EE: Residency (commercial presence) is required.
In EL: EEA or Swiss nationality and residency (commercial presence) is required
In ES: EEA or Swiss nationality is required. The competent authorities may grant nationality waivers.
In FI: EEA or Swiss residency and Bar membership is required for the use of the professional title of "advocate" (in Finnish "asianajaja" or in Swedish "advokat"). Legal services may also be provided by non-Bar members.
In FR: Without prejudice to the EU reservation on non-discriminatory legal form requirements, residency or establishment in the EEA is required for full admission to the Bar, necessary for the practice of legal services. In a law firm, shareholding and voting rights may be subject to quantitative restrictions related to the professional activity of the partners. Representation before "the Cour de Cassation" and "Conseil d'Etat" is subject to quotas and reserved for FR and EU nationals.
For all lawyers, company must take one of the following legal forms authorised under French law on a non-discriminatory basis: SCP (société civile professionnelle), SEL (société d'exercice libéral), SEP (société en participation), SARL (société à responsabilité limitée), SAS (société par actions simplifiée), SA (société anonyme), SPE (société pluriprofessionnelle d'exercice) and "association", under certain conditions. Residency or establishment in the EEA is required to practise on a permanent basis.
In HR: European Union nationality is required.
In HU: EEA or Swiss nationality and residency (commercial presence) is required.
In LT: (With respect also to Most-favoured-nation treatment) EEA or Swiss nationality and residency (commercial presence) is required.
Attorneys from foreign countries can practise as advocates in court only in accordance with international agreements, including specific provisions regarding representation before courts. Full admission to the Bar is required.
In LU (with respect also to Most-favoured-nation treatment): EEA or Swiss nationality and residency (commercial presence) is required. The Council of the Order may, on the basis of reciprocity, agree to waive the nationality requirement for a foreign national.
In LV (with respect also to Most-favoured-nation treatment): EEA or Swiss nationality is required. Attorneys from foreign countries can practise as advocates in court only in accordance with bilateral agreements on mutual legal assistance.
For European Union or foreign advocates, special requirements exist. For example, participation in court proceedings in criminal cases is only permitted in association with an advocate of the Latvian Collegium of Sworn Advocates.
In MT: EEA or Swiss nationality as well as residency (commercial presence) is required.
In NL: Only locally-licensed lawyers registered in the Dutch registry can use the title "advocate". Instead of using the full term "advocate", (non-registered) foreign lawyers are obliged to mention their home-jurisdiction professional organisation for the purposes of their activities in the Netherlands.
In PT (with respect also to Most-favoured-nation treatment): residency (commercial presence) is required. For representation before courts, full admission to the Bar is required. Foreigners holding a diploma awarded by any Faculty of Law in Portugal, may register with the Portuguese Bar (Ordem dos Advogados), under the same terms as Portuguese nationals, if their respective country grants Portuguese nationals reciprocal treatment.
Other foreigners holding a Degree in Law which has been acknowledged by a Faculty of Law in Portugal may register as members of the Bar Association provided they undergo the required training and pass the final assessment and admission exam. Only law firms where the shares belong exclusively to lawyers admitted to the Portuguese Bar can practise in Portugal.
In RO: A foreign lawyer may not make oral or written conclusions before the courts and other judicial bodies, except for international arbitration.
In SE: (with respect also to Most-favoured-nation treatment) EEA or Swiss residency is required for admission to the Bar and use of the title of "advokat". Exemptions may be granted by the board of the Swedish Bar Association. Admission to the Bar is not necessary for the practice of Swedish law.
Without prejudice to the EU reservation on non-discriminatory legal form requirements, a member of the Swedish Bar Association may not be employed by anyone other than a Bar member or a company conducting the business of a Bar member. However, a Bar member may be employed by a foreign company conducting the business of an advocate, provided that the company in question is domiciled in a country within the EEA or the Swiss Confederation. Subject to an exemption from the Board of the Swedish Bar Association, a member of the Swedish Bar Association may also be employed by a non-European Union law firm.
Bar members conducting their practice in the form of a company or a partnership may not have any other objective and may not carry out any other business than the practice of an advocate. Collaboration with other advocate businesses is permitted, however, collaboration with foreign businesses requires permission by the Board of the Swedish Bar Association. Only a Bar member may directly or indirectly, or through a company, practise as an advocate, own shares in the company or be a partner. Only a member may be a member or deputy member of the Board or deputy managing director, or an authorised signatory or secretary of the company or the partnership.
In SI: (with respect also to Most-favoured-nation treatment) Representing clients before the court against payment is conditioned by commercial presence in Republic of Slovenia. A foreign lawyer who has the right to practise home-jurisdiction law may perform legal services or practise law under the conditions laid down in Article 34a of the Attorneys Act, provided the condition of actual reciprocity is fulfilled.
Without prejudice to the EU reservation on non-discriminatory legal form requirements, commercial presence for appointed attorneys by the Slovene Bar Association is restricted to sole proprietorship, law firm with limited liability (partnership) or to a law firm with unlimited liability (partnership) only. The activities of a law firm shall be restricted to the practice of law. Only attorneys may be partners in a law firm.
In SK: (with respect also to Most-favoured-nation treatment) EEA nationality as well as residency (commercial presence) is required for the practice of legal services in respect of host-jurisdiction law, including representation before courts. For non-EU lawyers actual reciprocity is required.
Measures:
With respect to Investment liberalisation - Market access, National treatment:
Measures:
With respect to Cross-Border Trade in Services – Market access
Measures:
(b) Patent agents, industrial property agents, intellectual property attorneys (part of CPC 879, 861, 8613)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
Foreign (other than EEA and Swiss) patent lawyers may have their commercial presence only in the form of a Patentanwalts-GmbH or Patentanwalts-AG by acquiring a minority share.
In EE: Estonian or EU nationality as well as permanent residency is required for the practice of patent agency services.
In ES and PT: EEA nationality is required for the practice of industrial property agent services.
In FR: To be registered on the industrial property agent services list, establishment or residency in the EEA is required. EEA nationality is required for natural persons. To represent a client in front of the national intellectual property office, establishment in the EEA is required. Provision only through SCP (société civile professionnelle), SEL (société d'exercice libéral) or any other legal form, under certain conditions. Irrespective of the legal form, more than half of shares and voting rights must be held by EEA professionals. Law firms may be entitled to provide industrial property agent services (see reservation for legal services).
With respect to Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National Treatment, Local presence:
Measures:
(c) Accounting and bookkeeping services (CPC 8621 other than auditing services, 86213, 86219, 86220)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
(d) Auditing services (CPC – 86211, 86212 other than accounting and bookkeeping services)
With respect to Investment liberalisation – National treatment, Most-favoured nation treatment and Cross-border trade in services – National treatment, Most-favoured nation treatment:
Measures:
With respect to Investment liberalisation – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment, and Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Legal form requirements apply.
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – National treatment, Local presence:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment:
Measures:
With respect to Investment liberalisation – National treatment, Most-favoured nation treatment and Cross-border trade in services – Local presence:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
(e) Taxation advisory services (CPC 863, not including legal advisory and legal representational services on tax matters, which are to be found legal services)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
Measures:
Independent Financial Audit Act; Income Taxes on Natural Persons Act; and Corporate Income Tax Act.
With respect to Cross-border trade in services – Local presence:
Measures:
(f) Architecture and urban planning services, engineering and integrated engineering services (CPC 8671, 8672, 8673, 8674)
With respect to Investment liberalisation – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
With respect to Cross-border trade in services – Market access, National treatment:
Measures:
Reservation No. 3 - Professional services (health related and retail of pharmaceuticals)
|
Sector – sub-sector: |
Professional services – medical (including psychologists) and dental services; midwives, nurses, physiotherapists and paramedical personnel; veterinary services; retail sales of pharmaceutical, medical and orthopaedic goods and other services provided by pharmacists |
|
Industry classification: |
CPC 9312, 93191, 932, 63211 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Local presence |
|
Chapter/Section: |
Investment Liberalisation and Cross-Border Trade in Services |
Description:
(a) Medical, dental, midwives, nurses, physiotherapists and para-medical services (CPC 852, 9312, 93191)
With respect to Investment liberalisation – National treatment, Most favoured nation treatment and Cross-border trade in services – National treatment, Most favoured nation treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market Access, National treatment, Local presence:
Measures:
With respect to Investment liberalisation – Market Access and Cross-border trade in services – Market access, Local presence:
Doctors (including psychologists, psychotherapists, and dentists) need to register with the regional associations of statutory health insurance physicians or dentists (kassenärztliche or kassenzahnärztliche Vereinigungen), if they wish to treat patients insured by the statutory sickness funds. This registration can be subject to quantitative restrictions based on the regional distribution of doctors. For dentists this restriction does not apply. Registration is necessary only for doctors participating in the public health scheme. Non-discriminatory restrictions on the legal form of establishment required to provide these services may exist (§ 95 SGB V).
For midwives services, access is restricted to natural persons only. For medical and dental services, access is possible for natural persons, licensed medical care centres and mandated bodies. Establishment requirements may apply.
Regarding telemedicine, the number of ICT (information and communications technology) - service suppliers may be limited to guarantee interoperability, compatibility and necessary safety standards. This is applied in a non-discriminatory way (CPC 9312, 93191).
Measures:
Regional level:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, Local presence:
Measures:
With respect to Investment liberalisation – Market access:
Measures:
(b) Veterinary services (CPC 932)
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment, Most-favoured nation treatment:
Other legal forms of company provided for by French domestic law or the law of another Member State of the EEA and having their registered office, central administration or principal place of business therein may be authorised, under certain conditions.
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
Measures:
With respect to Cross-border trade in services – Local presence:
With respect to Investment liberalisation – Market acces, and Cross-border trade in services –Market access:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
Measures:
(c) Retail sales of pharmaceuticals, medical and orthopaedic goods and other services provided by pharmacists (CPC 63211)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
Measures:
With respect to Investment liberalisation – Market Access, National Treatment:
Foreign pharmacists may be permitted to establish within annually established quotas. Pharmacy opening must be authorised and commercial presence including sale at a distance of medicinal products to the public by means of information society services, must take one of the legal forms which are allowed under national law on a non-discriminatory basis: société d'exercice libéral (SEL) anonyme, par actions simplifiée, à responsabilité limitée unipersonnelle or pluripersonnelle, en commandite par actions, société en noms collectifs (SNC) or société à responsabilité limitée (SARL) unipersonnelle or pluripersonnelle only.
Measures:
With respect to Investment liberalisation – National Treatment:
Measures:
With respect to Investment liberalisation – Market access:
Measures:
SI Pharmacy Services Act (Official Gazette of the RS No. 85/2016, 77/2017, 73/2019); and Medicinal Products Act (Official Gazette of the RS, No. 17/2014, 66/2019).
With respect to Investment liberalisation – Market Access, National treatment, Most-Favoured Nation treatment and Cross-border trade in services – Market access, National treatment:
Establishment authorisation is subject to an economic needs test. Main criteria: population and density conditions in the area.
Measures:
With respect to Investment liberalisation – Market Access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access and Cross-border services – Market access:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border services – Local presence:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
Reservation No. 4 - Research and development services
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Sector – sub-sector: |
Research and development (R&D) services |
|
Industry classification: |
CPC 851, 853 |
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
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Level of government: |
EU/Member State (unless otherwise specified) |
Description:
The EU: For publicly funded research and development (R&D) services benefitting from funding provided by the Union at the Union level, exclusive rights or authorisations may only be granted to nationals of the Member States and to legal persons of the Union having their registered office, central administration or principal place of business in the Union (CPC 851, 853).
For publicly funded R&D services benefitting from funding provided by a Member State exclusive rights or authorisations may only be granted to nationals of the Member State concerned and to legal persons of the Member State concerned having their headquarters in that Member State (CPC 851, 853).
This reservation is without prejudice to Part Five of this Agreement and to the exclusion of procurement by a Party or subsidies, in Article 123(6) and (7) of this Agreement.
Measures:
Reservation No. 5 - Real estate services
|
Sector – sub-sector: |
Real estate services |
|
Industry classification: |
CPC 821, 822 |
|
Type of reservation: |
Market access National treatment Most-favoured nation treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Local presence:
The Act on the sale of real estate is only applicable when providing real estate services to consumers. The Act on the sale of real estate does not apply to the leasing of real estate (CPC 822).
Measures:
With respect to Cross-border trade in services – Market access, National treatment, Most-favoured-nation treatment:
Measures:
Reservation No. 6 - Business services
|
Sector – sub-sector: |
Business services - rental or leasing services without operators; services related to management consulting; technical testing and analyses; related scientific and technical consulting services; services incidental to agriculture; security services; placement services; translation and interpretation services and other business services |
|
Industry classification: |
ISIC Rev. 37, part of CPC 612, part of 621, part of 625, 831, part of 85990, 86602, 8675, 8676, 87201, 87202, 87203, 87204, 87205, 87206, 87209, 87901, 87902, 87909, 88, part of 893 |
|
Type of reservation: |
Market access National treatment Most-favoured nation treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Rental or leasing services without operators (CPC 83103, CPC 831)
With respect to Investment liberalisation – Market access, National treatment:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
(b) Rental or leasing services and other business services related to aviation
With respect to Investment liberalisation - Market access, National treatment, Most-favoured nation treatment, and Cross-border trade in services - Market access, National treatment, Most-favoured-nation treatment:
With respect to computer reservation system (CRS) services, where Union air carriers are not accorded, by CRS services suppliers operating outside the Union, equivalent (meaning non-discriminatory) treatment to the treatment provided by Union CRS service suppliers to air carriers of a third country in the Union, or where Union CRS services suppliers are not accorded, by non-Union air carriers, equivalent treatment to the treatment provided by air carriers in the Union to CRS service suppliers of a third country, measures may be taken to accord the equivalent discriminatory treatment, respectively, to the non-Union air carriers by the CRS services suppliers operating in the Union, or to the non-Union CRS services suppliers by Union air carriers.
Measures:
With respect to Investment liberalisation - National treatment and Cross-border trade in services - Market access, National treatment
Authorisation procedures for aerial fire-fighting, flight training, spraying, surveying, mapping, photography, and other airborne agricultural, industrial and inspection services.
Measures:
(c) Services related to management consulting – arbitration and conciliation services (CPC 86602)
With respect to Cross-border trade in services –National treatment, Local presence:
Measures:
(d) Technical testing and analysis services (CPC 8676)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
For the periodical inspection for proof of technical condition of road transport vehicles, the person should be registered in accordance with the Bulgarian Commercial Act or the Non-Profit Legal Persons Act, or else be registered in another Member State of the EEA.
The testing and analysis of the composition and purity of air and water may be conducted only by the Ministry of Environment and Water of Bulgaria, or its agencies in co-operation with the Bulgarian Academy of Sciences.
Measures:
With respect to Investment liberalisation – National treatment, Most-favoured-nation treatment and Cross-border trade in services –National treatment, Most-favoured-nation treatment, Local presence:
Measures:
(e) Related scientific and technical consulting services (CPC 8675)
With respect to Investment liberalisation – National treatment, Most-favoured nation treatment and Cross-border trade in services –National treatment, Most-favoured-nation treatment, Local presence:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
Measures:
With respect to Investment liberalisation – National Treatment and Cross-border trade in services – National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services –National treatment, Local presence:
Measures:
(f) Services incidental to agriculture (part of CPC 88)
With respect to Investment liberalisation –National treatment and Cross-border trade in services – National treatment, Most-favoured-nation treatment, Local presence:
Measures:
With respect to Investment liberalisation – Market access, Most-favoured-nation treatment and Cross-border trade in services – Market access, Most-favoured-nation treatment:
Measures:
(g) Security Services (CPC 87302, 87303, 87304, 87305, 87309)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
A nationality requirement exists for specialised personnel.
Measures:
With respect to Investment liberalisation – National treatment, Most-Favoured Nation treatment and Cross-border trade in services – Local presence:
Residence is also required for managers and the majority of members of the board of a legal entity applying for an authorisation to conduct security services. However, residence for management and boards of directors is not required to the extent it follows from international agreements or orders issued by the Minister for Justice.
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
(h) Placement Services (CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment (applies to the regional level of government):
Measures:
Walloon Region: Décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agences de placement (Decree of 3 April 2009 on registration of placement agencies), Article 7; and Arrêté du Gouvernement wallon du 10 décembre 2009 portant exécution du décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agences de placement (Decision of the Walloon Government of 10 December 2009 implementing the Decree of 3 April 2009 on registration of placement agencies), Article 4.
German-speaking community: Dekret über die Zulassung der Leiharbeitsvermittler und die Überwachung der privaten Arbeitsvermittler / Décret du 11 mai 2009 relatif à l'agrément des agences de travail intérimaire et à la surveillance des agences de placement privées, Article 6.
With respect to Investment liberalisation – National treatment and Cross-border trade in services –National treatment, Local presence:
Measures:
DE: Gesetz zur Regelung der Arbeitnehmerüberlassung (AÜG);
Sozialgesetzbuch Drittes Buch (SGB III; Social Code, Book Three) - Employment Promotion;
Verordnung über die Beschäftigung von Ausländerinnen und Ausländern (BeschV; Ordinance on the Employment of Foreigners).
With respect to Investment liberalisation – Market access:
Measures:
(i) Translation and interpretation services (CPC 87905)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
Measures:
With respect to Cross-border trade in services –Market Access:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
Measures:
(j) Other business services (part of CPC 612, part of 621, part of 625, 87901, 87902, 88493, part of 893, part of 85990, 87909, ISIC 37)
With respect to Investment liberalisation – Market access:
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Local presence:
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market Access, National Treatment:
Measures:
With respect to Investment liberalisation – Market access, National Treatment and Cross-border trade in services – Local presence:
Measures:
With respect to Cross-border trade in services –Market access:
Measures:
Reservation No. 7 - Communication services
|
Sector – sub-sector: |
Communication services - postal and courier services |
|
Industry classification: |
Part of CPC 71235, part of 73210, part of 751 |
|
Type of reservation: |
Market access |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
With respect to Investment liberalisation - Market access and Cross-border trade in services - Market access:
Measures:
Reservation No. 8 - Construction Services
|
Sector – sub-sector: |
Construction and related engineering services |
|
Industry classification: |
CPC 51 |
|
Type of reservation: |
National treatment |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
In CY: Nationality requirement.
Measure:
Reservation No. 9 - Distribution services
|
Sector – sub-sector: |
Distribution services – general, distribution of tobacco |
|
Industry classification: |
CPC 3546, part of 621, 6222, 631, part of 632 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Investment liberalisation; Cross-Border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Distribution services (CPC 3546, 631, 632 except 63211, 63297, 62276, part of 621)
With respect to Investment liberalisation – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Measures:
(b) Distribution of tobacco (part of CPC 6222, 62228, part of 6310, 63108)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In AT: Only natural persons may apply for an authorisation to operate as a tobacconist.
Priority is given to nationals of a Member State of the EEA (CPC 63108).
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, National treatment:
Measures:
Reservation No. 10 - Education services
|
Sector – sub-sector: |
Education services (privately funded) |
|
Industry classification: |
CPC 921, 922, 923, 924 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
BG: Pre-school and School Education Act; and
Law for the Higher Education, paragraph 4 of the additional provisions.
With respect to Investment liberalisation – Market access, National treatment
Measures:
With respect to Cross-border services – Local presence:
Measures:
With respect to Investment liberalisation – Market access and Cross-border services: Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
Reservation No. 11 - Environmental services
|
Sector – sub-sector: |
Environmental services – processing and recycling of used batteries and accumulators, old cars and waste from electrical and electronic equipment; protection of ambient air and climate cleaning services of exhaust gases |
|
Industry classification: |
Part of CPC 9402, 9404 |
|
Type of reservation: |
Local presence |
|
Chapter: |
Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
In SE: Only entities established in Sweden or having their principal seat in Sweden are eligible for accreditation to perform control services of exhaust gas (CPC 9404).
In SK: For processing and recycling of used batteries and accumulators, waste oils, old cars and waste from electrical and electronic equipment, incorporation in the EEA is required (residency requirement) (part of CPC 9402).
Measures:
Reservation No. 12 – Financial Services
|
Sector – sub-sector: |
Financial services – insurance and banking |
|
Industry classification: |
Not applicable |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Insurance and Insurance-related Services
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – National treatment:
The Chairperson of the Management Board, the Chairperson of the Board of Directors, the Executive Director and the Managerial Agent of pension insurance companies must have a permanent address or hold a durable residence permit in Bulgaria.
Measures:
With respect to Investment liberalisation – Market access, National treatment:
The income of the supplementary voluntary pension funds, as well as similar income directly connected with voluntary pension insurance, carried out by persons who are registered under the legislation of another Member State and who may, in compliance with the legislation concerned, perform voluntary pension insurance operations, shall not be taxable according to the procedure established by the Corporate Income Tax Act.
In ES: Before establishing a branch or agency in Spain in order to provide certain classes of insurance, a foreign insurer must have been authorised to operate in the same classes of insurance in its country of origin for at least five years.
In PT: In order to establish a branch or agency, foreign insurance undertakings must have been authorised to carry out the business of insurance or reinsurance, according to the relevant national law for at least five years.
Measures:
With respect to Investment liberalisation – Market access:
Measures:
With respect to Cross-border trade in services – National treatment, Local presence:
With respect to Cross-border trade in services – Local presence:
Measures
(b) Banking and other financial services
With respect to Investment liberalisation – Market Access, National treatment, and Cross-border trade in services – Local presence:
In the case of collective investment schemes other than undertakings for collective investment in transferable securities ("UCITS") harmonised under Union legislation, the trustee or depository is required to be established in Italy or in another Member State and have a branch in Italy.
Management enterprises of investment funds not harmonised under Union legislation are also required to be incorporated in Italy (no branches).
Only banks, insurance enterprises, investment firms and enterprises managing UCITS harmonised under Union legislation having their legal head office in the Union, as well as UCITS incorporated in Italy, may carry out the activity of pension fund resource management.
In providing the activity of door-to-door selling, intermediaries must utilise authorised financial salesmen resident within the territory of a Member State.
Representative offices of non-European Union intermediaries cannot carry out activities aimed at providing investment services, including trading for own account and for the account of customers, placement and underwriting financial instruments (branch required).
In PT: Pension fund management may be provided only by specialised companies incorporated in PT for that purpose and by insurance companies established in PT and authorised to take up life insurance business, or by entities authorised to provide pension fund management in other Member States. Direct branching from non-European Union countries is not permitted.
Measures:
With respect to Investment liberalisation – Market access, National treatment:
Measures:
With respect to Investment liberalisation – National Treatment and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – National treatment:
Measures:
With respect to Investment liberalisation – Market access:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
Reservation No. 13 - Health services and social services
|
Sector – sub-sector: |
Health services and social services |
|
Industry classification: |
CPC 931, 933 |
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
With respect to Investment liberalisation – Market access:
Measures:
Personenbeförderungsgesetz (PBefG; Act on Public Transport).
Regional level:
Landespflegegesetze:
HR: Health Care Act (OG 150/08, 71/10, 139/10, 22/11, 84/11, 12/12, 70/12, 144/12).
SI: Law of Health Services, Official Gazette of the RS, No. 23/2005, Articles 1, 3 and 62-64; Infertility Treatment and Procedures of the Biomedically-Assisted Procreation Act, Official Gazette of the RS, No. 70/00, Articles 15 and 16; and Supply of Blood Act (ZPKrv-1), Official Gazette of RS, no. 104/06, Articles 5 and 8.
With respect to Investment liberalisation – Market access, National treatment:
Measures:
Reservation No. 14 - Tourism and travel related services
|
Sector – sub-sector: |
Tourism and travel related services - hotels, restaurants and catering; travel agencies and tour operators services (including tour managers); tourist guides services |
|
Industry classification: |
CPC 641, 642, 643, 7471, 7472 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
Measures:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment, Most-favoured nation treatment:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment,:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
Reservation No. 15 - Recreational, cultural and sporting services
|
Sector – sub-sector: |
Recreational services; other sporting services |
|
Industry classification: |
CPC 962, part of 96419 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
Other sporting services (CPC 96419)
With respect to Investment liberalisation – National treatment, Senior management and boards of directors and Cross-border trade in services –National treatment:
With respect to Investment liberalisation – National treatment and Cross-border trade in services –National treatment:
Measures:
Reservation No. 16 - Transport services and services auxiliary to transport services
|
Sector – sub-sector: |
Transport services - fishing and water transportation – any other commercial activity undertaken from a ship; water transportation and auxiliary services for water transport; rail transport and auxiliary services to rail transport; road transport and services auxiliary to road transport; services auxiliary to air transport services |
|
Industry classification: |
ISIC Rev. 3.1 0501, 0502; CPC 5133, 5223, 711, 712, 721, 741, 742, 743, 744, 745, 748, 749, 7461, 7469, 83103, 86751, 86754, 8730, 882 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Maritime transport and auxiliary services for maritime transport. Any commercial activity undertaken from a ship (ISIC Rev. 3.1 0501, 0502; CPC 5133, 5223, 721, Part of 742, 745, 74540, 74520, 74590, 882)
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors; Cross-border trade in services – Market access, National treatment:
The number of the service suppliers at the ports may be limited depending on the objective capacity of the port, which is decided by an expert commission, set up by the Minister of Transport, Information Technology and Communications.
Nationality requirement for supporting services. The master and the chief engineer of the vessel shall mandatorily be nationals of a Member State of the EEA, or of the Swiss Confederation. (ISIC Rev. 3.1 0501, 0502, CPC 5133, 5223, 721, 74520, 74540, 74590, 882).
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation - Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services - Market access, National treatment, Most-favoured-nation treatment:
For rental or leasing of seagoing vessels with or without operators, and for rental or leasing without operator of non-seagoing vessels, the conclusion of contracts for freight transport by ships flying a foreign flag or the chartering of such vessels may be restricted, depending on the availability of ships flying under the German flag or the flag of another Member State.
Transactions between residents and non-residents concerning:
rental of inland waterway transport vessels, which are not registered in the economic area;
transport of freight with such inland waterway transport vessels; or
towing services by such inland waterway transport vessels,
within the economic area may be restricted (Water transport, Supporting services for water transport, Rental of ships, Leasing services of ships without operators (CPC 721, 745, 83103, 86751, 86754, 8730)).
Measures:
With respect to Investment liberalisation - Market access, National treatment and Cross-border trade in services - Market access, National treatment:
Measures:
With respect to Investment liberalisation - Market access:
Measures:
(b) Rail transport and auxiliary services to rail transport (CPC 711, 743)
With respect to Investment liberalisation - Market access, National treatment, and Cross-border trade in services - Market access, National treatment:
Measures:
With respect to Investment liberalisation - Market access:
Measures:
(c) Road transport and services auxiliary to road transport (CPC 712, 7121, 7122, 71222, 7123)
For road transport services not covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement
With respect to Investment liberalisation - Market access, National treatment, and Cross-border trade in services - Market access, National treatment:
Measures:
With respect to Investment liberalisation - National treatment, Most-favoured-nation treatment:
Measures:
With respect to Investment liberalisation - Market access:
Karozzini (horse drawn carriages): Numerical Restrictions on the number of licences apply (CPC 712).
In PT: Economic needs test for limousine services. Main criteria: number of and impact on existing establishments, population density, geographic spread, impact on traffic conditions and creation of new employment (CPC 71222).
Measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services - Local presence:
Measures:
With respect to Investment liberalisation - Market access, National treatment and Cross-border trade in services - Market access, National treatment, Most-favoured-nation treatment:
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
(d) Services auxiliary to air transport services
With respect to Investment liberalisation - Market access, National treatment and Cross-border trade in services – Market access, National treatment:
Measures:
Measures:
(e) Supporting services for all modes of transport (part of CPC 748)
With respect to Cross-border trade in services – Local presence:
Measures:
Reservation No. 17 - Energy related activities
|
Sector – sub-sector: |
Energy related activities - mining and quarrying; production, transmission and distribution on own account of electricity, gas, steam and hot water; pipeline transportation of fuels; storage and warehouse of fuels transported through pipelines; and services incidental to energy distribution |
|
Industry classification: |
ISIC Rev. 3.1 10, 11, 12, 13, 14, 40, CPC 5115, 63297, 713, part of 742, 8675, 883, 887 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Mining and quarrying (ISIC Rev. 3.1 10, 11, 12, 13, 14, CPC 5115, 7131, 8675, 883)
With respect to Investment liberalisation – Market access:
Measures
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment:
It is forbidden for companies registered in preferential tax treatment jurisdictions (that is, offshore zones) or related, directly or indirectly, to such companies to participate in open procedures for granting permits or concessions for prospecting, exploration or extraction of natural resources, including uranium and thorium ores, as well as to operate an existing permit or concession which has been granted, as such operations are precluded, including the possibility to register the geological or commercial discovery of a deposit as a result of exploration.
The mining of uranium ore is closed by Decree of the Council of Ministers No. 163 of 20.08.1992.
With regard to exploration and mining of thorium ore, the general regime of permits and concessions applies. Decisions to allow the exploration or mining of thorium ore are taken on a non-discriminatory individual case-by-case basis.
According to Decision of the National Assembly of the Republic of Bulgaria of 18 Jan 2012 (ch. 14 June 2012) any usage of hydraulic fracturing technology that is, fracking, for activities of prospecting, exploration or extraction of oil and gas is forbidden.
Exploration and extraction of shale gas is forbidden (ISIC Rev. 3.1 10, 3.1 11, 3.112, 3.1 13,3.1 14).
Measures:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border services – Local presence:
Measures
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Measures
With respect only to Investment – Market access, National treatment and Cross-border trade in services – Local presence:
Measures
(b) Production, transmission and distribution on own account of electricity, gas, steam and hot water; pipeline transportation of fuels; storage and warehouse of fuels transported through pipelines; services incidental to energy distribution (ISIC Rev. 3.1 40, 3.1 401, CPC 63297, 713, part of 742, 74220, 887)
With respect to Investment liberalisation – Market access:
Measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – National treatment, Local presence:
The competent authority may waive the nationality and domiciliation requirements where the operation of the network is considered to be in the public interest.
For the transportation of goods other than gas and water, the following applies:
with regard to natural persons, authorisation is only granted to EEA-nationals who must have a seat in Austria; and
enterprises and partnerships must have their seat in Austria. An Economic Needs Test or interest test is applied. Cross border pipelines must not jeopardise Austria's security interests and its status as a neutral country. Enterprises and partnerships have to appoint a managing director who must be a national of a member state of the EEA. The competent authority may waive the nationality and seat requirements if the operation of the pipeline is considered to be in the national economic interest (CPC 713).
Measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of director and Cross-border trade in services – (applies only to the regional level of government) National treatment, Local presence:
Legal persons (enterprises) and partnerships must have their seat in the EEA. They must appoint a managing director or a leaseholder, both of whom must be nationals of a Member State of the EEA domiciled in the EEA.
The competent authority may waive the domicile and nationality requirements where the operation of the network is considered to be in the public interest (ISIC Rev. 3.1 40, CPC 887).
Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In the case of fuels, establishment is required. Licences for transmission and distribution, storage of fuels and liquefaction of natural gas may only be issued to legal persons established in the Republic of Lithuania or branches of legal persons or other organisations (subsidiaries) of another Member State established in the Republic Lithuania.
This reservation does not apply to consultancy services related to the transmission and distribution on a fee or contract basis of fuels (CPC 713, CPC 887).
In PL: the following activities are subject to licensing under the Energy Law Act:
generation of fuels or energy, except for: generation of solid or gaseous fuels; generation of electricity using electricity sources of the total capacity of not more than 50 MW other than renewable energy sources; cogeneration of electricity and heat using sources of the total capacity of not more than 5 MW other than renewable energy sources; generation of heat using the sources of the total capacity of not more than 5 MW;
storage of gaseous fuels in storage installations, liquefaction of natural gas and regasification of liquefied natural gas at LNG installations, as well as the storage of liquid fuels, except for: the local storage of liquid gas at installations of the capacity of less than 1 MJ/s capacity and the storage of liquid fuels in retail trade;
transmission or distribution of fuels or energy, except for: the distribution of gaseous fuels in grids of less than 1 MJ/s capacity and the transmission or distribution of heat if the total capacity ordered by customers does not exceed 5 MW;
trade in fuels or energy, except for: the trade in solid fuels; the trade in electricity using installations of voltage lower than 1 kV owned by the customer; the trade in gaseous fuels if their annual turnover value does not exceed the equivalent of EUR 100 000 ; the trade in liquid gas, if the annual turnover value does not exceed EUR 10 000 ; and the trade in gaseous fuels and electricity performed on commodity exchanges by brokerage houses which conduct the brokerage activity on the exchange commodities on the basis of the Act of 26 October 2000 on commodity exchanges, as well as the trade in heat if the capacity ordered by the customers does not exceed 5 MW. The limits on turnover do not apply to wholesale trade services in gaseous fuels or liquid gas or to retail services of bottled gas.
A licence may only be granted by the competent authority to an applicant that has registered their principal place of business or residence in the territory of a Member State of the EEA or the Swiss Confederation (ISIC Rev. 3.1 040, CPC 63297, 74220, CPC 887).
Measures:
With respect to Cross-border trade in services – Local presence:
Measures:
Reservation No. 18 - Agriculture, fishing and manufacturing
|
Sector – sub-sector: |
Agriculture, hunting, forestry; animal and reindeer husbandry, fishing and aquaculture; publishing, printing and reproduction of recorded media |
|
Industry classification: |
ISIC Rev. 3.1 011, 012, 013, 014, 015, 1531, 050, 0501, 0502, 221, 222, 323, 324, CPC 881, 882, 88442 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Performance requirements Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation; Cross-border trade in services |
|
Level of government: |
EU/Member State (unless otherwise specified) |
Description:
(a) Agriculture, hunting and forestry (ISIC Rev. 3.1 011, 012, 013, 014, 015, 1531, CPC 881)
With respect to Investment liberalisation – National treatment:
Measures:
With respect to Investment liberalisation – Market access, National treatment:
Measures:
(b) Fishing and aquaculture (ISIC Rev. 3.1 050, 0501, 0502, CPC 882)
With respect to Investment liberalisation – Market access, National treatment and Cross-border services: Market access:
Measures:
(c) Manufacturing - Publishing, printing and reproduction of recorded media (ISIC Rev. 3.1 221, 222, 323, 324, CPC 88442)
With respect to Investment liberalisation – Market access, National treatment and Cross-border services: Market access, National treatment, Local presence:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Local presence:
Measures:
With respect to Investment liberalisation – Market Access, National Treatment:
Measures:
With respect to Investment liberalisation – Senior management and boards of directors:
Measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services –National treatment, Local presence:
Measures:
Schedule of the United Kingdom
Reservation No. 1 – All sectors
|
Sector |
All sectors |
|
Type of reservation: |
Market access National treatment Most favoured nation treatment Senior management and boards of directors Performance requirements |
|
Chapter: |
Investment liberalisation |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
With respect to Investment liberalisation – Performance requirements
The United Kingdom may enforce a commitment or undertaking given in accordance with the provisions governing post-offer undertakings in the City Code on Takeovers and Mergers, or pursuant to Deeds of Undertaking in relation to takeovers or mergers, where the commitment or undertaking is not imposed or required as a condition of approval of the takeover or merger.
Measures:
This reservation applies only to health, social or education services:
For the purposes of this reservation:
any measure maintained or adopted after entry into force of this Agreement that, at the time of the sale or other disposition, prohibits or imposes limitations on the ownership of equity interests or assets or imposes nationality requirements or imposes limitations on the numbers of suppliers as described in this reservation shall be deemed to be an existing measure; and
"state enterprise" means an enterprise owned or controlled through ownership interests by the UK and includes an enterprise established after entry into force of this Agreement solely for the purposes of selling or disposing of equity interests in, or the assets of, an existing state enterprise or governmental entity.
Measures:
Reservation No. 2 – Professional services (all professions except health-related)
|
Sector – sub-sector: |
Professional services – legal services; auditing services |
|
Industry classification: |
Part of CPC 861, CPC 862 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
(a) Legal services (part of CPC 861)
In order to provide certain legal services, it may be necessary to obtain authorisation or a licence from a competent authority, or to comply with registration requirements. To the extent that the requirements for obtaining authorisation or a licence, or registration, are non-discriminatory and conform with commitments imposed by Article 194 of this Agreement, they are not listed. These may, for example, include a requirement to having obtained specified qualifications, having completed a recognised period of training, or requiring upon membership an office or a post address within the competent authority's jurisdiction.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, Local presence, National treatment:
Measures:
(b) Auditing services (CPC 86211, 86212 other than accounting and bookkeeping services)
With respect to Investment liberalisation – National treatment and cross-border trade in Services – National treatment:
Measures:
Reservation No. 3 – Professional services (veterinary services)
|
Sector – sub-sector: |
Professional services – veterinary services |
|
Industry classification: |
CPC 932 |
|
Type of reservation: |
Market access Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
Physical presence is required to perform veterinary surgery. The practice of veterinary surgery is reserved to qualified veterinary surgeons who are registered with the Royal College of Veterinary Surgeons (RCVS).
Measures:
Reservation No. 4 – Research and development services
|
Sector – sub-sector: |
Research and development (R&D) services |
|
Industry classification: |
CPC 851, 853 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
For publicly funded research and development (R&D) services benefitting from funding provided by the UK, exclusive rights or authorisations may only be granted to nationals of the UK and to legal persons of the UK having their registered office, central administration or principal place of business in the UK (CPC 851, 853).
This reservation is without prejudice to Part Five of this Agreement and to the exclusion of procurement by a Party or subsidies or grants provided by the Parties in Article 123(6) and (7) of this Agreement.
Measures:
All currently existing and all future research or innovation programmes.
Reservation No. 5 – Business services
|
Sector – sub-sector: |
Business services – rental or leasing services without operators and other business services |
|
Industry classification: |
Part of CPC 831 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
For rental or leasing of aircraft without crew (dry lease) aircraft used by an air carrier of the UK are subject to applicable aircraft registration requirements. A dry lease agreement to which a UK carrier is a party shall be subject to requirements in the national law on aviation safety, such as prior approval and other conditions applicable to the use of third countries' registered aircraft. To be registered, aircraft may be required to be owned either by natural persons meeting specific nationality criteria or by enterprises meeting specific criteria regarding ownership of capital and control (CPC 83104).
With respect to computer reservation system (CRS) services, where the UK air carriers are not accorded, by CRS services suppliers operating outside the UK, equivalent (meaning non-discriminatory) treatment to that provided in the UK, or where UK CRS services suppliers are not accorded, by non-UK air carriers, equivalent treatment to that provided in the UK, measures may be taken to accord equivalent discriminatory treatment, respectively, to the non-UK air carriers by the CRS services suppliers operating in the UK, or to the non-UK CRS services suppliers by UK air carriers.
Measures:
Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules for the operation of air services in the Community (Recast) as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Operation of Air Services (Amendment etc.) (EU Exit) Regulations (S.I. 2018/1392).
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, as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Computer Reservation Systems (Amendment) (EU Exit) Regulations 2018 (S.I. 2018/1080).
Reservation No. 6 – Communication services
|
Sector – sub-sector: |
Communication services - postal and courier services |
|
Industry classification: |
Part of CPC 71235, part of 73210, part of 751 |
|
Type of reservation: |
Market access |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
The organisation of the siting of letter boxes on the public highway, the issuing of postage stamps and the provision of the registered mail service used in the course of judicial or administrative procedures may be restricted in accordance with national legislation. For greater certainty, postal operators may be subject to particular universal service obligations or a financial contribution to a compensation fund.
Measures:
Reservation No. 7 – Transport services and services auxiliary to transport services
|
Sector – sub-sector: |
Transport services - auxiliary services for water transport, auxiliary services to rail transport, services auxiliary to road transport, services auxiliary to air transport services |
|
Industry classification: |
CPC 711, 712, 721, 741, 742, 743, 744, 745, 746, 748, 749 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
Description:
(a) Services auxiliary to air transport services (CPC 746)
With respect to Investment liberalisation - Market access and Cross-border trade in services - Market access:
Measures:
(b) Supporting services for all modes of transport
With respect to Investment liberalisation - National treatment and Cross-border trade in services - Market access, Local presence, National treatment:
Measures:
(c) Auxiliary services for water transport
With respect to Investment liberalisation – Market access, and Cross-border trade in Services – Market access:
Measures:
Port Services Regulations 2019
Reservation No. 8 – Energy related activities
|
Sector – sub-sector: |
Energy related activities - mining and quarrying |
|
Industry classification: |
ISIC Rev. 3.1 11, 8675, 883 |
|
Type of reservation: |
Market access |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
|
Level of government: |
Central and Regional (unless otherwise specified) |
A licence is necessary to undertake exploration and production activities on the UK Continental Shelf (UKCS), and to provide services which require direct access to or exploitation of natural resources.
This reservation applies to production licences issued with respect to the UK Continental Shelf. To be a Licensee, a company must have a place of business within the UK. That means either:
a staffed presence in the UK;
registration of a UK company at Companies House; or
registration of a UK branch of a foreign company at Companies House.
This requirement exists for any company applying for a new licence and for any company seeking to join an existing licence by assignment. It applies to all licences and to all enterprises, whether operator or not. To be a party to a licence that covers a producing field, a company must: (a) be registered at Companies House as a UK company; or (b) carry on its business through a fixed place of business in the UK as defined in section 148 of the Finance Act 2003 (which normally requires a staffed presence) (ISIC Rev. 3.1 11, CPC 883, 8675).
Measures:
ANNEX 20
FUTURE MEASURES
Headnotes
1. The Schedules of the United Kingdom and the Union set out, under Articles 133, 139 and 195 of this Agreement, the reservations taken by the United Kingdom and the Union with respect to existing measures that do not conform with obligations imposed by:
Article 128 or 135 of this Agreement;
Article 136 of this Agreement;
Article 129 or 137 of this Agreement;
Article 130 or 138 of this Agreement;
Article 131 of this Agreement;
Article 132 of this Agreement;
Article 194 of this Agreement.
2. The reservations of a Party are without prejudice to the rights and obligations of the Parties under GATS.
3. Each reservation sets out the following elements:
"sector" refers to the general sector in which the reservation is taken;
"sub-sector" refers to the specific sector in which the reservation is taken;
"industry classification" refers, where applicable, to the activity covered by the reservation according to the CPC, ISIC rev 3.1, or as expressly otherwise described in a Party's reservation;
"type of reservation" specifies the obligation referred to in paragraph 1 for which a reservation is taken;
"description" sets out the scope of the sector, sub-sector or activities covered by the reservation; and
"existing measures" identifies, for transparency purposes, existing measures that apply to the sector, sub-sector or activities covered by the reservation.
4. In the interpretation of a reservation, all elements of the reservation shall be considered. The "description" element shall prevail over all other elements.
5. For the purposes of the Schedules of the United Kingdom and the European Union:
"ISIC Rev. 3.1" means the International Standard Industrial Classification of All Economic Activities as set out in Statistical Office of the United Nations, Statistical Papers, Series M, No.4, ISIC Rev. 3.1, 2002;
"CPC" means the Provisional Central Product Classification (Statistical Papers, Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York,1991).
6. For the purposes of the Schedules of the United Kingdom and the Union, a reservation for a requirement to have a local presence in the territory of the Union or the United Kingdom is taken against Article 136 of this Agreement, and not against Article 135 or 137 of this Agreement. Furthermore, such a requirement is not taken as a reservation against Article 129 of this Agreement.
7. A reservation taken at the level of the Union applies to a measure of the Union, to a measure of a Member State at the central level or to a measure of a government within a Member State, unless the reservation excludes a Member State. A reservation taken by a Member State applies to a measure of a government at the central, regional or local level within that Member State. For the purposes of the reservations of Belgium, the central level of government covers the federal government and the governments of the regions and the communities as each of them holds equipollent legislative powers. For the purposes of the reservations of the Union and its Member States, a regional level of government in Finland means the Åland Islands. A reservation taken at the level of the United Kingdom applies to a measure of the central government, a regional government or a local government.
8. The list of reservations below does not include measures relating to qualification requirements and procedures, technical standards and licensing requirements and procedures where they do not constitute a market access or a national treatment limitation within the meaning of Article 128, 129, 135, 136, 137 or 194 of this Agreement. These measures may include, in particular the need to obtain a licence, to satisfy universal service obligations, to have recognised qualifications in regulated sectors, to pass specific examinations, including language examinations, to fulfil a membership requirement of a particular profession, such as membership in a professional organisation, to have a local agent for service, or to maintain a local address, or any other non-discriminatory requirements that certain activities may not be carried out in protected zones or areas. While not listed, such measures continue to apply.
9. For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, pursuant to the Treaty on the Functioning of the European Union, or any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
natural persons or residents of another Member State; or
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
10. Treatment granted to legal persons established by investors of a Party in accordance with the law of the other Party (including, in the case of the Union, the law of a Member State) and having their registered office, central administration or principal place of business within that other Party, is without prejudice to any condition or obligation, consistent with Chapter 2 of Title II of Heading One of Part Two of this Agreement, which may have been imposed on such legal person when it was established in that other Party, and which shall continue to apply.
11. The Schedules apply only to the territories of the United Kingdom and the European Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
12. For greater certainty, non-discriminatory measures do not constitute a market access limitation within the meaning of Article 128, 135 or 194 of this Agreement for any measure:
requiring the separation of the ownership of infrastructure from the ownership of the goods or services provided through that infrastructure to ensure fair competition, for example in the fields of energy, transportation and telecommunications;
restricting the concentration of ownership to ensure fair competition;
seeking to ensure the conservation and protection of natural resources and the environment, including a limitation on the availability, number and scope of concessions granted, and the imposition of a moratorium or ban;
limiting the number of authorisations granted because of technical or physical constraints, for example telecommunications spectra and frequencies; or
requiring that a certain percentage of the shareholders, owners, partners, or directors of an enterprise be qualified or practice a certain profession such as lawyers or accountants.
13. With respect to financial services: Unlike foreign subsidiaries, branches established directly in a Member State by a non-European Union financial institution are not, with certain limited exceptions, subject to prudential regulations harmonised at European Union level which enable such subsidiaries to benefit from enhanced facilities to set up new establishments and to provide cross-border services throughout the Union. Therefore, such branches receive an authorisation to operate in the territory of a Member State under conditions equivalent to those applied to domestic financial institutions of that Member State, and may be required to satisfy a number of specific prudential requirements such as, in the case of banking and securities, separate capitalisation and other solvency requirements and reporting and publication of accounts requirements or, in the case of insurance, specific guarantee and deposit requirements, a separate capitalisation, and the localisation in the Member State concerned of the assets representing the technical reserves and at least one third of the solvency margin.
The following abbreviations are used in the list of reservations below:
|
UK |
United Kingdom |
|
EU |
European Union, including all its Member States |
|
AT |
Austria |
|
BE |
Belgium |
|
BG |
Bulgaria |
|
CY |
Cyprus |
|
CZ |
Czechia |
|
DE |
Germany |
|
DK |
Denmark |
|
EE |
Estonia |
|
EL |
Greece |
|
ES |
Spain |
|
FI |
Finland |
|
FR |
France |
|
HR |
Croatia |
|
HU |
Hungary |
|
IE |
Ireland |
|
IT |
Italy |
|
LT |
Lithuania |
|
LU |
Luxembourg |
|
LV |
Latvia |
|
MT |
Malta |
|
NL |
The Netherlands |
|
PL |
Poland |
|
PT |
Portugal |
|
RO |
Romania |
|
SE |
Sweden |
|
SI |
Slovenia |
|
SK |
Slovak Republic |
Schedule of the Union
Reservation No. 1 - All sectors
|
Sector: |
All sectors |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Performance requirements Local presence Obligations for legal services |
|
Chapter/Section: |
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Establishment
With respect to Investment liberalisation – Market access:
Public utilities exist in sectors such as related scientific and technical consulting services, research and development (R&D) services on social sciences and humanities, technical testing and analysis services, environmental services, health services, transport services and services auxiliary to all modes of transport. Exclusive rights on such services are often granted to private operators, for instance operators with concessions from public authorities, subject to specific service obligations. Given that public utilities often also exist at the sub-central level, detailed and exhaustive sector-specific scheduling is not practical. This reservation does not apply to telecommunications and to computer and related services.
With respect to Investment liberalisation – Market access, National treatment; Cross-border trade in services – Market access, National treatment and Regulatory framework for legal services – Obligations:
Existing measures:
With respect to Investment liberalisation – Market access, National treatment, Performance requirements, Senior management and boards of directors; Regulatory Framework for legal services – Obligations:
Existing measures:
With respect to Investment liberalisation – National treatment, Senior management and boards of directors:
With respect to Investment liberalisation – Market access and Regulatory framework for legal services – Obligations:
With respect to Investment liberalisation – Market access, National treatment:
In commercial corporations in which the State or a municipality holds a share in the capital exceeding 50 per cent, any transactions for disposition of fixed assets of the corporation, to conclude any contracts for acquisition of participating interest, lease, joint activity, credit, securing of receivables, as well as incurring any obligations arising under bills of exchange, are subject to authorisation or permission by the Privatisation Agency or other state or regional bodies, whichever is the competent authority. This reservation does not apply to mining and quarrying, which are subject to a separate reservation in the Schedule of the Union in Annex 19 to this Agreement.
In IT: The Government may exercise certain special powers in enterprises operating in the areas of defence and national security, and in certain activities of strategic importance in the areas of energy, transport and communications. This applies to all juridical persons carrying out activities considered of strategic importance in the areas of defence and national security, not only to privatised companies.
If there is a threat of serious injury to the essential interests of defence and national security, the Government has following special powers to:
to impose specific conditions in the purchase of shares;
to veto the adoption of resolutions relating to special operations such as transfers, mergers, splitting up and changes of activity; or
to reject the acquisition of shares, where the buyer seeks to hold a level of participation in the capital that is likely to prejudice the interests of defence and national security.
Any resolution, act or transaction (such as transfers, mergers, splitting up, change of activity or termination) relating to strategic assets in the areas of energy, transport and communications shall be notified by the concerned company to the Prime Minister's office. In particular, acquisitions by any natural or juridical person outside the European Union that give this person control over the company shall be notified.
The Prime Minister may exercise the following special powers:
to veto any resolution, act and transaction that constitutes an exceptional threat of serious injury to the public interest in the security and operation of networks and supplies;
to impose specific conditions in order to guarantee the public interest; or
to reject an acquisition in exceptional cases of risk to the essential interests of the State.
The criteria on which to evaluate the real or exceptional threat and conditions and procedures for the exercise of the special powers are laid down in the law.
Existing measures:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Performance requirements, Senior management and boards of directors:
Existing measures:
With respect to Investment liberalisation – National treatment and Senior management and boards of directors:
(b) Acquisition of real estate
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
With respect to Investment liberalisation – Market access, National treatment:
Existing measures:
Existing measures:
Existing measures:
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Local presence:
Existing measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services - Market access, National treatment:
However, local governments (municipalities) and other national entities of Members of the Organisation for Economic Co-operation and Development and North Atlantic Treaty Organization conducting economic activities in Lithuania, which are specified by the constitutional law in compliance with the criteria of European Union and other integration which Lithuania has embarked on, are permitted to acquire into their ownership non-agricultural land plots required for the construction and operation of buildings and facilities necessary for their direct activities.
Existing measures:
(c) Recognition
With respect to Investment liberalisation –National treatment and Cross-border trade in services – National treatment:
(d) Most-favoured-nation treatment
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment and Regulatory framework for legal services – Obligations:
The EU: According differential treatment to a third country pursuant to any existing or future bilateral or multilateral agreement which:
creates an internal market in services and investment;
grants the right of establishment; or
requires the approximation of legislation in one or more economic sectors.
An internal market in services and investment means an area without internal frontiers in which the free movement of services, capital and persons is ensured.
The right of establishment means an obligation to abolish in substance all barriers to establishment among the parties to the bilateral or multilateral agreement by the entry into force of that agreement. The right of establishment shall include the right of nationals of the parties to the bilateral or multilateral agreement to set up and operate enterprises under the same conditions provided for nationals under the law of the party where such establishment takes place.
The approximation of legislation means:
the alignment of the legislation of one or more of the parties to the bilateral or multilateral agreement with the legislation of the other party or parties to that agreement; or
the incorporation of common legislation into the law of the parties to the bilateral or multilateral agreement.
Such alignment or incorporation shall take place, and shall be deemed to have taken place, only at such time that it has been enacted in the law of the party or parties to the bilateral or multilateral agreement.
Existing measures:
The EU: According differential treatment relating to the right of establishment to nationals or enterprises through existing or future bilateral agreements between the following Member States: BE, DE, DK, EL, ES, FR, IE, IT, LU, NL, PT and any of the following countries or principalities: Andorra, Monaco, San Marino and the Vatican City State.
In DK, FI, SE: Measures taken by Denmark, Sweden and Finland aimed at promoting Nordic cooperation, such as:
financial support to research and development (R&D) projects (the Nordic Industrial Fund);
funding of feasibility studies for international projects (the Nordic Fund for Project Exports); and
financial assistance to companies utilizing environmental technology (the Nordic Environment Finance Corporation). The purpose of the Nordic Environment Finance Corporation (NEFCO) is to promote investments of Nordic environmental interest, with a focus on Eastern Europe.
This reservation is without prejudice to the exclusion of procurement by a Party or subsidies in Article 123(6) and (7) of this Agreement.
In PL: Preferential conditions for establishment or the cross-border supply of services, which may include the elimination or amendment of certain restrictions embodied in the list of reservations applicable in Poland, may be extended through commerce and navigation treaties.
In PT: Waiving nationality requirements for the exercise of certain activities and professions by natural persons supplying services for countries in which Portuguese is the official language (Angola, Brazil, Cape Verde, Guinea-Bissau, Equatorial Guinea, Mozambique, São Tomé & Principe, and East Timor).
(e) Arms, munition and war material
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Most-favoured-nation treatment, Local presence:
Reservation No. 2 - Professional services - other than health related services
|
Sector: |
Professional services - legal services: services of notaries and by bailiffs; accounting and bookkeeping services; auditing services, taxation advisory services; architecture and urban planning services, engineering services, and integrated engineering services |
|
Industry classification: |
Part of CPC 861, part of 87902, 862, 863, 8671, 8672, 8673, 8674, part of 879 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Legal services
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment:
In BG: Full national treatment on the establishment and operation of companies, as well as on the supply of services, may be extended only to companies established in, and citizens of, the countries with whom preferential arrangements have been or will be concluded (part of CPC 861).
In LT: Attorneys from foreign countries can participate as advocates in court only in accordance with international agreements (part of CPC 861), including specific provisions regarding representation before courts.
(b) Accounting and bookkeeping services (CPC 8621 other than auditing services, 86213, 86219, 86220)
With respect to Cross-border trade in services – Market access:
Existing measures:
(c) Auditing services (CPC – 86211, 86212 other than accounting and bookkeeping services)
With respect to Cross-border trade in services - National treatment:
three-fourths of the members of the management bodies and the registered auditors carrying out audit on behalf of the entity meet requirements equivalent to those for Bulgarian auditors and have passed successfully the examinations for it;
the audit entity carries out independent financial audit in accordance with the requirements for independence and objectivity; and
the audit entity publishes on its website an annual transparency report or performs other equivalent requirements for disclosure in case it audits public-interest entities.
Existing Measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
Existing Measures:
With respect to Cross-border trade in services – Market access:
Existing Measures:
In PT: Cross-border supply of auditing services.
(d) Architecture and urban planning services (CPC 8674)
With respect to Cross-border trade in services – Market access, National treatment:
Reservation No. 3 - Professional services – health related and retail of pharmaceuticals
|
Sector: |
Health related professional services and retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists |
|
Industry classification: |
CPC 63211, 85201, 9312, 9319, 93121 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Medical and dental services; services provided by midwives, nurses, physiotherapists, psychologists and paramedical personnel (CPC 63211, 85201, 9312, 9319, CPC 932)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access and National treatment:
Existing measures:
In BG: The supply of all health-related professional services, whether publicly or privately funded, including medical and dental services, services provided by nurses, midwives, physiotherapists and paramedical personnel and services provided by psychologists (CPC 9312, part of 9319).
Existing Measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access and National treatment:
Existing Measures:
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In BE: The cross-border supply whether publicly or privately funded of all health-related professional services, including medical, dental and midwives services and services provided by nurses, physiotherapists, psychologists and paramedical personnel. (part of CPC 85201, 9312, part of 93191).
In PT: (Also with respect to Most-favoured nation treatment) Concerning the professions of physiotherapists, paramedical personnel and podiatrists, foreign professionals may be allowed to practice based on reciprocity.
(b) Veterinary services (CPC 932)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services –National treatment, Local presence:
The practice of veterinary medicine is only allowed for nationals of the EEA and for permanent residents (physical presence is required for permanent residents).
With respect to Cross-border trade in services – Market access, National treatment:
(c) Retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists (CPC 63211)
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
In CZ: Retail sales are only possible from Member States.
In BE: The retail sales of pharmaceuticals and specific medical goods are only possible from a pharmacy established in Belgium.
In BG, EE, ES, IT and LT: Cross-border retail sales of pharmaceuticals.
In IE and LT: Cross-border retail of pharmaceuticals requiring a prescription.
In PL: Intermediaries in the trade of medicinal products must be registered and have a place of residence or registered office in the territory of the Republic of Poland.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
Existing measures:
Reservation No. 4 - Business Services - Research and development services
|
Sector: |
Research and development services |
|
Industry classification: |
CPC 851, 852, 853 |
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Existing measures:
Reservation No. 5 - Business Services - Real estate services
|
Sector: |
Real estate services |
|
Industry classification: |
CPC 821, 822 |
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Reservation No. 6 - Business services - Rental or leasing services
|
Sector: |
Rental or leasing services without operators |
|
Industry classification: |
CPC 832 |
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Reservation No. 7 - Business Services - Collection agency services and Credit reporting services
|
Sector: |
Collection agency services, credit reporting services |
|
Industry classification: |
CPC 87901, 87902 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Reservation No. 8 - Business Services - Placement services
|
Sector – sub-sector: |
Business Services – placement services |
|
Industry classification: |
CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Existing measures:
Reservation No. 9 - Business Services - Security and investigation services
|
Sector– sub-sector: |
Business services – security and investigation services |
|
Industry classification: |
CPC 87301, 87302, 87303, 87304, 87305, 87309 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Security services (CPC 87302, 87303, 87304, 87305, 87309)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services –National treatment, Local presence:
With respect to Cross-border trade in services – Market access, National treatment:
Existing measures:
(b) Investigation services (CPC 87301)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence:
With respect to Investment liberalisation - Market access and Cross-border trade in services – Market access:
Reservation No. 10 - Business Services - Other business services
|
Sector– sub-sector: |
Business services – other business services (translation and interpretation services, duplicating services, services incidental to energy distribution and services incidental to manufacturing) |
|
Industry classification: |
CPC 87905, 87904, 884, 887 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Translation and interpretation services (CPC 87905)
With respect to Cross-border trade in services – Market access, National treatment:
In HR: Cross-border supply of translation and interpretation of official documents.
(b) Duplicating services (CPC 87904)
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
(c) Services incidental to energy distribution and services incidental to manufacturing (Part of CPC 884, 887 other than advisory and consulting services)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
(d) Maintenance and repair of vessels, rail transport equipment and aircraft and parts thereof (part of CPC 86764, CPC 86769, CPC 8868)
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
Existing measures:
(e) Other business services related to aviation
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment:
the selling and marketing of air transport services;
computer reservation system (CRS) services;
maintenance and repair of aircrafts and parts,
rental or leasing of aircraft without crew.
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
Reservation No. 11 - Telecommunication
|
Sector: |
Satellite broadcast transmission services |
|
Industry classification: |
|
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Reservation No. 12 - Construction
|
Sector: |
Construction services |
|
Industry classification: |
CPC 51 |
|
Type of reservation: |
Market access National treatment |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Reservation No. 13 - Distribution services
|
Sector: |
Distribution services |
|
Industry classification: |
CPC 62117, 62251, 8929, part of 62112, 62226, part of 631 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Distribution of pharmaceuticals
With respect to Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment:
Existing measures:
(b) Distribution of alcoholic beverages
Existing measures:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
Existing measures:
(c) Other distribution (part of CPC 621, CPC 62228, CPC 62251, CPC 62271, part of CPC 62272, CPC 62276, CPC 63108, part of CPC 6329)
With respect to Cross-border trade in services – Market access, National treatment:
Bulgaria reserves the right to adopt or maintain any measure with respect to the services provided by commodity brokers.
Existing measures:
Reservation No. 14 - Education services
|
Sector: |
Education services |
|
Industry classification: |
CPC 92 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: Educational services which receive public funding or State support in any form. Where the supply of privately funded education services by a foreign provider is permitted, participation of private operators in the education system may be subject to concession allocated on a non-discriminatory basis.
The EU, with the exception of CZ, NL, SE and SK: With respect to the supply of privately funded other education services, which means other than those classified as being primary, secondary, higher and adult education services (CPC 929).
In CY, FI, MT and RO: The supply of privately funded primary, secondary, and adult education services (CPC 921, 922, 924).
In AT, BG, CY, FI, MT and RO: The supply of privately funded higher education services (CPC 923).
In CZ and SK: The majority of the members of the board of directors of an establishment providing privately funded education services must be nationals of that country (CPC 921, 922, 923 for SK other than 92310, 924).
In SI: Privately funded elementary schools may be founded by Slovenian natural or legal persons only. The service supplier must establish a registered office or a branch. The majority of the members of the board of directors of an establishment providing privately funded secondary or higher education services must be Slovenian nationals (CPC 922, 923).
In SE: Educational services suppliers that are approved by public authorities to provide education. This reservation applies to privately funded educational services suppliers with some form of State support, inter alia educational service suppliers recognised by the State, educational services suppliers under State supervision or education which entitles to study support (CPC 92).
In SK: EEA residency is required for suppliers of all privately funded education services other than post-secondary technical and vocational education services. An economic needs test may apply and the number of schools being established may be limited by local authorities (CPC 921, 922, 923 other than 92310, 924).
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In BG, IT and SI: To restrict the cross-border supply of privately funded primary education services (CPC 921).
In BG and IT: To restrict the cross-border supply of privately funded secondary education services (CPC 922).
In AT: To restrict the cross-border supply of privately funded adult education services by means of radio or television broadcasting (CPC 924).
Existing measures:
Reservation No. 15 - Environmental services
|
Sector– sub-sector: |
Environmental services – waste and soil management |
|
Industry classification: |
CPC 9401, 9402, 9403, 94060 |
|
Type of reservation: |
Market access |
|
Chapter: |
Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
Reservation No. 16 - Financial services
|
Sector: |
Financial services |
|
Industry classification: |
Not applicable |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) All Financial Services
With respect to Investment liberalisation – Market access
The EU: the right to require a financial service supplier, other than a branch, when establishing in a Member State to adopt a specific legal form, on a non-discriminatory basis.
With respect to Cross-border trade in services – Market access, National treatment, Local presence
The EU: the right to adopt or maintain any measure with respect to the cross-border supply of all financial services other than:
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services;
direct insurance services (including co-insurance) for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
Insurance intermediation;
Reinsurance and retrocession;
Services auxiliary to insurance;
the trading for own account or for the account of customers, whether on an exchange or an over-the-counter market or otherwise of transferrable securities;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services, relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance (including co-insurance);
reinsurance and retrocession;
insurance intermediation;
services auxiliary to insurance;
acceptance of deposits;
lending of all types;
financial leasing;
all payment and money transmission services; guarantees and commitments;
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market;
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
money broking;
asset management, such as cash or portfolio management, all forms of collective investment management, custodial, depository and trust services;
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
provision and transfer of financial information, and financial data processing and related software; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
acceptance of deposits;
lending of all types;
financial leasing;
all payment and money transmission services; guarantees and commitments;
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market;
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
money broking;
asset management, such as cash or portfolio management, all forms of collective investment management, custodial, depository and trust services;
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
provision and transfer of financial information, and financial data processing and related software; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
the acceptance of deposits;
lending of all types;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) for the insurance of risks relating to goods in international trade;
reinsurance and retrocession of risks relating to goods in international trade;
direct insurance services (including co-insurance and retrocession) and direct insurance intermediation for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
acceptance of deposits;
lending of all types;
guarantees and commitments;
money broking;
the provision and transfer of financial information, and financial data processing and related software; and
advisory and other auxiliary financial services relating to banking and other financial services as described in in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
goods in international transit;
reinsurance and retrocession;
services auxiliary to insurance;
lending of all types;
the acceptance of guarantees and commitments from foreign credit institutions by domestic legal entities and sole proprietors;
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
(b) Insurance and insurance-related services
With respect to Cross-border trade in services – Market access, National treatment:
Existing measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
With respect to Cross-border trade in services – Local presence:
Only insurers having their head office in the European Union or having their branch in Finland may offer direct insurance services, including co-insurance.
Existing measures:
In FR: Insurance of risks relating to ground transport may be underwritten only by insurance firms established in the European Union.
Existing measures:
In HU: Only legal persons of the EU and branches registered in Hungary may supply direct insurance services.
Existing measures:
In IT: Transport insurance of goods, insurance of vehicles and liability insurance regarding risks located in Italy may be underwritten only by insurance companies established in the European Union, except for international transport involving imports into Italy.
Cross-border supply of actuarial services.
Existing measures:
In PT: Air and maritime transport insurance, covering goods, aircraft, hull and liability can be underwritten only by enterprises legal persons of the European Union. Only natural persons of, or enterprises established in, the European Union may act as intermediaries for such insurance business in Portugal.
Existing measure:
With respect to Investment liberalisation – Market access, National treatment
Existing measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access
For other insurance companies, residency in the EEA is required for at least one member of the board of directors, the supervisory board and the managing director. At least one auditor shall have his permanent residence in the EEA. The general agent of an insurance company of the United Kingdom must have his place of residence in Finland, unless the company has its head office in the European Union.
Existing measures:
(c) Banking and other Financial Services
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Existing measures:
In EE: For acceptance of deposits, requirement of authorisation by the Estonian Financial Supervision Authority and registration under Estonian law as a joint-stock company, a subsidiary or a branch.
Existing measures:
In SK: Investment services can only be provided by management companies which have the legal form of a joint-stock company with equity capital according to the law.
Existing measures:
With respect to Investment liberalisation –National treatment, Senior management and board of directors
In FI: At least one of the founders, the members of the board of directors, the supervisory board, the managing director of banking services providers and the person entitled to sign the name of the credit institution shall have their permanent residence in the EEA. At least one auditor shall have his permanent residence in the EEA.
Existing measures:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services - Local presence:
Existing measures:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Local presence:
Existing measures:
With respect to Cross-border trade in services – Market access:
Reservation No. 17 - Health and social services
|
Sector: |
Health and social services |
|
Industry classification: |
CPC 93, 931, other than 9312, part of 93191, 9311, 93192, 93193, 93199 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Health services – hospital, ambulance, residential health services (CPC 93, 931, other than 9312, part of 93191, 9311, 93192, 93193, 93199)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of directors:
The EU: For the supply of all health services which receive public funding or State support in any form.
The EU: For all privately funded health services, other than privately funded hospital, ambulance, and residential health facilities services other than hospital services. The participation of private operators in the privately funded health network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
This reservation does not relate to the supply of all health-related professional services, including the services supplied by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
In AT, PL and SI: The supply of privately funded ambulance services (CPC 93192).
In BE: the establishment of privately funded ambulance and residential health facilities services other than hospital services (CPC 93192, 93193).
In BG, CY, CZ, FI, MT and SK: The supply of privately-funded hospital, ambulance, and residential health services other than hospital services (CPC 9311, 93192, 93193).
In FI: Supply of other human health services (CPC 93199).
Existing measures:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors, Performance requirements:
With respect to Investment liberalisation – Market access, National treatment:
To nationalise other key privately funded hospitals (CPC 93110).
In FR: To the supply of privately funded laboratory analysis and testing services.
With respect to Cross-border trade in services – Market access, National treatment:
Existing measures:
(b) Health and social services, including pension insurance
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In HU: The cross-border supply of all hospital, ambulance, and residential health services other than hospital services, which receive public funding (CPC 9311, 93192, 93193).
(c) Social services, including pension insurance
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements:
In BE, CY, DE, DK, EL, ES, FR, IE, IT and PT: The supply of privately funded social services other than services relating to convalescent and rest houses and old people's homes.
In CZ, FI, HU, MT, PL, RO, SK, and SI: The supply of privately funded social services.
In DE: The Social Security System of Germany, where services are provided by different companies or entities involving competitive elements and might therefore not fall under the definition of the "Services carried out exclusively in the exercise of governmental authority".
Existing measures:
Reservation No. 18 - Tourism and travel related services
|
Sector: |
Tourist guides services, health and social services |
|
Industry classification: |
CPC 7472 |
|
Type of reservation: |
National treatment Most-favoured-nation treatment |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
With respect to Investment liberalisation –National treatment and Cross-border trade in services – National treatment:
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment:
Reservation No. 19 - Recreational, cultural and sporting services
|
Sector: |
Recreational, cultural and sporting services |
|
Industry classification: |
CPC 962, 963, 9619, 964 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Libraries, archives, museums and other cultural services (CPC963)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
In AT and LT: A licence or concession may be required for establishment.
(b) Entertainment services, theatre, live bands and circus services (CPC 9619, 964 other than 96492)
With respect to Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
(c) News and press agencies (CPC 962)
With respect to Investment liberalisation – Market access, National treatment:
Existing measures:
With respect to Cross-border trade in services – Market access:
(d) Gambling and betting services (CPC 96492)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
Reservation No. 20 - Transport services and auxiliary transport services
|
Sector: |
Transport services |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Maritime transport – any other commercial activity undertaken from a ship
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
(b) Auxiliary services to maritime transport
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
With respect to Investment liberalisation – Market access and Cross-border trade in services –National treatment, Local presence:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, National treatment, Local presence:
Existing measures:
(c) Auxiliary services to inland waterways transport
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence, Most favoured-nation treatment:
(d) Rail transport and auxiliary services to rail transport
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Market access, Local Presence:
Existing measures:
(e) Road transport (passenger transportation, freight transportation, international truck transport services) and services auxiliary to road transport
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
to require establishment and to limit the cross-border supply of road transport services (CPC 712).
to limit the supply of cabotage within a Member State by foreign investors established in another Member State (CPC 712).
an economic needs test may apply to taxi services in the Union setting a limit on the number of service suppliers. Main criteria: local demand as provided in applicable laws (CPC 71221).
With respect to Investment liberalisation – Market access:
An economic needs test is applied to intercity bussing services. Main criteria: number of and impact on existing establishments, population density, geographical spread, impact on traffic conditions and creation of new employment.
An economic needs test is applied to the supply of freight transportation services. Main criteria: local demand (CPC 712).
In BG, DE: For passenger and freight transportation, exclusive rights or authorisations may only be granted to natural persons of the Union and to legal persons of the Union having their headquarters in the Union. (CPC 712).
In MT: For public bus service: The entire network is subject to a concession which includes a Public Service Obligation agreement to cater for certain social sectors (such as students and the elderly) (CPC 712).
With respect to Investment liberalisation – Market access, National treatment,
In FI: Authorisation is required to provide road transport services, which is not extended to foreign registered vehicles (CPC 712).
With respect to Investment liberalisation – Market access, National treatment:
With respect to Investment liberalisation – Market access:
With respect to Cross-border trade in services – Market access:
Existing measures:
(f) Space transport and rental of space craft
With respect to Investment liberalisation – Market access, National treatment, Performance requirements, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
(g) Most-favoured-nation exemptions
With respect to Investment liberalisation – Most-favoured-nation treatment, and Cross-border trade in services – Most-favoured-nation treatment:
reserve or limit the supply of the relevant transport services between the contracting Parties or across the territory of the contracting Parties to vehicles registered in each contracting Party ( 131 ); or
provide for tax exemptions for such vehicles.
Existing measures:
In HR: Measures applied under existing or future agreements on international road transport and which reserve or limit the supply of transport services and specify operating conditions, including transit permits or preferential road taxes of transport services into, in, across and out of Croatia to the parties concerned (CPC 7121, 7122, 7123).
In LT: Measures that are taken under bilateral agreements and which set the provisions for transport services and specify operating conditions, including bilateral transit and other transport permits for transport services into, through and out of the territory of Lithuania to the contracting parties concerned, and road taxes and levies (CPC 7121, 7122, 7123).
In SK: Measures that are taken under existing or future agreements, and which reserve or limit the supply of transport services and specify operating conditions, including transit permits or preferential road taxes of a transport services into, in, across and out of the Slovak Republic to the contracting parties concerned (CPC 7121, 7122, 7123).
Reservation No. 21 - Agriculture, fishing and water
|
Sector: |
Agriculture, hunting, forestry; fishing, aquaculture, services incidental to fishing; collection, purification and distribution of water |
|
Industry classification: |
ISIC Rev. 3.1 011, ISIC Rev. 3.1 012, ISIC Rev. 3.1 013, ISIC Rev. 3.1 014, ISIC Rev. 3.1 015, CPC 8811, 8812, 8813 other than advisory and consultancy services; ISIC Rev. 3.1 0501, 0502, CPC 882 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Agriculture, hunting and forestry
With respect to Investment liberalisation – Market access, National treatment:
Existing measures:
(b) Fishing, aquaculture and services incidental to fishing (ISIC Rev. 3.1 0501, 0502, CPC 882)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements, Most-favoured-nation treatment and Cross-border trade in services – Market access, National treatment, Most-favoured-nation treatment, Local presence:
In particular within the framework of the Common Fisheries Policy, and of fishing agreements with a third country, access to and use of the biological resources and fishing grounds situated in maritime waters coming under the sovereignty or the jurisdiction of Member States, or entitlements for fishing under a Member State fishing licence, including:
regulating the landing of catches by vessels flying the flag of the United Kingdom or a third country with respect to the quotas allocated to them or, only with respect to vessels flying the flag of a Member State, requiring that a proportion of the total catch is landed in Union ports;
determining a minimum size for a company in order to preserve both artisanal and coastal fishing vessels;
according differential treatment pursuant to existing or future bilateral agreements relating to fisheries; and
requiring the crew of a vessel flying the flag of a Member State to be nationals of Member States.
A fishing vessel’s entitlement to fly the flag of a Member State only if:
it is wholly owned by:
companies incorporated in the Union; or
Member State nationals;
its day-to-day operations are directed and controlled from within the Union; and
any charterer, manager or operator of the vessel is a company incorporated in the Union or a national of a Member State.
A commercial fishing licence granting the right to fish in the territorial waters of a Member State may only be granted to vessels flying the flag of a Member State.
The establishment of marine or inland aquaculture facilities.
Point (a), (b), (c) (other than with respect to most-favoured nation treatment) and (d) of paragraph 1; point (a)(i), point (b) and (c) of paragraph 2 and paragraph 3 only apply to measures which are applicable to vessels or to enterprises irrespective of the nationality of their beneficial owners.
With respect to Investment liberalisation – Market access:
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment:
(c) Collection, purification and distribution of water
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
Reservation No. 22 - Energy related activities
|
Sector: |
Production of energy and related services |
|
Industry classification: |
ISIC Rev. 3.1 10, 1110, 12, 120, 1200, 13, 14, 232, 233, 2330, 40, 401, 4010, 402, 4020, part of 4030, CPC 613, 62271, 63297, 7131, 71310, 742, 7422, part of 88, 887. |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Energy services – general (ISIC Rev. 3.1 10, 1110, 13, 14, 232, 40, 401, 402, part of 403, 41; CPC 613, 62271, 63297, 7131, 742, 7422, 887 (other than advisory and consulting services))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence:
This reservation does not apply to HR, HU and LT (for LT, only CPC 7131) with regard to the pipeline transport of fuels, nor to LV with regard to services incidental to energy distribution, nor to SI with regard to services incidental to the distribution of gas (ISIC Rev. 3.1 401, 402, CPC 7131, 887 other than advisory and consultancy services).
In CY: For the manufacture of refined petroleum products in so far as the investor is controlled by a natural or juridical person of a third country which accounts for more than 5 per cent of the Union's oil or natural gas imports, as well as to the manufacture of gas, distribution of gaseous fuels through mains on own account, the production, transmission and distribution of electricity, the pipeline transportation of fuels, services incidental to electricity and natural gas distribution other than advisory and consulting services, wholesale services of electricity, retailing services of motor fuel, electricity and non-bottled gas. Nationality and residency conditions applies for electricity related services. (ISIC Rev. 3.1 232, 4010, 4020, CPC 613, 62271, 63297, 7131, and 887 other than advisory and consulting services).
In FI: The transmission and distribution networks and systems of energy and of steam and hot water.
In FI: The quantitative restrictions in the form of monopolies or exclusive rights for the importation of natural gas, and for the production and distribution of steam and hot water. Currently, natural monopolies and exclusive rights exist (ISIC Rev. 3.1 40, CPC 7131, 887 other than advisory and consultancy services).
In FR: The electricity and gas transmission systems and oil and gas pipeline transport (CPC 7131).
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services –National treatment, Local presence:
With respect to Investment liberalisation – Market access, National treatment:
Existing measures:
(b) Electricity (ISIC Rev. 3.1 40, 401; CPC 62271, 887 (other than advisory and consulting services))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment:
The production of electricity within the offshore territory of BE is subject to concession and a joint venture obligation with a legal person of the Union, or with a legal person of a country having a regime similar to that of Directive 2003/54/EC of the European Parliament and of the Council ( 135 ), particularly with regard to conditions relating to the authorisation and selection.
Additionally, the legal person should have its central administration or its head office in a Member State of the European Union or a country meeting the above criteria, where it has an effective and continuous link with the economy.
The construction of electrical power lines which link offshore production to the transmission network of Elia requires authorisation and the company must meet the previously specified conditions, except for the joint venture requirement.
With respect to Cross-border trade in services – National treatment:
With respect to Investment liberalisation – Market access:
Existing measures:
(c) Fuels, gas, crude oil or petroleum products (ISIC Rev. 3.1 232, 40, 402; CPC 613, 62271, 63297, 7131, 71310, 742, 7422, part of 88, 887 (other than advisory and consulting services))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
With respect to Cross-border trade in services – Market access, National treatment:
Where the authorisation is requested by a company:
the company must be established in accordance with Belgian law, or the law of another Member State, or the law of a third country, which has undertaken commitments to maintain a regulatory framework similar to the common requirements specified in Directive 98/30/EC of the European Parliament and the Council ( 136 ); and
the company must hold its administrative seat, its principal establishment or its head office within a Member State, or a third country, which has undertaken commitments to maintain a regulatory framework similar to the common requirements specified in Directive 98/30/EC, provided that the activity of this establishment or head office represents an effective and continuous link with the economy of the country concerned (CPC 7131).
In BE: In general the supply of natural gas to customers (customers being both distribution companies and consumers whose overall combined consumption of gas arising from all points of supply attains a minimum level of one million cubic metres per year) established in Belgium is subject to an individual authorisation provided by the minister, except where the supplier is a distribution company using its own distribution network. Such an authorisation may only be granted to natural or legal persons of the European Union.
In CY: For the cross-border supply of storage and warehousing services of fuels transported through pipelines, and the retail sales of fuel oil and bottled gas other than by mail order (CPC 613, CPC 62271, CPC 63297, CPC 7131, CPC 742).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
With respect to Cross-border trade in services – Market access:
Existing measures:
(d) Nuclear (ISIC Rev. 3.1 12, 3.1 23, 120, 1200, 233, 2330, 40, part of 4010, CPC 887))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
With respect to Investment liberalisation – Market access, National treatment:
Existing measures:
Reservation No. 23 - Other services not included elsewhere
|
Sector: |
Other services not included elsewhere |
|
Industry classification: |
CPC 9703, part of CPC 612, part of CPC 621, part of CPC 625, part of 85990 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a) Funeral, cremation services and undertaking services (CPC 9703)
With respect to Investment liberalisation – Market access, National treatment:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
Existing measures:
(b) Other business-related services
With respect to Cross-border trade in services – Market access:
Existing measures:
(c) New services
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence:
Schedule of the United Kingdom
Reservation No. 1 – All sectors
|
Sector: |
All sectors |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence Obligations for Legal Services |
|
Chapter/ Section: |
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Commercial presence
With respect to Investment liberalisation – Market access:
Public utilities exist in sectors such as related scientific and technical consulting services, research and development (R&D) services on social sciences and humanities, technical testing and analysis services, environmental services, health services, transport services and services auxiliary to all modes of transport. Exclusive rights on such services are often granted to private operators, for instance operators with concessions from public authorities, subject to specific service obligations. Given that public utilities often also exist at the sub-central level, detailed and exhaustive sector-specific scheduling is not practical. This reservation does not apply to telecommunications and to computer and related services.
(b) Most-favoured-nation treatment
With respect to Investment liberalisation – Most favoured nation treatment and Cross-Border Trade in Services – Most favoured nation treatment and Regulatory Framework for Legal Services – Obligations:
creates an internal market in services and investment;
grants the right of establishment; or
requires the approximation of legislation in one or more economic sectors.
An internal market on services and establishment means an area without internal frontiers in which the free movement of services, capital and persons is ensured.
The right of establishment means an obligation to abolish in substance all barriers to establishment among the parties to the regional economic integration agreement by the entry into force of that agreement. The right of establishment shall include the right of nationals of the parties to the regional economic integration agreement to set up and operate enterprises under the same conditions provided for nationals under the law of the country where such establishment takes place.
The approximation of legislation means:
the alignment of the legislation of one or more of the parties to the regional economic integration agreement with the legislation of the other party or parties to that agreement; or
the incorporation of common legislation into the law of the parties to the regional economic integration agreement.
Such alignment or incorporation shall take place, and shall be deemed to have taken place, only at such time that it has been enacted in the law of the party or parties to the regional economic integration agreement.
According differential treatment relating to the right of establishment to nationals or enterprises through existing or future bilateral agreements between the UK and any of the following countries or principalities: Andorra, Monaco, San Marino and the Vatican City State.
(c) Arms, ammunitions and war material
With respect to Investment liberalisation – Market access, National treatment, Most favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-Border Trade in Services – Market access, Local presence, National treatment, Most favoured nation treatment:
Reservation No. 2 – Professional services (all professions except health related)
|
Sector– sub-sector: |
Professional services - legal services, auditing services |
|
Industry classification: |
Part of CPC 861, part of 87902, part of 862 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Local presence Obligations for Legal Services |
|
Chapter/ Section: |
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services |
Description:
(a) Legal services
With respect to Investment liberalisation – Market access, Senior management and boards of directors, National treatment, Cross-border trade in services – Market access, Local presence, National treatment and Regulatory framework – for legal services – Obligations:
(b) Auditing services (CPC 86211, 86212 other than accounting and bookkeeping services)
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
Existing measures:
Reservation No. 3 - Professional services (health related and retail of pharmaceuticals)
|
Sector: |
Health related professional services and retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists |
|
Industry classification: |
CPC 63211, 85201, 9312, 9319, 93121 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Medical and dental services; services provided by midwives, nurses, physiotherapists, psychologists and paramedical personnel (CPC 63211, 85201, 9312, 9319)
With respect to Investment liberalisation – Market access:
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
The supply of all health-related professional services, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, requires residency. These services may only be provided by natural persons physically present in the territory of the UK (CPC 9312, part of 93191).
The cross-border supply of medical, dental and midwives services and services provided by nurses, physiotherapists, psychologists and paramedical personnel (part of CPC 85201, 9312, part of 93191).
For service suppliers not physically present in the territory of the UK (part of CPC 85201, 9312, part of 93191).
(b) Retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists (CPC 63211)
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, Local presence:
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
Reservation No. 4 – Business services (collection agency services and credit reporting services)
|
Sector– sub-sector: |
Business services - collection agency services, credit reporting services |
|
Industry classification: |
CPC 87901, 87902 |
|
Type of reservation: |
Market access National treatment Local presence |
|
Chapter: |
Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the supply of collection agency services and credit reporting services.
Reservation No. 5 – Business services (placement services)
|
Sector– sub-sector: |
Business Services – placement services |
|
Industry classification: |
CPC 87202, 87204, 87205, 87206, 87209 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
The supply of placement services of domestic help personnel, other commercial or industrial workers, nursing and other personnel (CPC 87204, 87205, 87206, 87209).
To require establishment and to prohibit the cross-border supply of placement services of office support personnel and other workers.
Reservation No. 6 – Business services (investigation services)
|
Sector – sub-sector: |
Business Services – investigation services |
|
Industry classification: |
CPC 87301 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the supply of investigation services (CPC 87301).
Reservation No. 7 – Business services (other business services)
|
Sector– sub-sector: |
Business services – other business services |
|
Industry classification: |
CPC 86764, 86769, 8868, part of 8790 |
|
Type of reservation: |
Market access National treatment Most favoured nation treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Maintenance and repair of vessels, rail transport equipment and aircraft and parts thereof (part of CPC 86764, CPC 86769, CPC 8868)
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
Only recognised organisations authorised by the UK may carry out statutory surveys and certification of ships on behalf of the UK. Establishment may be required.
Existing measures:
(b) Other business services related to aviation
With respect to Investment liberalisation - Most favoured nation treatment and Cross-border trade in Services – Most favoured nation treatment:
aircraft repair and maintenance services;
rental or leasing of aircraft without crew;
computer reservation system (CRS) services;
the following services provided using a manned aircraft, subject to compliance with the Parties' respective laws and regulations governing the admission of aircrafts to, departure from and operation within, their territory: aerial fire-fighting, flight training, spraying, surveying, mapping, photography, and other airborne agricultural, industrial and inspection services; and
the selling and marketing of air transport services.
Reservation No. 8 – Education services
|
Sector: |
Education services |
|
Industry classification: |
CPC 92 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
All educational services which receive public funding or State support in any form, and are therefore not considered to be privately funded. Where the supply of privately funded education services by a foreign provider is permitted, participation of private operators in the education system may be subject to the granting of a concession allocated on a non-discriminatory basis.
The supply of privately funded other education services, which means other than those classified as being primary, secondary, higher and adult education services (CPC 929).
Reservation No. 9 – Financial services
|
Sector: |
Financial services |
|
Industry classification: |
|
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) All financial services
With respect to Investment liberalisation – Market access:
With respect to Investment liberalisation – Most favoured nation treatment and Cross-border trade in services – Most favoured nation treatment:
According differential treatment to an investor or a financial services supplier of a third country pursuant to any bilateral or multilateral international investment treaty or other trade agreement.
(b) Insurance and insurance-related services
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
Reinsurance and retrocession; and
Services auxiliary to insurance.
(c) Banking and other financial services
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Only firms having their registered office in the UK can act as depositories of the assets of investment funds. The establishment of a specialised management company, having its head office and registered office in the UK, is required to perform the activities of management of common funds, including unit trusts, and where allowed under national law, investment companies.
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point;
Reservation No. 10 – Health and social services
|
Sector: |
Health and social services |
|
Industry classification: |
CPC 931 other than 9312, part of 93191 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Health services – hospital, ambulance, residential health services (CPC 931 other than 9312, part of 93191)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of directors:
For the supply of all health services which receive public funding or State support in any form, and are therefore not considered to be privately funded.
All privately funded health services other than hospital services. The participation of private operators in the privately funded health network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
This reservation does not relate to the supply of all health-related professional services, including the services supplied by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
(b) Health and social services, including pension insurance
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
Requiring establishment or physical presence in its territory of suppliers and restricting the cross-border supply of health services from outside its territory, the cross-border supply of social services from outside its territory, as well as activities or services forming part of a public retirement plan or statutory system of social security. This reservation does not relate to the supply of all health-related professional services, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
(c) Social services, including pension insurance
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements:
The supply of all social services which receive public funding or State support in any form, and are therefore not considered to be privately funded, and activities or services forming part of a public retirement plan or statutory system of social security. The participation of private operators in the privately funded social network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
The supply of privately funded social services other than services relating to convalescent and rest houses and old people's homes.
Reservation No. 11 – Recreational, cultural and sporting services
|
Sector: |
Recreational, cultural and sporting services |
|
Industry classification: |
CPC 963, 9619, 964 |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Libraries, archives, museums and other cultural services (CPC 963)
The supply of library, archive, museum and other cultural services.
(b) Entertainment services, theatre, live bands and circus services (CPC 9619, 964 other than 96492)
The cross-border supply of entertainment services, including theatre, live bands, circus and discotheque services.
(c) Gambling and betting services (CPC 96492)
The supply of gambling activities, which involve wagering a stake with pecuniary value in games of chance, including in particular lotteries, scratch cards, gambling services offered in casinos, gambling arcades or licensed premises, betting services, bingo services and gambling services operated by and for the benefit of charities or non-profit-making organisations.
Reservation No. 12 – Transport services and auxiliary transport services
|
Sector: |
Transport services |
|
Type of reservation: |
Market access National treatment Most favoured nation treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Maritime transport – any other commercial activity undertaken from a ship
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, Local presence, National treatment:
With respect to Investment liberalisation – Market access, National treatment, Most favoured nation treatment, Senior management and boards of directors:
For the purpose of registering a vessel and operating a fleet under the flag of the UK (all commercial marine activity undertaken from a seagoing ship, including fishing, aquaculture, and services incidental to fishing; international passenger and freight transportation (CPC 721); and services auxiliary to maritime transport). This reservation does not apply to legal persons incorporated in the UK and having an effective and continuous link to its economy.
(b) Auxiliary services to maritime transport
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, Local presence, National treatment:
The supply of pilotage and berthing services. For greater certainty, regardless of the criteria which may apply to the registration of ships in the UK, the UK reserves the right to require that only ships registered on the national registers of the UK may provide pilotage and berthing services (CPC 7452).
Only vessels carrying the flag of the UK may provide pushing and towing services (CPC 7214).
(c) Auxiliary services to inland waterways transport
With respect to Investment liberalisation – Market access, National treatment, Most favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, Local presence, National treatment, Most favoured nation treatment:
(d) Rail transport and auxiliary services to rail transport
With respect to Investment liberalisation – Market access, National treatment and Cross-Border Trade in Services – Market access, Local presence, National treatment:
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, Local presence:
(e) Road transport (passenger transportation, freight transportation, international truck transport services) and services auxiliary to road transport
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, Local presence, National treatment:
to require establishment and to limit the cross-border supply of road transport services (CPC 712);
an economic needs test may apply to taxi services in the UK setting a limit on the number of service suppliers. Main criteria: Local demand as provided in applicable laws (CPC 71221).
Existing measures:
(f) Space transport and rental of space craft
With respect to Investment Liberalisation – Market access, National treatment, Performance requirements, Senior management and boards of directors and Cross-border trade in services – Market access, Local presence, National treatment:
(g) Most-favoured-nation exemptions
With respect to Investment liberalisation – Most favoured nation treatment, and Cross-border trade in services – Most favoured nation treatment:
Road and rail transport
To accord differential treatment to a country pursuant to existing or future bilateral agreements relating to international road haulage (including combined transport – road or rail) and passenger transport, concluded between the UK and a third country (CPC 7111, 7112, 7121, 7122, 7123). That treatment may:
Air transport - Services auxiliary to air transport
According differential treatment to a third country pursuant to existing or future bilateral agreements relating to ground-handling services.
Reservation No. 13 – Fishing and water
|
Sector: |
Fishing, aquaculture, services incidental to fishing; collection, purification and distribution of water |
|
Industry classification: |
ISIC Rev. 3.1 0501, 0502, CPC 882, ISIC Rev. 3.1 41 |
|
Type of reservation: |
Market access National treatment Most-favoured-nation treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a) Fishing, aquaculture and services incidental to fishing (ISIC Rev. 3.1 0501, 0502, CPC 882)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements, Most favoured nation treatment and Cross-border trade in services – Market access, National treatment, Local presence, Most favoured nation treatment:
In particular within the framework of United Kingdom fisheries policy, and of fishing agreements with a third country, access to and use of biological resources and fishing grounds situated in the maritime waters coming under the sovereignty or jurisdiction of the United Kingdom, or entitlements for fishing under a United Kingdom fishing licence, including:
regulating the landing of catches by vessels flying the flag of a Member State or a third country with respect to the quotas allocated to them or, only with respect to vessels flying the flag of the United Kingdom, requiring that a proportion of the total catch is landed in United Kingdom ports;
determining a minimum size for a company in order to preserve both artisanal and coastal fishing vessels;
according differential treatment pursuant to existing or future international agreements relating to fisheries; and
requiring the crew of a vessel flying the flag of the United Kingdom to be United Kingdom nationals.
A fishing vessel’s entitlement to fly the flag of the United Kingdom only if:
it is wholly owned by:
companies incorporated in the United Kingdom; or
United Kingdom nationals;
its day-to-day operations are directed and controlled from within the United Kingdom; and
any charterer, manager or operator of the vessel is a company incorporated in the United Kingdom or a United Kingdom national.
A commercial fishing licence granting the right to fish in the territorial waters of the United Kingdom may only be granted to vessels flying the flag of the United Kingdom.
The establishment of marine or inland aquaculture facilities.
Point (a), (b), (c) (other than with respect to most-favoured nation treatment) and (d) of paragraph 1, point (a)(i), point (b) and (c) of paragraph 2 and paragraph 3 only apply to measures which are applicable to vessels or to enterprises irrespective of the nationality of their beneficial owners.
(b) Collection, purification and distribution of water
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, Local presence, National treatment:
For activities, including services relating to the collection, purification and distribution of water to household, industrial, commercial or other users, including the supply of drinking water, and water management.
Reservation No. 14 – Energy related activities
|
Sector: |
Production of energy and related services |
|
Industry classification: |
ISIC Rev. 3.1 401, 402, CPC 7131, CPC 887 (other than advisory and consulting services). |
|
Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure, where the UK permits foreign ownership of a gas or electricity transmission system, or an oil and gas pipeline transport system, with respect to enterprises of the Union controlled by natural persons or enterprises of a third country which accounts for more than 5 per cent of the UK's oil, natural gas or electricity imports, in order to guarantee the security of the energy supply of the UK. This reservation does not apply to advisory and consultancy services provided as services incidental to energy distribution.
Reservation No. 15 – Other services not included elsewhere
|
Sector: |
Other services not included elsewhere |
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Type of reservation: |
Market access National treatment Senior management and boards of directors Performance requirements Local presence |
|
Chapter: |
Investment liberalisation and Cross-border trade in services |
Description:
The UK reserves the right to adopt or maintain any measure with respect to the provision of new services other than those classified in the United Nations Provisional Central Product Classification (CPC), 1991.
ANNEX 21
BUSINESS VISITORS FOR ESTABLISHMENT PURPOSES, INTRA-CORPORATE TRANSFEREES AND SHORT-TERM BUSINESS VISITORS
1. A measure listed in this Annex may be maintained, continued, promptly renewed, or amended, provided that the amendment does not decrease the conformity of the measure with Articles 141 and 142 of this Agreement, as it existed immediately before the amendment.
2. Articles 141 and 142 of this Agreement do not apply to any existing non-conforming measure listed in this Annex, to the extent of the non-conformity.
3. The schedules in paragraphs 6, 7 and 8 apply only to the territories of the United Kingdom and the Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
4. For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, in application of the Treaty on the Functioning of the European Union, or of any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
natural persons or residents of another Member State; or
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
5. The following abbreviations are used in the paragraphs below:
|
AT |
Austria |
|
BE |
Belgium |
|
BG |
Bulgaria |
|
CY |
Cyprus |
|
CZ |
Czechia |
|
DE |
Germany |
|
DK |
Denmark |
|
EE |
Estonia |
|
EL |
Greece |
|
ES |
Spain |
|
EU |
European Union, including all its Member States |
|
FI |
Finland |
|
FR |
France |
|
HR |
Croatia |
|
HU |
Hungary |
|
IE |
Ireland |
|
IT |
Italy |
|
LT |
Lithuania |
|
LU |
Luxembourg |
|
LV |
Latvia |
|
MT |
Malta |
|
NL |
The Netherlands |
|
PL |
Poland |
|
PT |
Portugal |
|
RO |
Romania |
|
SE |
Sweden |
|
SI |
Slovenia |
|
SK |
Slovak Republic |
6. The Union's non-conforming measures are:
|
All sectors |
AT, CZ: Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound. SK: Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound. Work permit required, including economic needs test. CY: Permissible length of stay: up to 90 days in any twelve month period. Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound. |
|
All sectors |
EU: Until 31 December 2022 any charge, fee or tax imposed by a Party (other than fees associated with the processing of a visa, work permit, or residency permit application or renewal) on the grounds of being allowed to perform an activity or to hire a person who can perform such activity in the territory of a Party, unless it is a requirement consistent with Article 140(3) of this Agreement, or a health fee under national legislation in connection with an application for a permit to enter, stay, work, or reside in the territory of a Party. AT, CZ, SK: Intra-corporate transferees need to be employed by an enterprise other than a non-profit organisation, otherwise: Unbound. FI: Senior personnel needs to be employed by an enterprise other than a non-profit organisation. HU: Natural persons who have been a partner in an enterprise do not qualify to be transferred as intra-corporate transferees. |
|
All activities referred to in paragraph 8: |
CY, DK, HR: Work permit, including economic needs test, required in case the short-term business visitor supplies a service. LV: Work permit required for operations/activities to be performed on the basis of a contract. MT: Work permit required. No economic needs tests performed. SI: A single residency and work permit is required for the supply of services exceeding 14 days at a time and for certain activities (research and design; training seminars; purchasing; commercial transactions; translation and interpretation). An economic needs test is not required. SK: In case of supplying a service in the territory of Slovakia, a work permit, including economic needs test, is required beyond seven days in a month or 30 days in calendar year. |
|
Research and design |
AT: Work permit, including economic needs test, required, except for research activities of scientific and statistical researchers. |
|
Marketing research |
AT: Work permit required, including economic needs test. Economic needs test is waived for research and analysis activities for up to seven days in a month or 30 days in a calendar year. University degree required. CY: Work permit required, including economic needs test. |
|
Trade fairs and exhibitions |
AT, CY: Work permit, including economic needs test, required for activities beyond seven days in a month or 30 days in a calendar year. |
|
After-sales or after-lease service |
AT: Work permit required, including economic needs test. Economic needs test is waived for natural persons training workers to supply services and possessing specialisedge knowledge. CY, CZ : Work permit is required beyond seven days in a month or 30 days in calendar year. ES: Installers, repair and maintainers should be employed as such by the legal person supplying the good or service or by an enterprise which is a member of the same group as the originating legal person for at least three months immediately preceding the date of submission of an application for entry and they should possess at least 3 years of relevant professional experience, where applicable, obtained after the age of majority. FI: Depending on the activity, a residence permit may be required. SE: Work permit required, except for (i) natural persons who participate in training, testing, preparation or completion of deliveries, or similar activities within the framework of a business transaction, or (ii) fitters or technical instructors in connection with urgent installation or repair of machinery for up to two months, in the context of an emergency. No economic needs test required. |
|
Commercial transactions |
AT, CY: Work permit, including economic needs test, required for activities beyond seven days in a month or 30 days in a calendar year. FI: The natural person needs to be supplying services as an employee of a legal person of the other Party. |
|
Tourism personnel |
CY, ES, PL: Unbound. FI: The natural person needs to be supplying services as an employee of a legal person of the other Party. SE: Work permit required, except for drivers and staff of tourist buses. No economic needs test required. |
|
Translation and interpretation |
AT: Work permit required, including economic needs test. CY, PL: Unbound. |
7. The United Kingdom's non-conforming measures are:
|
All sectors |
Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound. |
|
All sectors |
Intra-corporate transferees need to be employed by an enterprise other than a non-profit organisation, otherwise: Unbound. Until 31 December 2022 any charge, fee or tax imposed by a Party (other than fees associated with the processing of a visa, work permit, or residency permit application or renewal) on the grounds of being allowed to perform an activity or to hire a person who can perform such activity in the territory of a Party, unless it is a requirement consistent with Article 140(3) of this Agreement, or a health fee under national legislation in connection with an application for a permit to enter, stay, work, or reside in the territory of a Party. |
|
All activities referred to in paragraph 8: |
None |
8. The activities Short-term business visitors are permitted to engage in are:
meetings and consultations: natural persons attending meetings or conferences, or engaged in consultations with business associates;
research and design: technical, scientific and statistical researchers conducting independent research or research for a legal person of the Party of which the Short-term business visitor is a natural person;
marketing research: market researchers and analysts conducting research or analysis for a legal person of the Party of which the Short-term business visitor is a natural person;
training seminars: personnel of an enterprise who enter the territory being visited by the Short-term business visitor to receive training in techniques and work practices which are utilised by companies or organisations in the territory being visited by the Short-term business visitor, provided that the training received is confined to observation, familiarisation and classroom instruction only;
trade fairs and exhibitions: personnel attending a trade fair for the purpose of promoting their company or its products or services;
sales: representatives of a supplier of services or goods taking orders or negotiating the sale of services or goods or entering into agreements to sell services or goods for that supplier, but not delivering goods or supplying services themselves. Short-term business visitors shall not engage in making direct sales to the general public;
purchasing: buyers purchasing goods or services for an enterprise, or management and supervisory personnel, engaging in a commercial transaction carried out in the territory of the Party of which the Short-term business visitor is a natural person;
after-sales or after-lease service: installers, repair and maintenance personnel and supervisors, possessing specialised knowledge essential to a seller's contractual obligation, supplying services or training workers to supply services pursuant to a warranty or other service contract incidental to the sale or lease of commercial or industrial equipment or machinery, including computer software, purchased or leased from a legal person of the Party of which the Short-term business visitor is a natural person throughout the duration of the warranty or service contract;
commercial transactions: management and supervisory personnel and financial services personnel (including insurers, bankers and investment brokers) engaging in a commercial transaction for a legal person of the Party of which the Short-term business visitor is a natural person;
tourism personnel: tour and travel agents, tour guides or tour operators attending or participating in conventions or accompanying a tour that has begun in the territory of the Party of which the Short-term business visitor is a natural person; and
translation and interpretation: translators or interpreters supplying services as employees of a legal person of the Party of which the Short-term business visitor is a natural person.
ANNEX 22
CONTRACTUAL SERVICE SUPPLIERS AND INDEPENDENT PROFESSIONALS
1. Each Party shall allow the supply of services in its territory by contractual service suppliers or independent professionals of the other Party through the presence of natural persons, in accordance with Article 143 of this Agreement, for the sectors listed in this Annex and subject to the relevant limitations.
2. The list below is composed of the following elements:
the first column indicating the sector or sub-sector for which the category of contractual service suppliers and independent professionals is liberalised; and
the second column describing the applicable limitations.
3. In addition to the list of reservations in this Annex, each Party may adopt or maintain a measure relating to qualification requirements, qualification procedures, technical standards, licensing requirements or licensing procedures that does not constitute a limitation within the meaning of Article 143 of this Agreement. These measures, which include requirements to obtain a licence, obtain recognition of qualifications in regulated sectors or to pass specific examinations, such as language examinations, even if not listed in this Annex, apply in any case to contractual service suppliers or independent professionals of the Parties.
4. The Parties do not undertake any commitment for contractual service suppliers and independent professionals in economic activities which are not listed.
5. In identifying individual sectors and sub-sectors: CPC means the Central Products Classification as set out in Statistical Office of the United Nations, Statistical Papers, Series M, N° 77, CPC prov., 1991.
6. In the sectors where economic needs tests are applied, their main criteria will be the assessment of:
for the United Kingdom, the relevant market situation in the United Kingdom; and
for the Union, the relevant market situation in the Member State or the region where the service is to be provided, including with respect to the number of, and the impact on, services suppliers who are already supplying a service when the assessment is made.
7. The schedules in paragraphs 10 to 13 apply only to the territories of the United Kingdom and the Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
8. For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, in application of the Treaty on the Functioning of the European Union, or of any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
natural persons or residents of another Member State; or
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
9. The following abbreviations are used in the lists below:
|
AT |
Austria |
|
BE |
Belgium |
|
BG |
Bulgaria |
|
CY |
Cyprus |
|
CZ |
Czechia |
|
DE |
Germany |
|
DK |
Denmark |
|
EE |
Estonia |
|
EL |
Greece |
|
ES |
Spain |
|
EU |
European Union, including all its Member States |
|
FI |
Finland |
|
FR |
France |
|
HR |
Croatia |
|
HU |
Hungary |
|
IE |
Ireland |
|
IT |
Italy |
|
LT |
Lithuania |
|
LU |
Luxembourg |
|
LV |
Latvia |
|
MT |
Malta |
|
NL |
The Netherlands |
|
PL |
Poland |
|
PT |
Portugal |
|
RO |
Romania |
|
SE |
Sweden |
|
SI |
Slovenia |
|
SK |
Slovak Republic |
|
CSS |
Contractual Service Suppliers |
|
IP |
Independent Professionals |
Contractual Service Suppliers
10. Subject to the list of reservations in paragraphs 12 and 13, the Parties take commitments in accordance with Article 143 of this Agreement with respect to the mode 4 category of Contractual Service Suppliers in the following sectors or sub-sectors:
Legal advisory services in respect of public international law and home jurisdiction law;
Accounting and bookkeeping services;
Taxation advisory services;
Architectural services and urban planning and landscape architectural services;
Engineering services and integrated engineering services;
Medical and dental services;
Veterinary services;
Midwives services;
Services provided by nurses, physiotherapists and paramedical personnel;
Computer and related services;
Research and development services;
Advertising services;
Market research and opinion polling;
Management consulting services;
Services related to management consulting;
Technical testing and analysis services;
Related scientific and technical consulting services;
Mining;
Maintenance and repair of vessels;
Maintenance and repair of rail transport equipment;
Maintenance and repair of motor vehicles, motorcycles, snowmobiles and road transport equipment;
Maintenance and repair of aircrafts and parts thereof;
Maintenance and repair of metal products, of (non office) machinery, of (non transport and non office) equipment and of personal and household goods;
Translation and interpretation services;
Telecommunication services;
Postal and courier services;
Construction and related engineering services;
Site investigation work;
Higher education services;
Services relating to agriculture, hunting and forestry;
Environmental services;
Insurance and insurance related services advisory and consulting services;
Other financial services advisory and consulting services;
Transport advisory and consulting services;
Travel agencies and tour operators' services;
Tourist guides services;
Manufacturing advisory and consulting services.
Independent Professionals
11. Subject to the list of reservations in paragraphs 12 and 13, the Parties take commitments in accordance with Article 143 of this Agreement with respect to the mode 4 category of Independent Professionals in the following sectors or sub-sectors:
Legal advisory services in respect of public international law and home jurisdiction law;
Architectural services and urban planning and landscape architectural services;
Engineering services and integrated engineering services;
Computer and related services;
Research and development services;
Market research and opinion polling;
Management consulting services;
Services related to management consulting;
Mining;
Translation and interpretation services;
Telecommunication services;
Postal and courier services
Higher education services;
Insurance related services advisory and consulting services;
Other financial services advisory and consulting services;
Transport advisory and consulting services;
Manufacturing advisory and consulting services.
12. The Union's reservations are:
|
Sector or sub-sector |
Description of reservations |
|
All sectors |
CSS and IP: In AT: Maximum stay shall be for a cumulative period of not more than six months in any 12 month period or for the duration of the contract, whichever is less. In CZ: Maximum stay shall be for a period of not more than 12 consecutive months or for the duration of the contract, whichever is less. |
|
Legal advisory services in respect of public international law and home jurisdiction law (part of CPC 861) |
CSS: In AT, BE, CY, DE, EE, EL, ES, FR, HR, IE, IT, LU, NL, PL, PT, SE: None. In BG, CZ, DK, FI, HU, LT, LV, MT, RO, SI, SK: Economic needs test. IP: In AT, CY, DE, EE, FR, HR, IE, LU, LV, NL, PL, PT, SE: None. In BE, BG, CZ, DK, EL, ES, FI, HU, IT, LT, MT, RO, SI, SK: Economic needs tests. |
|
Accounting and bookkeeping services (CPC 86212 other than "auditing services", 86213, 86219 and 86220) |
CSS: In AT, BE, DE, EE, ES, HR, IE, IT, LU, NL, PL, PT, SI, SE: None. In BG, CZ, CY, DK, EL, FI, FR, HU, LT, LV, MT, RO, SK: Economic needs test. IP: EU: Unbound. |
|
Taxation advisory services (CPC 863) (1) |
CSS: In AT, BE, DE, EE, ES, FR, HR, IE, IT, LU, NL, PL, SI, SE: None. In BG, CZ, CY, DK, EL, FI, HU, LT, LV, MT, RO, SK: Economic needs test. In PT: Unbound. IP: EU: Unbound. |
|
Architectural services and Urban planning and landscape architectural services (CPC 8671 and 8674) |
CSS: In BE, CY, EE, ES, EL, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None. In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied. In BG, CZ, DE, HU, LT, LV, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. In AT: Planning services only, where: Economic needs test. IP: In CY, DE, EE, EL, FR, HR, IE, LU, LV, MT, NL, PL, PT, SI, SE: None. In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied. In BE, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Economic needs test. In AT: Planning services only, where: Economic needs test. |
|
Engineering services and Integrated engineering services (CPC 8672 and 8673) |
CSS: In BE, CY, EE, ES, EL, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None. In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied. In BG, CZ, DE, HU, LT, LV, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. In AT: Planning services only, where: Economic needs test. IP: In CY, DE, EE, EL, FR, HR, IE, LU, LV, MT, NL, PL, PT, SI, SE: None. In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied. In BE, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Economic needs test. In AT: Planning services only, where: Economic needs test. |
|
Medical (including psychologists) and dental services (CPC 9312 and part of 85201) |
CSS: In SE: None. In CY, CZ, DE, DK, EE, ES, IE, IT, LU, MT, NL, PL, PT, RO, SI: Economic needs test. In FR: Economic needs test, except for psychologists, where: Unbound. In AT: Unbound, except for psychologists and dental services, where: Economic needs test. In BE, BG, EL, FI, HR, HU, LT, LV, SK: Unbound. IP: EU: Unbound. |
|
Veterinary services (CPC 932) |
CSS: In SE: None. In CY, CZ, DE, DK, EE, EL, ES, FI, FR, IE, IT, LT, LU, MT, NL, PL, PT, RO, SI: Economic needs test. In AT, BE, BG, HR, HU, LV, SK: Unbound. IP: EU: Unbound. |
|
Midwives services (part of CPC 93191) |
CSS: In IE, SE: None. In AT, CY, CZ, DE, DK, EE, EL, ES, FR, IT, LT, LV, LU, MT, NL, PL, PT, RO, SI: Economic needs test. In BE, BG, FI, HR, HU, SK: Unbound. IP: EU: Unbound. |
|
Services provided by nurses, physiotherapists and paramedical personnel (part of CPC 93191) |
CSS: In IE, SE: None. In AT, CY, CZ, DE, DK, EE, EL, ES, FR, IT, LT, LV, LU, MT, NL, PL, PT, RO, SI: Economic needs test. In BE, BG, FI, HR, HU, SK: Unbound. IP: EU: Unbound. |
|
Computer and related services (CPC 84) |
CSS: In BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, LV, MT, NL, PL, PT, SI, SE: None. In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied. In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test except for CSS stays of up to three months. IP: In DE, EE, EL, FR, IE, LU, LV, MT, NL, PL, PT, SI, SE: None. In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied. In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, RO, SK: Economic needs test. In HR: Unbound. |
|
Research and development Services (CPC 851, 852 excluding psychologists services (2), and 853) |
CSS: EU except in NL, SE: A hosting agreement with an approved research organisation is required (3). EU except in CZ, DK, SK: None In CZ, DK, SK: Economic needs test. IP: EU except in NL, SE: A hosting agreement with an approved research organisation is required (4). EU except in BE, CZ, DK, IT, SK: None In BE, CZ, DK, IT, SK: Economic needs test. |
|
Advertising services (CPC 871) |
CSS: In BE, DE, EE, ES, FR, HR, IE, IT, LU, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, DK, EL, FI, HU, LT, LV, MT, RO, SK: Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Market research and opinion polling services (CPC 864) |
CSS: In BE, DE, EE, ES, FR, IE, IT, LU, NL, PL, SE: None. In AT, BG, CZ, CY, DK, EL, FI, HR, LV, MT, RO, SI, SK: Economic needs test. In PT: None, except for public opinion polling services (CPC 86402), where: Unbound. In HU, LT: Economic needs test, except for public opinion polling services (CPC 86402), where: Unbound. IP: In DE, EE, FR, IE, LU, NL, PL, SE: None. In AT, BE, BG, CZ, CY, DK, EL, ES, FI, HR, IT, LV, MT, RO, SI, SK: Economic needs test. In PT: None, except for public opinion polling services (CPC 86402), where: Unbound. In HU, LT: Economic needs test, except for public opinion polling services (CPC 86402), where: Unbound. |
|
Management consulting services (CPC 865) |
CSS: In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: In CY, DE, EE, EL, FI, FR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BE, BG, CZ, DK, ES, HR, HU, IT, LT, RO, SK: Economic needs test. |
|
Services related to management consulting (CPC 866) |
CSS: In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. In HU: Economic needs test, except for arbitration and conciliation services (CPC 86602), where: Unbound. IP: In CY, DE, EE, EL, FI, FR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BE, BG, CZ, DK, ES, HR, IT, LT, RO, SK: Economic needs test In HU: Economic needs test, except for arbitration and conciliation services (CPC 86602), where: Unbound. |
|
Technical testing and analysis services (CPC 8676) |
CSS: In BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, NL, PL, SI, SE: None. In AT, BG, CZ, CY, FI, HU, LT, LV, MT, PT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: EU: Unbound, except NL. In NL: None. |
|
Related scientific and technical consulting services (CPC 8675) |
CSS: In BE, EE, EL, ES, HR, IE, IT, LU, NL, PL, SI, SE: None. In AT, CZ,CY, DE, DK, FI, HU, LT, LV, MT, PT, RO, SK: Economic needs test. In DE: None, except for publicly appointed surveyors, where: Unbound. In FR: None, except for "surveying" operations relating to the establishment of property rights and to land law, where: Unbound. In BG: Unbound. IP: EU: Unbound, except NL. In NL: None. |
|
Mining (CPC 883, advisory and consulting services only) |
CSS: In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ,CY, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: In DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None. In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, PL, RO, SK: Economic needs test. |
|
Maintenance and repair of vessels (part of CPC 8868) |
CSS: In BE, EE, EL, ES, FR, HR, IT, LV, LU, NL, PL, PT, SI, SE: None In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, MT, RO, SK: Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Maintenance and repair of rail transport equipment (part of CPC 8868) |
CSS: In BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, RO, SK: Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Maintenance and repair of motor vehicles, motorcycles, snowmobiles and road transport equipment (CPC 6112, 6122, part of 8867 and part of 8868) |
CSS: In BE, EE, EL, ES, FR, HR, IT, LV, LU, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, MT, RO, SK: Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Maintenance and repair of aircraft and parts thereof (part of CPC 8868) |
CSS: In BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, RO, SK: Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Maintenance and repair of metal products, of (non office) machinery, of (non transport and non office) equipment and of personal and household goods (5) (CPC 633, 7545, 8861, 8862, 8864, 8865 and 8866) |
CSS: In BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, DE, DK, HU, IE, LT, RO, SK: Economic needs test. In FI: Unbound, except in the context of an after-sales or after-lease contract; for maintenance and repair of personal and household goods (CPC 633): Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Translation and interpretation services (CPC 87905, excluding official or certified activities) |
CSS: In BE, CY, DE, EE, EL, ES, FR, HR, IT, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, DK, FI, HU, IE, LT, LV, RO, SK: Economic needs test. IP: In CY, DE, EE, FR, LU, LV, MT, NL, PL, PT, SI, SE: None. In AT, BE, BG, CZ, DK, EL, ES, FI, HU, IE, IT, LT, RO, SK: Economic needs test. In HR: Unbound. |
|
Telecommunication services (CPC 7544, advisory and consulting services only) |
CSS: In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: In DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, RO, SK: Economic needs test. |
|
Postal and courier services (CPC 751, advisory and consulting services only) |
CSS: In BE, DE, EE, EL, ES, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, FI, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: In DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BE, BG, CZ, CY, DK, ES, FI, HU, IT, LT, RO, SK: Economic needs test. |
|
Construction and related engineering services (CPC 511, 512, 513, 514, 515, 516, 517 and 518. BG: CPC 512, 5131, 5132, 5135, 514, 5161, 5162, 51641, 51643, 51644, 5165 and 517) |
CSS: EU: Unbound except in BE, CZ, DK, ES, NL and SE. In BE, DK, ES, NL, SE: None. In CZ: Economic needs test. IP: EU: Unbound, except NL. In NL: None. |
|
Site investigation work (CPC 5111) |
CSS: In BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ,CY, FI, HU, LT, LV, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: EU: Unbound. |
|
Higher education services (CPC 923) |
CSS: EU except in LU, SE: Unbound. In LU: Unbound, except for university professors, where: None. In SE: None, except for publicly funded and privately funded educational services suppliers with some form of State support, where: Unbound. IP: EU except in SE: Unbound. In SE: None, except for publicly funded and privately funded educational services suppliers with some form of State support, where: Unbound. |
|
Agriculture, hunting and forestry (CPC 881, advisory and consulting services only) |
CSS: EU except in BE, DE, DK, ES, FI, HR and SE: Unbound In BE, DE, ES, HR, SE: None In DK: Economic needs test. In FI: Unbound, except for advisory and consulting services relating to forestry, where: None. IP: EU: Unbound. |
|
Environmental services (CPC 9401, 9402, 9403, 9404, part of 94060, 9405, part of 9406 and 9409) |
CSS: In BE, EE, ES, FI, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, DE, DK, EL, HU, LT, LV, RO, SK: Economic needs test. IP: EU: Unbound. |
|
Insurance and insurance related services (advisory and consulting services only) |
CSS: In BE, DE, EE, EL, ES, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ,CY, FI, LT, RO, SK: Economic needs test. In DK: Economic needs test except for CSS stays of up to three months. In HU: Unbound. IP: In DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None. In AT, BE, BG, CZ, CY, DK, ES, FI, IT, LT, PL, RO, SK: Economic needs test. In HU: Unbound. |
|
Other financial services (advisory and consulting services only) |
CSS: In BE, DE, ES, EE, EL, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, FI, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS that stays of up to three months. In HU: Unbound. IP: In DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None. In AT, BE, BG, CZ, CY, DK, ES, FI, IT, LT, PL, RO, SK: Economic needs test. In HU: Unbound. |
|
Transport (CPC 71, 72, 73, and 74, advisory and consulting services only) |
CSS: In DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. In BE: Unbound. IP: In CY, DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None. In AT, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Economic needs test. In PL: Economic needs test, except for air transport, where: None. In BE: Unbound. |
|
Travel agencies and tour operators services (including tour managers (6)) (CPC 7471) |
CSS: In AT, CY, CZ, DE, EE, ES, FR, HR, IT, LU, NL, PL, SI, SE: None. In BG, EL, FI, HU, LT, LV, MT, PT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. In BE, IE: Unbound, except for tour managers, where: None. IP: EU: Unbound. |
|
Tourist guides services (CPC 7472) |
CSS: In NL, PT, SE: None. In AT, BE, BG, CY, CZ, DE, DK, EE, FI, FR, EL, HU, IE, IT, LV, LU, MT, RO, SK, SI: Economic needs test. In ES, HR, LT, PL: Unbound. IP: EU: Unbound. |
|
Manufacturing (CPC 884, and 885, advisory and consulting services only) |
CSS: In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None. In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test. In DK: Economic needs test, except for CSS stays of up to three months. IP: In DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None. In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, PL, RO, SK: Economic needs test. |
|
(1)
Does not include legal advisory and legal representational services on tax matters, which are under legal advisory services in respect of public international law and home jurisdiction law.
(2)
Part of CPC 85201, which is under medical and dental services.
(3)
For all Member States except DK, the approval of the research organisation and the hosting agreement must meet the conditions set pursuant to EU Directive 2005/71/EC of 12 October 2005.
(4)
For all Member States except DK, the approval of the research organisation and the hosting agreement must meet the conditions set pursuant to EU Directive 2005/71/EC of 12 October 2005.
(5)
Maintenance and repair services of office machinery and equipment including computers (CPC 845) are under computer services.
(6)
Services suppliers whose function is to accompany a tour group of a minimum of 10 natural persons, without acting as guides in specific locations. |
|
13. The United Kingdom's reservations are:
|
Sector or sub-sector |
Description of reservations |
|
All sectors |
None |
|
Legal advisory services in respect of public international law and home jurisdiction law (part of CPC 861) |
CSS: None. IP: None. |
|
Accounting and bookkeeping services (CPC 86212 other than "auditing services", 86213, 86219 and 86220) |
CSS: None. IP: Unbound. |
|
Taxation advisory services (CPC 863) (1) |
CSS: None. IP: Unbound. |
|
Architectural services and Urban planning and landscape architectural services (CPC 8671 and 8674) |
CSS: None. IP: None. |
|
Engineering services and Integrated engineering services (CPC 8672 and 8673) |
CSS: None. IP: None. |
|
Medical (including psychologists) and dental services (CPC 9312 and part of 85201) |
CSS: Unbound. IP: Unbound. |
|
Veterinary services (CPC 932) |
CSS: Unbound. IP: Unbound. |
|
Midwives services (part of CPC 93191) |
CSS: Unbound. IP: Unbound. |
|
Services provided by nurses, physiotherapists and paramedical personnel (part of CPC 93191) |
CSS: Unbound. IP: Unbound. |
|
Computer and related services (CPC 84) |
CSS: UK: None. IP: None. |
|
Research and development Services (CPC 851, 852 excluding psychologists services (2), and 853) |
CSS: None IP: None |
|
Advertising services (CPC 871) |
CSS: None. IP: Unbound. |
|
Market research and opinion polling services (CPC 864) |
CSS: None. IP: None. |
|
Management consulting services (CPC 865) |
CSS: None. IP: None. |
|
Services related to management consulting (CPC 866) |
CSS: None. IP: None. |
|
Technical testing and analysis services (CPC 8676) |
CSS: None. IP: Unbound. |
|
Related scientific and technical consulting services (CPC 8675) |
CSS: None. IP: Unbound. |
|
Mining (CPC 883, advisory and consulting services only) |
CSS: None. IP: None. |
|
Maintenance and repair of vessels (part of CPC 8868) |
CSS: None IP: Unbound. |
|
Maintenance and repair of rail transport equipment (part of CPC 8868) |
CSS: None. IP: Unbound. |
|
Maintenance and repair of motor vehicles, motorcycles, snowmobiles and road transport equipment (CPC 6112, 6122, part of 8867 and part of 8868) |
CSS: None. IP: Unbound. |
|
Maintenance and repair of aircraft and parts thereof (part of CPC 8868) |
CSS: None. IP: Unbound. |
|
Maintenance and repair of metal products, of (non office) machinery, of (non transport and non office) equipment and of personal and household goods (3) (CPC 633, 7545, 8861, 8862, 8864, 8865 and 8866) |
CSS: None. IP: Unbound. |
|
Translation and interpretation services (CPC 87905, excluding official or certified activities) |
CSS: None. IP: None. |
|
Telecommunication services (CPC 7544, advisory and consulting services only) |
CSS: None. IP: None. |
|
Postal and courier services (CPC 751, advisory and consulting services only) |
CSS: None. IP: None. |
|
Construction and related engineering services (CPC 511, 512, 513, 514, 515, 516, 517 and 518. BG: CPC 512, 5131, 5132, 5135, 514, 5161, 5162, 51641, 51643, 51644, 5165 and 517) |
CSS: Unbound. IP: Unbound. |
|
Site investigation work (CPC 5111) |
CSS: None. IP: Unbound. |
|
Higher education services (CPC 923) |
CSS: Unbound. IP: Unbound. |
|
Agriculture, hunting and forestry (CPC 881, advisory and consulting services only) |
CSS: Unbound IP: Unbound. |
|
Environmental services (CPC 9401, 9402, 9403, 9404, part of 94060, 9405, part of 9406 and 9409) |
CSS: None. IP: Unbound. |
|
Insurance and insurance related services (advisory and consulting services only) |
CSS: None. IP: None. |
|
Other financial services (advisory and consulting services only) |
CSS: None. IP: None. |
|
Transport (CPC 71, 72, 73, and 74, advisory and consulting services only) |
CSS: None. IP: None. |
|
Travel agencies and tour operators services (including tour managers (4)) (CPC 7471) |
CSS: None. IP: Unbound. |
|
Tourist guides services (CPC 7472) |
CSS: None. IP: Unbound. |
|
Manufacturing (CPC 884, and 885, advisory and consulting services only) |
CSS: None. IP: None. |
|
(1)
Does not include legal advisory and legal representational services on tax matters, which are under legal advisory services in respect of public international law and home jurisdiction law.
(2)
Part of CPC 85201, which is under medical and dental services.
(3)
Maintenance and repair services of office machinery and equipment including computers (CPC 845) are under computer services.
(4)
Services suppliers whose function is to accompany a tour group of a minimum of 10 natural persons, without acting as guides in specific locations. |
|
ANNEX 23
MOVEMENT OF NATURAL PERSONS
Article 1
Entry and temporary stay-related procedural commitments
The Parties shall endeavour to ensure that the processing of applications for entry and temporary stay pursuant to their respective commitments in the Agreement follows good administrative practice:
Each Party shall ensure that fees charged by competent authorities for the processing of applications for entry and temporary stay do not unduly impair or delay trade in services under this Agreement;
subject to the discretion of the competent authorities of each Party, documents required from an applicant for applications for the grant of entry and temporary stay of short-term visitors for business purposes should be commensurate with the purpose for which they are collected;
complete applications for the grant of entry and temporary stay shall be processed by the competent authorities of each Party as expeditiously as possible;
the competent authorities of each Party shall endeavour to provide, without undue delay, information in response to any reasonable request from an applicant concerning the status of an application;
if the competent authorities of a Party require additional information from an applicant in order to process the application, they shall endeavour to notify, without undue delay, the applicant;
the competent authorities of each Party shall notify the applicant of the outcome of the application promptly after a decision has been taken;
if an application is approved, the competent authorities of each Party shall notify the applicant of the period of stay and other relevant terms and conditions;
if an application is denied, the competent authorities of a Party shall, upon request or upon their own initiative make available to the applicant information on any available review and appeal procedures; and
each Party shall endeavour to accept and process applications in electronic format.
Article 2
Additional procedural commitments applying to intra-corporate transferees and their partner, children and family members ( 137 )
ANNEX 24
GUIDELINES FOR ARRANGEMENTS ON THE RECOGNITION OF PROFESSIONAL QUALIFICATIONS
SECTION A
GENERAL PROVISIONS
Introduction
1. This Annex contains guidelines for arrangements on the conditions for the recognition of professional qualifications ("arrangements"), as foreseen by Article 158 of this Agreement.
2. Pursuant to Article 158 of this Agreement, these guidelines shall be taken into account in the development of joint recommendations by professional bodies or authorities of the Parties ("joint recommendations").
3. The guidelines are non-binding, non-exhaustive and do not modify or affect the rights and obligations of the Parties under this Agreement. They set out the typical content of arrangements, and provide general indications as to the economic value of an arrangement and the compatibility of the respective professional qualifications regimes.
4. Not all elements of these guidelines may be relevant in all cases and professional bodies and authorities are free to include in their joint recommendations any other element that they consider pertinent for the arrangements of the profession and the professional activities concerned, consistent with this Agreement.
5. The guidelines should be taken into account by the Partnership Council when deciding whether to develop and adopt arrangements. They are without prejudice to its review of the consistency of joint recommendations with Title II of Heading One of Part Two of this Agreement and its discretion to take into account the elements it deems relevant, including those contained in joint recommendations.
SECTION B
FORM AND CONTENT OF AN ARRANGEMENT
6. This section sets out the typical content of an arrangement, some of which is not within the remit of the professional bodies or authorities preparing joint recommendations. These aspects constitute, nonetheless, useful information to be taken into account in the preparation of joint recommendations, so that they are better adapted to the possible scope of an arrangement.
7. Matters addressed specifically in this Agreement which apply to arrangements (such as the geographical scope of an arrangement, its interaction with scheduled non-conforming measures, the system of dispute resolution, appeal mechanisms, monitoring and review mechanisms of the arrangement) should not be addressed by joint recommendations.
8. An arrangement may specify different mechanisms for the recognition of professional qualifications within a Party. It may also be limited, but not necessarily so, to setting the scope of the arrangement, the procedural provisions, the effects of recognition and additional requirements, and the administrative arrangements.
9. An arrangement which is adopted by the Partnership Council should reflect the degree of discretion that is intended to be preserved for competent authorities deciding on recognition.
Scope of an Arrangement
10. The arrangement should set out:
the specific regulated profession(s), relevant professional title(s) and the activity or group of activities covered by the scope of practice of the regulated profession in both Parties ("scope of practice"); and
whether it covers the recognition of professional qualifications for the purpose of access to professional activities on a fixed-term or an indefinite basis.
Conditions for recognition
11. The arrangement may specify in particular:
the professional qualifications necessary for recognition under the arrangement (for example, evidence of formal qualification, professional experience, or other attestation of competence);
the degree of discretion preserved by recognition authorities when assessing requests for recognition of these qualifications; and
the procedures to deal with variations and gaps between professional qualifications and means to bridge the differences, including the possibility for imposing any compensatory measures or any other relevant conditions and limitations.
Procedural provisions
12. The arrangement may set out:
the documents required and the form in which they should be presented (for example, by electronic or other means, whether they should be supported by translations or certifications of authenticity, etc.);
the steps and procedures in the recognition process, including those relating to possible compensatory measures, corresponding obligations and timelines; and
the availability of information relevant to all aspects of the recognition processes and requirements.
Effects of recognition and additional requirements
13. The arrangement may set out provisions on the effects of recognition (if relevant, also in respect of different modes of supply).
14. The arrangement may describe any additional requirements for the effective exercise of the regulated profession in the host Party. Such requirements may include:
registration requirements with local authorities;
appropriate language skills;
proof of good character;
compliance with the requirements of the host Party for use of trade or firm names;
compliance with the rules of ethics, independence and professional conduct requirements of the host Party;
need to obtain professional indemnity insurance;
rules on disciplinary action, financial responsibility and professional liability; and
requirements for continuous professional development.
Administration of the arrangement
15. The arrangement should set out the terms under which it can be reviewed or revoked, and the effects of any revision or revocation. Consideration may also be given to the inclusion of provisions concerning the effects of any recognition previously accorded.
SECTION C
ECONOMIC VALUE OF AN ENVISAGED ARRANGEMENT
16. Pursuant to Article 158(2) of this Agreement, joint recommendations shall be supported by an evidence-based assessment of the economic value of an envisaged arrangement. This may consist of an evaluation of the economic benefits that an arrangement is expected to bring to the economies of both Parties. Such an assessment may assist the Partnership Council when developing and adopting an arrangement.
17. Aspects such as the existing level of market openness, industry needs, market trends and developments, client expectations and requirements and business opportunities would constitute useful elements.
18. The evaluation is not required to be a full and detailed economic analysis, but should provide an explanation of the interest of the profession in, and the expected benefits for the Parties ensuing from, the adoption of an arrangement.
SECTION D
COMPATIBILITY OF RESPECTIVE PROFESSIONAL QUALIFICATION REGIMES
19. Pursuant to Article 158(2) of this Agreement, joint recommendations shall be supported by an evidence-based assessment of the compatibility of the respective professional qualification regimes. This assessment may assist the Partnership Council when developing and adopting an arrangement.
20. The following process aims at guiding professional bodies and authorities when assessing the compatibility of the respective professional qualifications and activities with a view to simplifying and facilitating the recognition of professional qualifications.
Step One: Assessment of the scope of practice and the professional qualifications required to practise the regulated profession in each Party.
21. The assessment of the scope of practice and of the professional qualifications required to practise a regulated profession in each of the Parties should be based on all relevant information.
22. The following elements should be identified:
activities or groups of activities covered by the scope of practice of the regulated profession in each Party; and
the professional qualifications required in each Party to practise the regulated profession, which may include any of the following elements:
the minimum education required, for example, entry requirements, level of education, length of study and contents of study;
the minimum professional experience required, for example, location, length and conditions of practical training or supervised professional practice prior to registration, licensing or equivalent;
examinations passed, especially examinations of professional competency; and
the acquisition of a licence, or equivalent, certifying, inter alia, the fulfilment of the necessary professional qualification requirements for the pursuit of the profession.
Step Two: Evaluation of the divergence between the scope of practice of, or the professional qualifications required to practise, the regulated profession in each Party.
23. The evaluation of the divergence in the scope of practice of, or in the professional qualifications required to practise, the regulated profession, in each Party, should in particular identify divergence that is substantial.
24. Substantial divergence in the scope of practice may exist if all of the following conditions are met:
one or more activities covered by a regulated profession in the host Party are not covered by the corresponding profession in the Party of origin;
such activities are subject to specific training in the host Party;
the training for such activities in the host Party covers matters substantially diverging from those covered by the applicant's qualification.
25. Substantial divergence in the professional qualifications required to practise a regulated profession may exist if there are divergences in the Parties' requirements with regard to the level, duration or content of the training that is required for the pursuit of activities covered by the regulated profession.
Step Three: Recognition mechanisms
26. There may be different mechanisms for the recognition of professional qualifications, depending on the circumstances. There may be different mechanisms within a Party.
27. If there is no substantial divergence in the scope of practice and in the professional qualifications required to practise a regulated profession, an arrangement may provide for a simpler, more streamlined recognition process than would be the case where substantial divergence exists.
28. If there is substantial divergence, the arrangement may provide for compensatory measures which are sufficient to remedy such divergence.
29. Where compensatory measures are used to reduce substantial divergence, they should be proportionate to the divergence that they seek to address. Any practical professional experience or formally validated training could be taken into account to assess the extent of the compensatory measures needed.
30. Whether or not the divergence is substantial, the arrangement may take account of the degree of discretion that is intended to be preserved for competent authorities deciding on recognition requests.
31. Compensatory measures may take different forms, including:
a period of supervised practice of a regulated profession in the host Party, possibly accompanied by further training, under the responsibility of a qualified person and subject to a regulated assessment;
a test made or recognised by the relevant authorities of the host Party to assess the applicant's ability to practice a regulated profession in that Party; or
a temporary limitation of the scope of practice; or a combination of those.
32. The arrangement could envisage that a choice be given to applicants between different compensatory measures where this could limit the administrative burden for applicants and such measures are equivalent.
ANNEX 25
PUBLIC PROCUREMENT
SECTION A
RELEVANT PROVISIONS OF THE GPA
Articles I to III, IV.1.a, IV.2 to IV.7, VI to XV, XVI.1 to XVI.3, XVII and XVIII.
SECTION B:
MARKET ACCESS COMMITMENTS
For the purposes of this Section, "CPC" means the Provisional Central Product Classification (Statistical Papers, Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
SUB-SECTION B1
European Union
In accordance with Article 277(2) and (3) of this Agreement, Title VI of Heading One of Part Two of this Agreement applies, in addition to the procurement covered by the annexes of the European Union to Appendix I to the GPA, to the procurement covered by this Sub-section.
The Notes in Annexes 1 to 7 of the European Union to Appendix I to the GPA also apply to the procurement covered by this Sub-section, unless otherwise provided for in this Sub-section.
Procurement covered by this Sub-section
1. Additional procuring entities
Procurement of goods and services as set out in Annexes 4 to 6 of the European Union to Appendix I to the GPA, and in paragraph 2 of this Sub-section, by the following procuring entities of the Member States:
all contracting entities whose procurement is covered by Directive 2014/25/EU of the European Parliament and of the Council ( 139 ) (the "EU Utilities Directive") which are contracting authorities (e.g. those covered under Annex 1 and Annex 2 to Appendix I to the GPA) or public undertakings ( 140 ) and which have as one of their activities:
the provision or operation of fixed networks intended to provide a service to the public in connection with the production, transport or distribution of gas or heat or the supply of gas or heat to such networks; or
any combination between such activity and those referred to in Annex 3 to Appendix I to the GPA;
privately-owned procuring entities that have as one of their activities any of those referred to in point (a) of this paragraph, in point 1 of Annex 3 to Appendix I to the GPA, or any combination thereof and operate on the basis of special or exclusive rights granted by a competent authority of a Member State;
with regard to procurement equal to or above the following thresholds:
2. Additional services
Procurement of the following services, in addition to the services listed under Annex 5 of the European Union to Appendix I to the GPA, for entities covered under Annexes 1 to 3 of the European Union to Appendix I to the GPA or under paragraph 1 of this Sub-section:
Notes:
1. Hotel and restaurant services (CPC 641), food serving services (CPC 642), beverage serving services (CPC 643) and education services (CPC 92) contracts are included under the national treatment regime for the suppliers, including service providers, of the United Kingdom, provided that their value equals or exceeds EUR 750 000 when they are awarded by procuring entities covered under Annexes 1 and 2 of the European Union to Appendix I to the GPA and that their value equals or exceeds EUR 1 000 000 when they are awarded by procuring entities covered under Annex 3 of the European Union to Appendix I to the GPA or by procuring entities covered by paragraph 1 of this Sub-section.
2. The supply of gas or heat to networks which provide a service to the public by a procuring entity other than a contracting authority shall not be considered as an activity within the meaning of this Sub-section where:
the production of gas or heat by the entity concerned takes place because its consumption is necessary for carrying out an activity other than that referred to in this Sub-section or in paragraphs (a) to (f) of Annex 3 of the European Union to Appendix I to the GPA; and
the supply to the public network is aimed only at the economic exploitation of such production and amounts to not more than 20 % of the entity's turnover on the basis of the average for the preceding three years, including the current year.
3. Title VI of Heading One of Part Two of this Agreement and this Annex do not cover procurement of the following services:
Human health services (CPC 931);
Administrative healthcare services (CPC 91122); and
Supply services of nursing personnel and supply services of medical personnel (CPC 87206 and CPC 87209).
SUB-SECTION B2
United Kingdom
In accordance with Article 277 (2) and (3) of this Agreement, Title VI of Heading One of Part Two of this Agreement applies, in addition to the procurement covered by Article II of the GPA, to the procurement covered by this Sub-section.
The Notes in Annexes 1 to 7 of the United Kingdom to Appendix I to the GPA also apply to the procurement covered by this Sub-section, unless otherwise provided for in this Sub-section.
Procurement covered by this Sub-section
1. Additional procuring entities
Procurement of goods and services as set out in Annexes 4 to 6 of the United Kingdom's Appendix I to the GPA, and in paragraph 2 of this Sub-section, by the following procuring entities of the United Kingdom:
all contracting entities whose procurement is covered by the Utilities Contracts Regulation 2016 and the Utilities Contracts (Scotland) Regulations 2016 which are contracting authorities (e.g. those covered under Annex 1 and Annex 2 to Appendix I to the GPA) or public undertakings (see Note:1) and which have as one of their activities:
the provision or operation of fixed networks intended to provide a service to the public in connection with the production, transport or distribution of gas or heat or the supply of gas or heat to such networks; or
any combination between such activity and those referred to in Annex 3 to Appendix I to the GPA;
privately-owned procuring entities that have as one of their activities any of those referred to in point (a) of this paragraph, in point 1 of Annex 3 to Appendix I to the GPA, or any combination thereof and operate on the basis of special or exclusive rights granted by a competent authority of the United Kingdom;
with regard to procurement equal to or above the following thresholds:
Notes to paragraph 1:
1. According to the Utilities Contracts Regulations 2016, a "public undertaking" means any undertaking over which contracting authorities may exercise directly or indirectly a dominant influence by virtue of:
their ownership of that undertaking;
their financial participation in that undertaking; or
the rules which govern that undertaking.
2. According to the Utilities Contracts (Scotland) Regulations 2016, a "public undertaking" means a person over which one or more contracting authorities are able to exercise, directly or indirectly, a dominant influence by virtue of one or more of the following:
their ownership of that person;
their financial participation in that person;
the rights accorded to them by the rules which govern that person.
3. According to both the Utilities Contracts Regulations 2016 and the Utilities Contracts (Scotland) Regulations 2016, a dominant influence on the part of contracting authorities is presumed in any of the following cases in which those authorities, directly or indirectly:
hold the majority of the undertaking's subscribed capital;
control the majority of the votes attaching to shares issued by the undertaking;
can appoint more than half of the undertaking's administrative, management or supervisory body.
2. Additional services
Procurement of the following services, in addition to the services listed under Annex 5 of the United Kingdom to Appendix I to the GPA, for entities covered under Annexes 1 to 3 of the United Kingdom to Appendix I to the GPA or under paragraph 1 of this Sub-section:
Notes:
1. Hotel and restaurant services (CPC 641), food serving services (CPC 642), beverage serving services (CPC 643) and education services (CPC 92) contracts are included under the national treatment regime for the suppliers, including service providers, of the European Union, provided that their value equals or exceeds GBP 663 540 when they are awarded by procuring entities covered under Annexes 1 and 2 of the United Kingdom to Appendix I to the GPA and that their value equals or exceeds GBP 884 720 when they are awarded by procuring entities covered under Annex 3 of the United Kingdom to Appendix I to the GPA or by procuring entities covered by paragraph 1 of this Section.
2. The supply of gas or heat to networks which provide a service to the public by a procuring entity other than a contracting authority shall not be considered as an activity within the meaning of this Section where:
the production of gas or heat by the entity concerned takes place because its consumption is necessary for carrying out an activity other than that referred to in this Section or in paragraphs (a) to (f) of Annex 3 of the United Kingdom to Appendix I to the GPA; and
the supply to the public network is aimed only at the economic exploitation of such production and amounts to not more than 20 % of the entity's turnover on the basis of the average for the preceding three years, including the current year.
3. Title VI of Heading One of Part Two of this Agreement and this Annex do not cover procurement of the following services:
Human health services (CPC 931);
Administrative healthcare services (CPC 91122); and
Supply services of nursing personnel and supply services of medical personnel (CPC 87206 and CPC 87209).
ANNEX 26
LISTS OF ENERGY GOODS, HYDROCARBONS AND RAW MATERIALS
LIST OF ENERGY GOODS BY HS CODE
LIST OF HYDROCARBONS BY HS CODE
LIST OF RAW MATERIALS BY HS CHAPTER
|
Chapter |
Heading |
|
25 |
Salt; sulphur; earths and stone; plastering materials, lime and cement |
|
26 |
Ores, slag and ash, with the exception of uranium or thorium ores or concentrates (HS code 26.12) |
|
27 |
Mineral fuels, mineral oils and products of their distillation; bituminous substances; mineral waxes |
|
28 |
Inorganic chemicals; organic or inorganic compounds of precious metals, of rare-earth metals; of radioactive elements or of isotopes, with the exception of radioactive chemical elements and radioactive isotopes (including the fissile or fertile chemical elements and isotopes) and their compounds; mixtures and residues containing these products (HS code 28.44); and isotopes other than those of heading no. 28.44; compounds, inorganic or organic, of such isotopes, whether or not chemically defined (HS code 28.45) |
|
29 |
Organic chemicals |
|
31 |
Fertilisers |
|
71 |
Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal, and articles thereof, with the exception of pearls, natural or cultured, whether or not worked or graded but not strung, mounted or set; pearls, natural or cultured, temporarily strung for the convenience of transport (HS code 7101) |
|
72 |
Iron and steel |
|
74 |
Copper and articles thereof |
|
75 |
Nickel and articles thereof |
|
76 |
Aluminium and articles thereof |
|
78 |
Lead and articles thereof |
|
79 |
Zinc and articles thereof |
|
80 |
Tin and articles thereof |
|
81 |
Other base metals; cermets; articles thereof |
ANNEX 27
ENERGY AND ENVIRONMENTAL SUBSIDIES
As part of the principles set out in Article 367(14) of this Agreement:
Subsidies for electricity generation adequacy, renewable energy and cogeneration shall not undermine the ability of a Party to meet its obligations under Article 304 of this Agreement, shall not unnecessarily affect the efficient use of electricity interconnectors provided for under Article 311 of this Agreement, and, without prejudice to Article 304(3) of this Agreement, shall be determined by means of a transparent, non-discriminatory and effective competitive process; and
subsidies for electricity generation adequacy shall provide incentives for capacity providers to be available in times of expected system stress and may be limited to installations not exceeding specified CO2 emission limits; and
subsidies for renewable energy and cogeneration shall not affect beneficiaries’ obligations or opportunities to participate in electricity markets.
Notwithstanding point 1, provided that appropriate measures are put in place to prevent overcompensation, non-competitive procedures may be used to grant subsidies for renewable energy and cogeneration if the potential supply is insufficient to ensure a competitive process, the eligible capacity is unlikely to have a material effect on trade or investment between the Parties, or subsidies are granted for demonstration projects.
If partial exemptions from energy-related taxes and levies ( 141 ) in favour of energy-intensive users are introduced, such exemptions shall not exceed the total amount of the tax or levy.
If compensation for electricity-intensive users is granted in the event of an increase in electricity cost resulting from climate policy instruments, it shall be restricted to sectors at significant risk of carbon leakage due to the cost increase.
Subsidies for the decarbonisation of emissions linked to own industrial activities shall achieve an overall reduction in greenhouse gas emissions. The subsidies shall reduce the emissions directly resulting from the industrial activity. Subsidies for improvements of the energy efficiency of own industrial activities shall improve energy efficiency by reducing energy consumption, either directly or per unit of production.
ANNEX 28
NON-APPLICATION OF THIRD-PARTY ACCESS AND OWNERSHIP UNBUNDLING TO INFRASTRUCTURE
A Party may decide not to apply Articles 306 and 307 of this Agreement to new infrastructure or to a significant expansion of existing infrastructure where:
the risk attached to the investment in the infrastructure is such that the investment would not take place unless an exemption is granted;
the investment enhances competition or security of supply;
the infrastructure is owned by a natural or legal person separate, at least in terms of its legal form, from the system operators in whose systems it was or is to be built;
before granting the exemption, the Party has decided on the rules and mechanisms for management and allocation of capacity.
ANNEX 29
ALLOCATION OF ELECTRICITY INTERCONNECTOR CAPACITY AT THE DAY-AHEAD MARKET TIMEFRAME
PART 1
1. The new procedure for the allocation of capacity on electricity interconnectors at the day-ahead market timeframe shall be based on the concept of "Multi-region loose volume coupling".
The overall objective of the new procedure shall be to maximise the benefits of trade.
As the first step in developing the new procedure, the Parties shall ensure that transmission system operators prepare outline proposals and a cost-benefit analysis.
2. Multi-region loose volume coupling shall involve the development of a market coupling function to determine the net energy positions (implicit allocation) between:
bidding zones established in accordance with Regulation (EU) 2019/943, which are directly connected to the United Kingdom by an electricity interconnector; and
the United Kingdom.
3. The net energy positions over electricity interconnectors shall be calculated via an implicit allocation process by applying a specific algorithm to:
commercial bids and offers for the day-ahead market timeframe from the bidding zones established in accordance with Regulation (EU) 2019/943 which are directly connected to the United Kingdom by an electricity interconnector;
commercial bids and offers for the day-ahead market timeframe from relevant day-ahead markets in the United Kingdom;
network capacity data and system capabilities determined in accordance with the procedures agreed between transmission system operators; and
data on expected commercial flows of electricity interconnections between bidding zones connected to the United Kingdom and other bidding zones in the Union, as determined by Union transmission system operators using robust methodologies.
This process shall be compatible with the specific characteristics of direct current electricity interconnectors, including losses and ramping requirements.
4. The market coupling function shall:
produce results sufficiently in advance of the operation of the Parties' respective day-ahead markets (for the Union this is single day-ahead coupling established in accordance with Commission Regulation (EU) 2015/1222 ( 142 )) in order that such results may be used as inputs into the processes which determine the results in those markets;
produce results which are reliable and repeatable;
be a specific process to link the distinct and separate day-ahead markets in the Union and the United Kingdom; in particular, this means that the specific algorithm shall be distinct and separate from that used in single day-ahead coupling established in accordance with Regulation (EU) 2015/1222 and, in respect of commercial bids and offers of the Union, only have access to those from bidding zones which are directly connected to the United Kingdom by an electricity interconnector.
5. The calculated net energy positions shall be published following validation and verification. If the market coupling function is unable either to operate or to produce a result, electricity interconnector capacity shall be allocated by a fall-back process, and market participants shall be notified that the fall-back process will apply.
6. The costs of developing and implementing the technical procedures shall be equally shared between the relevant United Kingdom transmission system operators or other entities, on the one side, and relevant Union transmission system operators or other entities, on the other side, unless the Specialised Committee on Energy decides otherwise.
PART 2
The timeline for the implementation of this Annex shall be from the entry into force of this Agreement, as follows:
within 3 months – cost benefit analysis and outline of proposals for technical procedures;
within 10 months – proposal for technical procedures;
within 15 months – entry into operation of technical procedures.
ANNEX 30
AIRWORTHINESS AND ENVIRONMENT CERTIFICATION
SECTION A
GENERAL PROVISIONS
Article 1
Purpose and scope
The objective of this Annex is the implementation of cooperation in the following areas, in accordance with Article 445(2) of this Agreement, describing the terms, conditions and methods for reciprocal acceptance of findings of compliance and certificates:
airworthiness certificates and monitoring of civil aeronautical products referred to in point (a) of Article 445(1) of this Agreement;
environmental certificates and testing of civil aeronautical products referred to in point (b) of Article 445(1) of this Agreement; and
design and production certificates and monitoring of design and production organisations referred to in point (c) Article 445(1) of this Agreement.
Article 2
Definitions
For the purposes of this Annex, the following definitions apply:
"acceptance" means the recognition of certificates, approvals, changes, repairs, documents and data of one Party by the other Party without validation activities and without issuing a corresponding certificate by that other Party;
"authorised release certificate" means a certificate issued by an approved organisation or a competent authority of the exporting Party as a form of recognition that a new civil aeronautical product, other than an aircraft, conforms to a design approved by the exporting Party and is in a condition for safe operation;
"category of civil aeronautical products" means a set of products sharing common characteristics, as grouped in the technical implementation procedures, on the basis of EASA and UK CAA Certification Specifications;
"certificating authority" means the technical agent of the exporting Party that issues a design certificate for a civil aeronautical product in its capacity as an authority carrying out the State of Design responsibilities set out in Annex 8 to the Convention on International Civil Aviation. When a design certificate is issued by an approved organisation of the exporting Party, the technical agent of the exporting Party is considered as the certificating authority;
"design certificate" means a form of recognition by the technical agent or an approved organisation of a Party that the design or change to a design of a civil aeronautical product complies with airworthiness requirements, as applicable, and environmental protection requirements, in particular concerning environmental characteristics set out in laws, regulations and administrative provisions of that Party;
"design-related operational requirements" means the operational, including environmental, requirements affecting either the design features of the civil aeronautical product or data on the design relating to the operations, or the maintenance of that product, which make it eligible for a particular kind of operation;
"export" means the process by which a civil aeronautical product is released from the regulatory system for civil aviation safety of a Party to that of the other Party;
"export certificate of airworthiness" means a certificate issued by the competent authority of the exporting Party or, for used aircraft, by the competent authority of the State of Registry from which the product is exported as a form of recognition that an aircraft conforms to the applicable airworthiness and environmental protection requirements notified by the importing Party;
"exporting Party" means the Party from whose regulatory system for civil aviation safety a civil aeronautical product is released;
"import" means the process by which an exported civil aeronautical product from the regulatory system for civil aviation safety of a Party is introduced into that of the other Party;
"importing Party" means the Party into whose regulatory system for civil aviation safety a civil aeronautical product is introduced;
"major change" means all changes in type design other than "minor change";
"minor change" means a change in type design that has no appreciable effect on the mass, balance, structural strength, reliability, operational characteristics, environmental characteristics, or other characteristics affecting the airworthiness of the civil aeronautical product;
"operational suitability data" means the required set of data to support and allow the type specific operational aspects of certain types of aircraft that are regulated under the regulatory system for civil aviation safety of the Union or of the United Kingdom. It must be designed by the type certificate applicant or holder for the aircraft and be part of the type certificate. Under the regulatory system for civil aviation safety of the Union or of the United Kingdom, an initial application for a type certificate or restricted type certificate shall include, or be subsequently supplemented by, the application for approval of operational suitability data, as applicable to the aircraft type;
"production approval" means a certificate issued by the competent authority of a Party to a manufacturer which produces civil aeronautical products, as a form of recognition that the manufacturer complies with applicable requirements set out in laws, regulations and administrative provisions of that Party for the production of the particular civil aeronautical products;
"technical implementation procedures" means the implementation procedures for this Annex developed by the technical agents of the Parties in accordance with Article 445(5) of this Agreement;
"validating authority" means the technical agent of the importing Party that accepts or validates, as specified in this Annex, a design certificate issued by the certificating authority.
SECTION B
CERTIFICATION OVERSIGHT BOARD
Article 3
Establishment and composition
Article 4
Mandate
The mandate of the Certification Oversight Board shall include in particular:
developing, adopting, and revising the technical implementation procedures referred to in Article 6;
sharing information on major safety concerns and, where appropriate, developing action plans to address them;
resolving technical issues falling within the responsibilities of the competent authorities and affecting the implementation of this Annex;
where appropriate, developing effective means of cooperation, technical support and exchange of information regarding safety and environmental protection requirements, certification systems, and quality management and standardisation systems;
conducting periodic reviews on the modalities of validation or acceptance of design certificates set out in Articles 10 and 13;
proposing amendments to this Annex to the Specialised Committee on Aviation Safety;
in accordance with Article 29, defining procedures to ensure the continued confidence of each Party in the reliability of the other Party's processes for findings of compliance;
analysing and taking action regarding the implementation of the procedures referred to in point (g); and
reporting unresolved issues to the Specialised Committee on Aviation Safety and ensuring the implementation of decisions taken by the Specialised Committee on Aviation Safety regarding this Annex.
SECTION C
IMPLEMENTATION
Article 5
Competent authorities for design certification, production certification and export Certificates
The competent authorities for design certification are:
for the Union: the European Union Aviation Safety Agency; and
for the United Kingdom: the Civil Aviation Authority of the United Kingdom.
The competent authorities for production certification and export certificates are:
for the Union: the European Union Aviation Safety Agency and the competent authorities of the Member States. As regards an export certificate for used aircraft, it is the competent authority of the State of Registry for the aircraft from which the aircraft is exported; and
for the United Kingdom: the Civil Aviation Authority of the United Kingdom.
Article 6
Technical implementation procedures
Article 7
Exchange and protection of confidential and proprietary data and information
SECTION D
DESIGN CERTIFICATION
Article 8
General principles
This Section addresses all design certificates and changes thereto, where applicable, within the scope of this Annex, in particular:
type certificates, including restricted type certificates;
supplemental type certificates;
repair design approvals; and
technical standard order authorisations.
Article 9
Validation process
The validating authority shall, after examining relevant data and information provided by the certificating authority, issue its design certificate for the validated civil aeronautical product ("validated design certificate") when:
it is confirmed that the certificating authority has issued its own design certificate for the civil aeronautical product;
it has been stated by the certificating authority that the civil aeronautical product complies with the certification basis referred to in Article 11;
all issues raised during the validation process conducted by the validating authority have been resolved; and
additional administrative requirements, as detailed in the technical implementation procedures, have been met by the applicant.
Article 10
Modalities of the validation of design certificates
Type certificates issued by the technical agent of the Union as certificating authority shall be validated by the technical agent of the United Kingdom as validating authority. The following data shall be subject to acceptance:
engine installation manual (for engine type certificate);
structural repair manual;
instruction for continued airworthiness of electrical wiring interconnection systems; and
weight balance manual.
By way of technical implementation procedures, procedural detail may be established in respect of acceptance of the relevant data. Any such procedural detail must not affect the requirement of acceptance established in the first subparagraph.
Article 11
Certification basis for the validation
For the purpose of validating a design certificate of a civil aeronautical product, the validating authority shall refer to the following requirements set out in laws, regulations and administrative provisions of its Party in determining the certification basis:
the airworthiness requirements for a similar civil aeronautical product that were in effect on the effective application date established by the certificating authority, and complemented when applicable by additional technical conditions as detailed in the technical implementation procedures; and
the environmental protection requirements for the civil aeronautical product that were in effect on the date of the application for the validation to the validating authority.
The validating authority shall specify, when applicable, any:
exemption to the applicable requirements;
deviation from the applicable requirements; or
compensating factors that provide an equivalent level of safety when applicable requirements are not complied with.
In addition to the requirements set out in paragraphs 1 and 2, the validating authority shall specify any special condition to be applied if the related airworthiness codes, laws, regulations and administrative provisions do not contain adequate or appropriate safety requirements for the civil aeronautical product, because:
the civil aeronautical product has novel or unusual design features relative to the design practices on which the applicable airworthiness codes, laws, regulations and administrative provisions are based;
the intended use of the civil aeronautical product is unconventional; or
experience obtained from other, similar civil aeronautical products in service or civil aeronautical products having similar design features has shown that unsafe conditions may develop.
Article 12
Level of involvement of the validating authority
The level of involvement of the validating authority of a Party during the validation process referred to in Article 9 and as detailed in the technical implementation procedures, shall be mainly determined by:
the experience and records of the competent authority of the other Party as certificating authority;
the experience already gained by that validating authority during previous validation exercises with the competent authority of the other Party;
the nature of the design to be validated;
the performance and experience of the applicant with the validating authority; and
the outcome of qualification requirements assessments referred to in Articles 28 and Article 29.
Article 13
Acceptance
Article 14
Implementation provisions for Articles 10 and 13
For classifying a supplemental type certificate or major change as significant or non-significant, the certificating authority shall consider the change in the context of all previous relevant design changes and all related revisions to the applicable certification specifications incorporated in the type certificate for the civil aeronautical product. Changes that meet either of the following criteria are automatically considered as significant:
the general configuration or the principles of construction are not retained; or
the assumptions used for certification of the product to be changed do not remain valid.
Article 15
Existing design certificates
For the purposes of this Annex, the following apply:
type certificates, supplemental type certificates, approvals for changes and repairs, as well as technical standard order authorisations and changes thereto issued by the technical agent of the Union to United Kingdom applicants, or by an approved design organisation located in the United Kingdom, on the basis of Union law and valid on 31 December 2020 are deemed to have been issued by the technical agent of the United Kingdom as certificating authority or by an approved organisation under the laws and regulations of the United Kingdom and to have been accepted by the technical agent of the Union as validating authority in accordance with Article 13(1);
type certificates, supplemental type certificates, approvals for changes and repairs, as well as technical standard order authorisations and changes thereto issued by the technical agent of the Union to Union applicants, or by a design organisation located in the Union, on the basis of Union law and valid on 31 December 2020 are deemed to have been accepted by the technical agent of the United Kingdom as validating authority in accordance with Article 13(1).
Article 16
Transfer of a design certificate
In the event that a design certificate is transferred to another entity, the certificating authority responsible for the design certificate shall promptly notify the validating authority of the transfer and apply the procedure related to the transfer of design certificates as detailed in the technical implementation procedures.
Article 17
Design-related operational requirements
Article 18
Operational documents and data related to the type
Article 19
Concurrent validation
When decided by the applicant and the technical agents, a concurrent certification and validation process may be used, where appropriate and as detailed in the technical implementation procedures.
Article 20
Continuing airworthiness
SECTION E
PRODUCTION CERTIFICATION
Article 21
Recognition of production certification and production oversight systems
Article 22
Extension of production approval
Article 23
Interface between the production approval holder and the design certificate holder
SECTION F
EXPORT CERTIFICATES
Article 24
Forms
The exporting Party's forms are:
when the exporting Party is the United Kingdom, CAA Form 52 for new aircraft, export certificate of airworthiness for used aircraft, and CAA Form 1 for other new products; and
when the exporting Party is the Union, EASA Form 52 for new aircraft, export certificate of airworthiness for used aircraft, and EASA Form 1 for other new products.
Article 25
Issuance of an export certificate
When issuing an export certificate, the competent authority or production approval holder of the exporting Party shall ensure that such civil aeronautical product:
conforms to the design automatically accepted or validated, or certified by the importing Party in accordance with this Annex and as detailed in the technical implementation procedures;
is in a condition for safe operation;
meets all additional requirements notified by the importing Party; and
as regards civil aircraft, aircraft engines and aircraft propellers, complies with the applicable mandatory continuing airworthiness information, including airworthiness directives of the importing Party, as notified by that Party.
Article 26
Acceptance of an export certificate for a new civil aeronautical product
The competent authority of the importing Party shall accept an export certificate issued by the competent authority or a production approval holder of the exporting Party for a civil aeronautical product, in accordance with the terms and conditions set out in this Annex and as detailed in the technical implementation procedures.
Article 27
Acceptance of an export certificate of airworthiness for a used aircraft
For an export certificate of airworthiness for a used aircraft manufactured under the production oversight of the exporting Party to be accepted in accordance with paragraph 1, the competent authority of the exporting Party shall assist, upon request, the competent authority of the importing Party in obtaining data and information regarding:
the configuration of the aircraft at the time of dispatch from the manufacturer; and
subsequent changes and repairs applied to the aircraft that it has approved.
If, in the process of assessing the airworthiness status of a used aircraft considered for export, the competent authority of the exporting Party is unable to satisfy all of the requirements set out in Article 25(2) and in paragraphs 1 and 2 of this Article, it shall:
notify the competent authority of the importing Party;
coordinate with the competent authority of the importing Party, as detailed in the technical implementation procedures, their acceptance or rejection of the exceptions to the applicable requirements; and
keep a record of any accepted exceptions when exporting.
SECTION G
QUALIFICATION OF COMPETENT AUTHORITIES
Article 28
Qualification requirements for the acceptance of findings of compliance and certificates
Each Party shall maintain a structured and effective certification and oversight system for the implementation of this Annex, including:
a legal and regulatory framework, ensuring in particular regulatory powers over entities regulated under the regulatory system for civil aviation safety of the Party;
an organisational structure, including a clear description of responsibilities;
sufficient resources, including qualified staff with sufficient knowledge, experience and training;
adequate processes documented in policies and procedures;
documentation and records; and
an established inspection programme ensuring uniform level of implementation of the legal and regulatory framework among the various components of the oversight system.
Article 29
Continued qualifications of the competent authorities
SECTION H
COMMUNICATIONS, CONSULTATIONS AND SUPPORT
Article 30
Communications
Subject to the exceptions decided by the technical agents of the Parties on a case-by-case basis, all communications between the competent authorities of the Parties, including documentation as detailed in the technical implementation procedures, shall be made in the English language.
Article 31
Technical consultations
Article 32
Support for certification and continued airworthiness oversight activities
Upon request, after mutual consent, and as resources permit, the competent authority of a Party may provide technical support, data and information to the competent authority of the other Party in certification and continued airworthiness oversight activities related to design, production and environmental protection certification. The support to be provided and the process for providing such support shall be detailed in the technical implementation procedures.
ANNEX 31
TRANSPORT OF GOODS BY ROAD
PART A
REQUIREMENTS FOR ROAD HAULAGE OPERATORS IN ACCORDANCE WITH ARTICLE 463 OF THIS AGREEMENT
SECTION 1
ADMISSION TO, AND THE PURSUIT OF, THE OCCUPATION OF ROAD HAULAGE OPERATOR
Article 1
Scope
This Section governs admission to, and the pursuit of, the occupation of road haulage operator and shall apply to all road haulage operators of a Party engaged in the transport of goods within the scope of Article 462 of this Agreement.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
"authorisation to pursue the occupation of road haulage operator" means an administrative decision which authorises a natural or legal person who fulfils the conditions laid down in this Section to pursue the occupation of road haulage operator;
"competent authority" means a national, regional or local authority in a Party which, for the purpose of authorising the pursuit of the occupation of road haulage operator, verifies whether a natural or legal person fulfils the conditions laid down in this Section, and which is empowered to grant, suspend or withdraw an authorisation to pursue the occupation of road haulage operator; and
"normal residence" means the place where a person usually lives, that is for at least 185 days in each calendar year, because of personal ties which show close links between that person and the place where that person is living.
Article 3
Requirements for engagement in the occupation of road haulage operator
Natural or legal persons engaged in the occupation of road haulage operator shall:
have an effective and stable establishment in a Party as laid down in Article 5 of this Section;
be of good repute as laid down in Article 6 of this Section;
have appropriate financial standing as laid down in Article 7 of this Section; and
have the requisite professional competence as laid down in Article 8 of this Section.
Article 4
Transport manager
A road haulage operator shall designate at least one natural person to be the transport manager, who effectively and continuously manages its transport activities and fulfils the requirements set out in points (b) and (d) of Article 3 and who:
has a genuine link to the road haulage operator, such as being an employee, director, owner or shareholder or administering it, or is that person; and
is resident in the Party in the territory of which the road haulage operator is established.
If a natural or legal person does not fulfil the requirement of professional competence, the competent authority may authorise the natural or legal person to engage in the occupation of road haulage operator without designating a transport manager in accordance with paragraph 1, provided that:
the natural or legal person designates a natural person residing in the Party of establishment of the road haulage operator who fulfils the requirements laid down in points (b) and (d) of Article 3 and who is entitled under contract to carry out duties as transport manager on behalf of the undertaking;
the contract linking the natural or legal person with the person referred to in point (a) specifies the tasks to be performed on an effective and continuous basis by that person and indicates that person's responsibilities as transport manager. The tasks to be specified shall comprise, in particular, those relating to vehicle maintenance management, verification of transport contracts and documents, basic accounting, the assignment of loads or services to drivers and vehicles, and the verification of safety procedures;
in his or her capacity as transport manager, the person referred to in point (a) may manage the transport activities of up to four different road haulage operators carried out with a combined maximum total fleet of 50 vehicles; and
the person referred to in point (a) performs the specified tasks solely in the interests of the natural or legal person and that person's responsibilities are exercised independently of any natural or legal persons for which it carries out transport operations.
Article 5
Conditions relating to the requirement of establishment
In order to fulfil the requirement of effective and stable establishment in the Party of establishment, a natural or legal person shall:
have premises at which it is able to access the originals of its core business documents, whether in electronic or any other form in particular its transport contracts, documents relating to the vehicles at the disposal of the natural or legal person, accounting documents, personnel management documents, labour contracts, social security documents, documents containing data on the dispatching and posting of drivers, documents containing data relating to journeys, driving time and rest periods, and any other document to which the competent authority must have access in order to verify compliance with the conditions laid down in this Section;
be registered in the register of commercial companies of that Party or in a similar register whenever required under national law;
be subject to tax on revenues and, whenever required under national law, have assigned a VAT identification number;
once an authorisation has been granted, have at its disposal one or more vehicles which are registered or put into circulation and authorised to be used in conformity with the legislation of that Party, regardless of whether those vehicles are wholly owned or, for example, are held under a hire-purchase agreement or under a hire or leasing contract;
effectively and continuously conduct its administrative and commercial activities with the appropriate equipment and facilities at premises as referred to in point (a) situated in that Party and manage effectively and continuously its transport operations using the vehicles referred to in point (f) with the appropriate technical equipment situated in that Party; and
on an ongoing basis, have at its regular disposal a number of vehicles complying with the conditions laid down in point (d) and drivers normally based at an operational centre in that Party, proportionate to the volume of transport operations carried out by the undertaking.
Article 6
Conditions relating to the requirement of good repute
In determining whether a natural or legal person has fulfilled that requirement, the Parties shall consider the conduct of the natural or legal person, its transport managers, executive directors and any other relevant person as may be determined by the Party. Any reference in this Article to convictions, penalties or infringements shall include convictions, penalties or infringements of the natural or legal person itself, its transport managers, executive directors and any other relevant person as may be determined by the Party.
The conditions referred to in this paragraph shall include at least the following:
that there be no compelling grounds for doubting the good repute of the transport manager or the road haulage operator, such as convictions or penalties for any serious infringement of national rules in force in the fields of:
commercial law;
insolvency law;
pay and employment conditions in the profession;
road traffic;
professional liability;
trafficking in human beings or drugs;
tax law; and
that the transport manager or the road haulage operator have not in one or both Parties been convicted of a serious criminal offence or incurred a penalty for a serious infringement of the rules of Title I of Heading Three of Part Two of this Agreement or of national rules relating in particular to:
the driving time and rest periods of drivers, working time and the installation and use of recording equipment;
the maximum weights and dimensions of commercial vehicles used in international traffic;
the initial qualification and continuous training of drivers;
the roadworthiness of commercial vehicles, including the compulsory technical inspection of motor vehicles;
access to the market in international road haulage;
safety in the carriage of dangerous goods by road;
the installation and use of speed-limiting devices in certain categories of vehicle;
driving licences;
admission to the occupation;
animal transport;
the posting of workers in road transport;
the law applicable to contractual obligations; and
journeys whose points of loading and unloading are situated in the other Party.
During the administrative procedure, the competent authority shall assess whether, due to specific circumstances, the loss of good repute would constitute a disproportionate response in the individual case. In that assessment, the competent authority shall take into account the number of serious infringements of the rules as referred to in the third subparagraph of paragraph 1 of this Article, as well as the number of most serious infringements as set out in Appendix 31-A-1-1 for which the transport manager or the road haulage operator have been convicted or had penalties imposed on them. Any such finding shall be duly reasoned and justified.
Where the competent authority finds that the loss of good repute would be disproportionate, it shall decide that the natural or legal person concerned continues to be of good repute. Where the competent authority does not find that the loss of good repute would be disproportionate, the conviction or penalty shall lead to the loss of good repute.
Article 7
Conditions relating to the requirement of financial standing
In order to fulfil the requirement of financial standing, a natural or legal person shall, on a permanent basis, be able to meet its financial obligations in the course of the annual accounting year. The natural or legal person shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, it has at its disposal capital and reserves:
totalling at least EUR 9 000 / GBP 8 000 when only one motor vehicle is used, EUR 5 000 / GBP 4 500 for each additional motor vehicle or combination of vehicles used that has a permissible laden mass exceeding 3.5 tonnes and EUR 900 / GBP 800 for each additional motor vehicle or combination of vehicles that has a permissible laden mass, exceeding 2.5 tonnes but not 3.5 tonnes;
natural or legal persons engaged in the occupation of road haulage operator solely by means of motor vehicles or combinations of vehicles that have a permissible laden mass exceeding 2.5 tonnes but not 3.5 tonnes shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, they have at their disposal capital and reserves totalling at least EUR 1 800 / GBP 1 600 when only one vehicle is used and EUR 900 / GBP 800 for each additional vehicle used.
Article 8
Conditions relating to the requirement of professional competence
A Party may exempt from specified parts of the examinations holders of certificates of professional competence valid for national transport operations in that Party.
Article 9
Exemption from examination
For the purpose of granting a licence to a road haulage operator which only operates motor vehicles or combinations of vehicles the permissible laden mass of which does not exceed 3.5 tonnes, a Party may decide to exempt from the examinations referred to in Article 8(1) persons who provide proof that they have continuously managed, for the period of ten years before 20 August 2020, a natural or legal person of the same type.
Article 10
Procedure for the suspension and withdrawal of authorisations
Where a competent authority establishes that a natural or legal person runs the risk of no longer fulfilling the requirements laid down in Article 3, it shall notify the natural or legal person thereof. Where a competent authority establishes that one or more of those requirements is no longer satisfied, it may set one of the following time limits for the natural or legal person to rectify the situation:
a time limit not exceeding 6 months, which may be extended by 3 months in the event of the death or physical incapacity of the transport manager, for the recruitment of a replacement transport manager where the transport manager no longer satisfies the requirement as to good repute or professional competence;
a time limit not exceeding 6 months where the natural or legal person has to rectify the situation by demonstrating that the natural or legal person has an effective and stable establishment; or
a time limit not exceeding 6 months where the requirement of financial standing is not satisfied, in order to demonstrate that that requirement is again satisfied on a permanent basis.
Article 11
Declaration of unfitness of the transport manager
The competent authority shall not rehabilitate the transport manager earlier than one year from the date of the loss of good repute and before the transport manager has demonstrated to have followed appropriate training for a period of at least 3 months or an exam on the subjects listed in Part I of Appendix 31-A-1-2.
Article 12
Examination and registration of applications
Article 13
National electronic registers
Article 14
Administrative cooperation between the competent authorities
Appendix 31-A-1-1
MOST SERIOUS INFRINGEMENTS FOR THE PURPOSE OF ARTICLE 6(2) OF SECTION 1 OF PART A OF ANNEX 31
1. Exceeding time limits as follows:
exceeding the maximum 6-day or fortnightly driving time limits by margins of 25 % or more;
exceeding, during a daily working period, the maximum daily driving time limit by a margin of 50 % or more.
2. Not having a tachograph and/or speed limiter, or having in the vehicle and/or using a fraudulent device able to modify the records of the recording equipment and/or the speed limiter or falsifying record sheets or data downloaded from the tachograph and/or the driver card.
3. Driving without a valid roadworthiness certificate and/or driving with a very serious deficiency of, inter alia, the braking system, the steering linkages, the wheels/tyres, the suspension or chassis that would create such an immediate risk to road safety that it leads to a decision to immobilise the vehicle.
4. Transporting dangerous goods that are prohibited for transport or transporting such goods in a prohibited or non-approved means of containment or without identifying them on the vehicle as dangerous goods, thus endangering lives or the environment to such extent that it leads to a decision to immobilise the vehicle.
5. Carrying goods without holding a valid driving licence or carrying by an undertaking not holding a valid operator's licence as referred to in Article 463 of this Agreement.
6. Driving with a driver card that has been falsified, or with a card of which the driver is not the holder, or which has been obtained on the basis of false declarations and/or forged documents.
7. Carrying goods exceeding the maximum permissible laden mass by 20 % or more for vehicles the permissible laden weight of which exceeds 12 tonnes, and by 25 % or more for vehicles the permissible laden weight of which does not exceed 12 tonnes.
Appendix 31-A-1-2
PART I
LIST OF SUBJECTS REFERRED TO IN ARTICLE 8 OF SECTION 1 OF PART A OF ANNEX 31
The knowledge to be taken into consideration for the official recognition of professional competence by the Parties must cover at least the subjects listed below. In relation to those subjects, applicant road haulage operators must have the levels of knowledge and practical aptitude necessary for the management of a transport undertaking.
The minimum level of knowledge, as indicated below, must correspond at least to the level of knowledge acquired during the course of compulsory education, which is supplemented either by vocational training and supplementary technical training or by secondary school or other technical training.
A. Civil law
The applicant must, in particular:
be familiar with the main types of contract used in road transport and with the rights and obligations arising therefrom;
be capable of negotiating a legally valid transport contract, notably with regard to conditions of carriage;
be able to consider a claim by the applicant's principal regarding compensation for loss of or damage to goods during transportation or for their late delivery, and to understand how such a claim affects the applicant's contractual liability; and
be familiar with the rules and obligations arising from the CMR Convention on the Contract for the International Carriage of Goods by Road, done in Geneva on 19 May 1956.
B. Commercial law
The applicant must, in particular:
be familiar with the conditions and formalities laid down for plying the trade, the general obligations incumbent upon transport operators (registration, record keeping, etc.) and the consequences of bankruptcy; and
have appropriate knowledge of the various forms of commercial companies and the rules governing their constitution and operation.
C. Social law
The applicant must, in particular, be familiar with the following:
the role and function of the various social institutions which are concerned with road transport (trade unions, works councils, shop stewards, labour inspectors, etc.);
the employers' social security obligations;
the rules governing work contracts for the various categories of worker employed by road transport undertakings (form of the contracts, obligations of the parties, working conditions and working hours, paid leave, remuneration, breach of contract, etc.);
the rules applicable to driving time, rest periods and working time, and the practical measures for applying those provisions; and
the rules applicable to the initial qualification and continuous training of drivers laid down in Section 1 of Part B of this Annex.
D. Fiscal law
The applicant must, in particular, be familiar with the rules governing:
value added tax (VAT) on transport services;
motor-vehicle tax;
the taxes on certain road haulage vehicles and tolls and infrastructure user charges; and
income tax.
E. Business and financial management
The applicant must, in particular:
be familiar with the laws and practices regarding the use of cheques, bills of exchange, promissory notes, credit cards and other means or methods of payment;
be familiar with the various forms of credit (bank credit, documentary credit, guarantee deposits, mortgages, leasing, renting, factoring, etc.) and the charges and obligations arising therefrom;
know what a balance sheet is, how it is set out and how to interpret it;
be able to read and interpret a profit and loss account;
be able to assess the undertaking's profitability and financial position, in particular on the basis of financial ratios;
be able to prepare a budget;
be familiar with the cost elements of the undertaking (fixed costs, variable costs, working capital, depreciation, etc.), and be able to calculate costs per vehicle, per kilometre, per journey or per tonne;
be able to draw up an organisation chart relating to the undertaking's personnel as a whole and to organise work plans, etc.;
be familiar with the principles of marketing, publicity and public relations, including transport services, sales promotion and the preparation of customer files, etc.;
be familiar with the different types of insurance relating to road transport (liability, accidental injury/life insurance, non-life and luggage insurance) and the guarantees and obligations arising therefrom;
be familiar with the applications of electronic data transmission in road transport;
be able to apply the rules governing the invoicing of road haulage services and know the meaning and implications of Incoterms; and
be familiar with the different categories of transport auxiliaries, their role, their functions and, where appropriate, their status.
F. Access to the market
The applicant must, in particular, be familiar with the following:
the occupational regulations governing road transport, industrial vehicle rental and subcontracting, and in particular the rules governing the official organisation of the occupation, admission to the occupation, authorisations for road transport operations, inspections and penalties;
the rules for setting up a road transport undertaking;
the various documents required for operating road transport services and the introduction of checking procedures to ensure that the approved documents relating to each transport operation, and in particular those relating to the vehicle, the driver, the goods and luggage are kept both in the vehicle and on the premises of the undertaking;
the rules on the organisation of the market in road haulage services, as well as the rules on freight handling and logistics; and
border formalities, the role and scope of T documents and TIR carnets, and the obligations and responsibilities arising from their use.
G. Technical standards and technical aspects of operation
The applicant must, in particular:
be familiar with the rules concerning the weights and dimensions of vehicles in the Parties and the procedures to be followed in the case of abnormal loads which constitute an exception to these rules;
be able to choose vehicles and their components (chassis, engine, transmission system, braking system, etc.) in accordance with the needs of the undertaking;
be familiar with the formalities relating to the type approval, registration and technical inspection of these vehicles;
understand what measures must be taken to reduce noise and to combat air pollution by motor vehicle exhaust emissions;
be able to draw up periodic maintenance plans for the vehicles and their equipment;
be familiar with the different types of cargo-handling and loading devices (tailboards, containers, pallets, etc.) and be able to introduce procedures and issue instructions for loading and unloading goods (load distribution, stacking, stowing, blocking and chocking, etc.);
be familiar with the various techniques of "piggy-back" and roll-on roll-off combined transport;
be able to implement procedures to comply with the rules on the carriage of dangerous goods and waste;
be able to implement procedures to comply with the rules on the carriage of perishable foodstuffs, notably those arising from the Agreement on the International Carriage of Perishable Foodstuffs and on the Special Equipment to be used for such Carriage (ATP); and
be able to implement procedures to comply with the rules on the transport of live animals.
H. Road safety
The applicant must, in particular:
know what qualifications are required for drivers (driving licence, medical certificates, certificates of fitness, etc.);
be able to take the necessary steps to ensure that drivers comply with the traffic rules, prohibitions and restrictions in force in the Parties (speed limits, priorities, waiting and parking restrictions, use of lights, road signs, etc.);
be able to draw up instructions for drivers to check their compliance with the safety requirements concerning the condition of the vehicles, their equipment and cargo, and concerning preventive measures to be taken;
be able to lay down procedures to be followed in the event of an accident and to implement appropriate procedures to prevent the recurrence of accidents or serious traffic offences; and
be able to implement procedures to properly secure goods and be familiar with the corresponding techniques.
PART II
ORGANISATION OF THE EXAMINATION
1. The Parties will organise a compulsory written examination which they may supplement by an optional oral examination to establish whether applicant road haulage operators have achieved the required level of knowledge in the subjects listed in Part I and in particular their capacity to use the instruments and techniques relating to those subjects and to fulfil the corresponding executive and coordination duties.
The compulsory written examination will involve two tests, namely:
written questions consisting of either multiple choice questions (each with four possible answers), questions requiring direct answers or a combination of both systems; and
written exercises/case studies.
The minimum duration of each test will be two hours.
Where an oral examination is organised, the Parties may stipulate that participation is subject to the successful completion of the written examination.
2. Where the Parties also organise an oral examination, they must provide, in respect of each of the three tests, for a weighting of marks of a minimum of 25 % and a maximum of 40 % of the total number of marks to be given.
Where the Parties organise only a written examination, they must provide, in respect of each test, for a weighting of marks of a minimum of 40 % and a maximum of 60 % of the total number of marks to be given.
3. With regard to all the tests, applicants must obtain an average of at least 60 % of the total number of marks to be given, achieving in any given test not less than 50 % of the total number of marks possible. In one test only, a Party may reduce that mark from 50 % to 40 %.
Appendix 31-A-1-3
PART A
LICENCE MODEL FOR THE UNION
EUROPEAN COMMUNITY
(a)
(Colour Pantone light blue 290, or as close as possible to this colour, format DIN A4 cellulose paper 100 g/m2 or more)
(First page of the licence)
(Text in (one of) the official language(s) of the Member State issuing the licence)
|
Distinguishing sign of the Member State(1) issuing the licence |
|
Name of the competent authority or body |
LICENCE No ...
or
CERTIFIED TRUE COPY No ...
for the international carriage of goods by road for hire or reward
This licence entitles(2) …
…
…
to engage in the international carriage of goods by road for hire or reward by any route, for journeys or parts of journeys carried out for hire or reward within the territory of the Community, as laid down in Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 (OJ EU L 300, 14.11.2009, p. 72) on common rules for access to the international road haulage market and in accordance with the general provisions of this licence.
|
Particular remarks: … |
|
|
… |
|
|
This licence is valid from …. |
to .… |
|
Issued in …, |
on … |
|
… (3) |
|
______________
(1) The distinguishing signs of the Member States are: (B) Belgium, (BG) Bulgaria, (CZ) Czech Republic, (DK) Denmark, (D) Germany, (EST) Estonia, (IRL) Ireland, (GR) Greece, (E) Spain, (F) France, (HR) Croatia, (I) Italy, (CY) Cyprus, (LV) Latvia, (LT) Lithuania, (L) Luxembourg, (H) Hungary, (MT) Malta, (NL) Netherlands, (A) Austria, (PL) Poland, (P) Portugal, (RO) Romania, (SLO) Slovenia, (SK) Slovakia, (FIN) Finland, (S) Sweden.
(2) Name or business name and full address of the haulier.
(3) Signature and seal of the issuing competent authority or body.
(b)
(Second page of the licence)
(Text in (one of) the official language(s) of the Member State issuing the licence)
GENERAL PROVISIONS
This licence is issued under Regulation (EC) No 1072/2009.
It entitles the holder to engage in the international carriage of goods by road for hire or reward by any route for journeys or parts of journeys carried out within the territory of the Community and, where appropriate, subject to the conditions laid down herein:
In the case of carriage from a Member State to a third country or vice versa, this licence is valid for that part of the journey carried out within the territory of the Community. It shall be valid in the Member State of loading or unloading only after the conclusion of the necessary agreement between the Community and the third country in question in accordance with Regulation (EC) No 1072/2009.
The licence is personal to the holder and is non-transferable.
It may be withdrawn by the competent authority of the Member State which issued it, notably where the holder has:
The original of the licence must be kept by the haulage undertaking.
A certified copy of the licence must be kept in the vehicle(1). In the case of a coupled combination of vehicles it must accompany the motor vehicle. It covers the coupled combination of vehicles even if the trailer or semi-trailer is not registered or authorised to use the roads in the name of the licence holder or if it is registered or authorised to use the roads in another State.
The licence must be presented at the request of any authorised inspecting officer.
Within the territory of each Member State, the holder must comply with the laws, regulations and administrative provisions in force in that State, in particular with regard to transport and traffic.
__________________
(1) "Vehicle" means a motor vehicle registered in a Member State, or a coupled combination of vehicles the motor vehicle of which at least is registered in a Member State, used exclusively for the carriage of goods.
PART B
LICENCE MODEL FOR THE UNITED KINGDOM
UK Licence for the Community
(a)
(Colour Pantone light blue, format DIN A4 cellulose paper 100 g/m2 or more)
(First page of the licence)
(Text in English or Welsh)
|
UK |
|
NAME OF THE UK COMPETENT AUTHORITY (1) |
LICENCE No:
Or
CERTIFIED TRUE COPY No:
for the international carriage of goods by road for hire or reward
This licence entitles(2) …
…
…
to engage in the international carriage of goods by road for hire or reward by any route, for journeys or parts of journeys carried out for hire or reward within the territory of a Member State as laid down in Regulation (EC) No 1072/2009(3).
|
Particular remarks: … |
|
|
… |
|
|
This licence is valid from …. |
to … |
|
Issued in … |
on … |
|
|
|
___________________________
(1) Competent authority for the relevant region for which the certificate is issued.
(2) Name or business name and full address of the haulier.
(3) Regulation (EC) No 1072/2009 as retained in UK law by Section 3 of the European Union (Withdrawal) Act 2018 and as amended by regulations made under Section 8 of that Act.
(b)
(Second page of the licence)
(Text in English or Welsh)
GENERAL PROVISIONS
This licence is issued under Regulation (EC) No 1072/2009( 1 ).
It entitles the holder to engage in the international carriage of goods by road for hire or reward by any route for journeys or parts of journeys carried out within the territory of a Member State permitted by any international agreement between the United Kingdom and the European Union or a Member State.
In the case of carriage from the United Kingdom to a third country or vice versa, this licence is valid for that part of the journey carried out within the territory of any Member State.
The licence is personal to the holder and is non-transferable.
It may be withdrawn by a traffic commissioner or the Department for Infrastructure (Northern Ireland), for example, where the holder has:
The original of the licence must be kept by the haulage undertaking.
A certified copy of the licence must be kept in the vehicle( 2 ). In the case of a coupled combination of vehicles it must accompany the motor vehicle. It covers the coupled combination of vehicles even if the trailer or semi-trailer is not registered or authorised to use the roads in the name of the licence holder or if it is registered or authorised to use the roads in another State.
The licence must be presented at the request of any authorised inspecting officer.
Within the territory of the United Kingdom or each Member State, the holder must comply with the laws, regulations and administrative provisions in force in that State, in particular with regard to transport and traffic.
_______________________
(1) Regulation (EC) No 1072/2009 as retained in UK law by Section 3 of the European Union (Withdrawal) Act 2018 and as amended by regulations made under Section 8 of that Act.
(2) "Vehicle" means a motor vehicle registered in the United Kingdom or a Member State, or a coupled combination of motor vehicles the motor vehicle of which at least is registered in the United Kingdom or a Member State, used exclusively for the carriage of goods.
Appendix 31-A-1-4
SECURITY FEATURES OF THE LICENCE
The licence must have at least two of the following security features:
SECTION 2
POSTING OF DRIVERS
Article 1
Subject matter
This Section lays down requirements for road haulage operators established in one of the Parties which, in the framework of the transport of goods, post drivers to the territory of the other Party in accordance with Article 3 of this Section.
Nothing in this Section shall prevent a Party from applying measures to regulate the entry of natural persons into, or their temporary stay in, its territory, including measures necessary to protect the integrity of its borders and to ensure the orderly movement of natural persons across them, provided that such measures are not applied in such a manner as to nullify or impair the benefits accruing to the other Party under the terms of this Section. The sole fact of requiring a visa for natural persons of certain countries and not for those of others shall not be regarded as nullifying or impairing benefits under this Section.
Nothing in this Section shall affect the application on the Union territory of the Union rules on the posting of drivers in road transport to Union road haulage operators.
Article 2
Definitions
For the purposes of this Section, "posted driver" means a driver who, for a limited period, carries out his or her work in the territory of a Party other than the Party in which the driver normally works.
Article 3
Principles
For the purposes of paragraph 1, in the case of posting in the Union, a posting shall, be considered to start when the driver enters the territory of a Member State for the loading and/or unloading of goods in that Member State and to end when the driver leaves the territory of that Member State.
Article 4
Terms and conditions of employment
Each Party shall ensure, irrespective of which law applies to the employment relationship, that road haulage operators guarantee, on the basis of equality of treatment, to drivers who are posted to their territory the terms and conditions of employment covering the following matters which, in the Party or, in the case of the Union, in the Member State where the work is carried out, are laid down:
maximum work periods and minimum rest periods;
minimum paid annual leave;
remuneration, including overtime rates; this point does not apply to supplementary occupational retirement pension schemes;
health, safety and hygiene at work;
protective measures with regard to the terms and conditions of employment of pregnant women or women who have recently given birth, of children and of young people; and
equality of treatment between men and women and other provisions on non-discrimination.
Where the terms and conditions of employment applicable to the employment relationship do not determine which elements of the allowance specific to the posting are paid in reimbursement of expenditure actually incurred on account of the posting or which are part of remuneration, then the entire allowance shall be considered to be paid in reimbursement of expenditure.
In the absence of, or in addition to, a system for declaring collective agreements or arbitration awards to be of universal application within the meaning of the first subparagraph, each Party, or each Member State in the case of the Union, may, if they so decide, base themselves on:
Equality of treatment, within the meaning of paragraph 1, shall be deemed to exist where national undertakings in a similar position:
are subject, in the place in question or in the sector concerned, to the same obligations as posting undertakings as regards the matters listed in the first subparagraph of paragraph 1; and
are required to fulfil such obligations with the same effects.
Article 5
Improved access to information
Each Party or, in the case of the Union, each Member State shall ensure that the information provided on the single official national website is accurate and up to date.
Article 6
Administrative requirements, control and enforcement
Each Party or, in the case of the Union, each Member State may only impose the following administrative requirements and control measures with respect to the posting of drivers:
an obligation for the operator established in the other Party to submit a posting declaration to the national competent authorities of the Party or, in the case of the Union, of the Member State to which the driver is posted at the latest at the commencement of the posting, using from 2 February 2022 a multilingual standard form of the public interface connected to the EU Internal Market Information System ( 143 ) for administrative cooperation (IMI); that posting declaration shall consist of the following information:
the identity of the operator, at least in the form of the number of the valid licence where this number is available;
the contact details of a transport manager or other contact person in the Party of establishment or, in the case of the Union, in the Member State of establishment to liaise with the competent authorities of the host Party or in, the case of the Union, of the Member State in which the services are provided and to send out and receive documents or notices;
the identity, the address of the residence and the number of the driving licence of the driver;
the start date of the driver's contract of employment, and the law applicable to it;
the envisaged start and end date of the posting; and
the number plates of the motor vehicles;
an obligation for the operator to ensure that the driver has at his or her disposal in paper or electronic form and an obligation for the driver to keep and make available when requested at the roadside:
a copy of the posting declaration submitted, via the IMI system from 2 February 2022;
evidence of the transport operations taking place in the host Party, such as an electronic consignment note (e-CMR); and
the tachograph records and in particular the country symbols of the Party or, in the case of the Union, of the Member State in which the driver was present when carrying out transport operations, in accordance with registration and record-keeping requirements under Section 2 of Part B and Section 4 of Part B;
an obligation for the operator to send, from 2 February 2022 via the public interface connected to the IMI system, after the period of posting, at the direct request of the competent authorities of the other Party or, in the case of the Union, of a Member State where the posting took place, copies of documents referred to in point (b)(ii) and (iii) of this paragraph as well as documentation relating to the remuneration of the driver in respect of the period of posting, the employment contract or an equivalent document, time-sheets relating to the driver's work, and proof of payments.
The operator shall send the documentation, from 2 February 2022 via the public interface connected to the IMI system, no later than eight weeks from the date of the request. If the operator fails to submit the requested documentation within that time period, the competent authorities of the Party or, in the case of the Union, the Member State where the posting took place may request, from 2 February 2022 via the IMI system, the assistance of the competent authorities of the Party of establishment or, in the case of the Union, the Member State of establishment. When such a request for mutual assistance is made, the competent authorities of the Party of establishment or, in the case of the Union, the Member State of establishment of the operator shall have access to the posting declaration and other relevant information submitted by the operator, from 2 February 2022 via the public interface connected to the IMI system.
The competent authorities of the Party of establishment or, in the case of the Union, of the Member State of establishment shall ensure that they provide the requested documentation to the competent authorities of the Party or, in the case of the Union, to the competent authorities of the Member State where the posting took place, from 2 February 2022 via the IMI system, within 25 working days from the day of the request for mutual assistance.
Each Party shall ensure that the information exchanged by the competent national authorities or transmitted to them shall be used only in respect of the matter or matters for which it was requested.
Mutual administrative cooperation and assistance shall be provided free of charge.
A request for information shall not preclude the competent authorities from taking measures to investigate and prevent alleged breaches of this Section.
Each Party shall notify those provisions to the other Party by 30 June 2021. They shall notify without delay any subsequent amendments to them.
Article 7
Use of the IMI system
As from 2 February 2022, information, including personal data, referred to in Article 6 shall be exchanged and processed in the IMI system, provided that the following conditions are fulfilled:
the Parties provide safeguards that data processed in the IMI system are only used for the purpose for which they were initially exchanged;
any transfer of personal data to the United Kingdom under this Article may only take place in accordance with point (c) of Article 23(1) of Regulation (EU) No 1024/2012 of the European Parliament and of the Council ( 144 ); and
any transfer of personal data to the Union under this Article may only take place in accordance with the data protection rules on international transfers of the United Kingdom.
Each Party or, in the case of the Union, each Member State, may allow the competent authority to provide national social partners by other means than the IMI system with relevant information available in the IMI system to the extent necessary for the purpose of checking compliance with posting rules and in accordance with national law and practices, provided that:
the information relates to a posting to the territory of the Party or, in the case of the Union, of the Member State, concerned; and
the information is used exclusively for the purpose of enforcing the posting rules.
PART B
REQUIREMENTS FOR DRIVERS INVOLVED IN THE TRANSPORT OF GOODS IN ACCORDANCE WITH ARTICLE 465 OF THIS AGREEMENT
SECTION 1
CERTIFICATE OF PROFESSIONAL COMPETENCE
Article 1
Scope
This Section applies to the activity of driving by anyone employed or used by a road haulage operator of a Party undertaking journeys referred to in Article 462 of this Agreement and using vehicles for which a driving licence of category C1, C1+E, C or C+E, or a driving licence recognised as equivalent by the Specialised Committee on Road Transport, is required.
Article 2
Exemptions
A certificate of professional competence (CPC) is not required for drivers of vehicles:
with a maximum authorised speed not exceeding 45 km/h;
used by, or under the control of, the armed forces, civil defence, the fire service, forces responsible for maintaining public order, and emergency ambulance services, when the carriage is undertaken as a consequence of the tasks assigned to those services;
undergoing road tests for technical development, repair or maintenance purposes, or the drivers of new or rebuilt vehicles which have not yet been put into service;
used in states of emergency or assigned to rescue missions;
carrying material, equipment or machinery to be used by the drivers in the course of their work, provided that driving the vehicles is not the drivers' principal activity; or
used, or hired without a driver, by agricultural, horticultural, forestry, farming or fishery undertakings for carrying goods as part of their own entrepreneurial activity, except if driving is part of the driver's principal activity or the driving exceeds a distance set in national law from the base of the undertaking which owns, hires or leases the vehicle.
Article 3
Qualification and training
The activity of driving as defined in Article 1 shall be subject to a compulsory initial qualification and to compulsory periodic training. To that end the Parties shall provide for:
a system of initial qualification corresponding to one of the following two options:
option combining both course attendance and a test
In accordance with Section 2(2.1) of Appendix 31-B-1-1, this type of initial qualification involves compulsory course attendance for a specific period. It shall conclude with a test. Upon successful completion of the test, the qualification shall be certified by a CPC as provided for in point (a) of Article 6(1);
option involving only tests
In accordance with Section 2(2.2) of Appendix 31-B-1-1, this type of initial qualification does not involve compulsory course attendance but only theoretical and practical tests. Upon successful completion of the tests, the qualification shall be certified by a CPC as provided for in point (b) of Article 6(1).
However, a Party may authorise a driver to drive within its territory before obtaining a CPC, where the driver is undergoing a national vocational training course of at least six months, for a maximum period of three years. In the context of that vocational training course, the tests referred to in points (i) and (ii) of this point may be completed in stages;
a system of periodic training
In accordance with Section 4 of Appendix 31-B-1-1, periodic training involves compulsory course attendance. It shall be certified by a CPC as provided for in Article 8(1).
In accordance with Section 3 of Appendix 31-B-1-1, the accelerated initial qualification shall involve compulsory course attendance. It shall conclude with a test. Upon successful completion of the test, the qualification shall be certified by a CPC as provided for in Article 6(2).
Article 4
Acquired rights
Drivers who hold a category C1, C1+E, C or C+E licence, or a licence recognised as equivalent by the Specialised Committee on Road Transport, issued no later than 10 September 2009, shall be exempted from the need to obtain an initial qualification.
Article 5
Initial qualification
Drivers of a vehicle intended for the carriage of goods may drive:
from the age of 18:
a vehicle in licence categories C and C+E, provided they hold a CPC as referred to in Article 6(1); and
a vehicle in licence categories C1 and C1+E, provided they hold a CPC as referred to in Article 6(2);
from the age of 21, a vehicle in licence categories C and C+E, provided they hold a CPC as referred to in Article 6(2).
Article 6
CPC certifying the initial qualification
CPC certifying an initial qualification
CPC awarded on the basis of course attendance and a test
In accordance with point (a)(i) of Article 3(1), the Parties shall require trainee drivers to attend courses in a training centre approved by the competent authorities in accordance with Section 5 of Appendix 31-B-1-1, hereinafter referred to as "approved training centre". Those courses shall cover all the subjects referred to in Section 1 of Appendix 31-B-1-1.
That training shall conclude with successful completion of the test provided for in Section 2(2.1) of Appendix 31-B-1-1. That test shall be organised by the competent authorities in the Parties or an entity designated by them and shall serve to check whether, for the aforementioned subjects, the trainee driver has the level of knowledge required in Section 1 of Appendix 31-B-1-1. The said authorities or entities shall supervise the test and, upon successful completion, issue the drivers with a CPC certifying an initial qualification.
CPC awarded on the basis of tests
In accordance with point (a)(ii) of Article 3(1), the Parties shall require trainee drivers to pass the theoretical and practical tests referred to in Section 2(2.2) of Appendix 31-B-1-1. Those tests shall be organised by the competent authorities in the Parties or an entity designated by them and shall serve to check whether, for all the aforementioned subjects, the trainee driver has the level of knowledge required in Section 1 of Appendix 31-B-1-1. The said authorities or entities shall supervise the tests and, upon successful completion, issue the drivers with a CPC certifying an initial qualification.
In accordance with Article 3(2), the Parties shall require trainee drivers to attend courses in an approved training centre. Those courses shall cover all the subjects referred to in Section 1 of Appendix 31-B-1-1.
That training shall conclude with the test provided for in Section 3 of Appendix 31-B-1-1. That test shall be organised by the competent authorities in the Parties or an entity designated by them and shall serve to check whether, for the aforementioned subjects, the trainee driver has the level of knowledge required in Section 1 of Appendix 31-B-1-1. The said authorities or entities shall supervise the test and, upon successful completion, issue the drivers with a CPC certifying an accelerated initial qualification.
Article 7
Periodic training
Periodic training shall consist of training to enable holders of a CPC to update the knowledge which is essential for their work, with specific emphasis on road safety, health and safety at work, and the reduction of the environmental impact of driving.
That training shall be organised by an approved training centre, in accordance with Section 5 of Appendix 31-B-1-1. Training shall consist of classroom teaching, practical training and, if available, training by means of information and communication technology (ICT) tools or on top-of-the-range simulators. If a driver moves to another undertaking, the periodic training already undergone must be taken into account.
Periodic training shall be designed to expand on, and to revise, some of the subjects referred in Section 1 of Appendix 31-B-1-1. It shall cover a variety of subjects and shall always include at least one road safety related subject. The training subjects shall take into account developments in the relevant legislation and technology, and shall, as far as possible, take into account the specific training needs of the driver.
Article 8
CPC certifying periodic training
The following drivers shall undergo a first course of periodic training:
holders of a CPC as referred to in Article 6, within five years of the issue of that CPC; and
the drivers referred to in Article 4, within five years of 10 September 2009.
A Party may reduce or extend the periods of time referred to in point (a) or (b) by a maximum of two years.
Article 9
Enforcement
The competent authorities in a Party shall either affix directly on the driver's driving permit (licence), beside the corresponding categories of licence, a distinguishing sign attesting to the possession of a CPC and indicating the date of expiry, or introduce a special driver qualification card which should be drawn up in accordance with the model reproduced in Appendix 31-B-1-2. Any other model may be acceptable provided that it is recognised as equivalent by the Specialised Committee on Road Transport. The driver qualification card or any equivalent document as specified above issued by the competent authorities in a Party shall be recognised by the other Party for the purposes of this Section.
Drivers must be able to present, at the request of any authorised inspecting officer, a driving permit (licence) or a specific driver qualification card or equivalent document bearing the distinguishing sign confirming possession of a CPC.
Appendix 31-B-1-1
MINIMUM QUALIFICATION AND TRAINING REQUIREMENTS
To ensure that the rules governing the transport of goods by road covered by Title I of Heading Three of Part Two of this Agreement are as harmonised as possible, the minimum requirements for driver qualification and training as well as the approval of training centres are set out in Sections 1 to 5 of this Appendix. Any other content for this qualification or training may be acceptable provided that it is considered as equivalent by the Specialised Committee on Road Transport.
SECTION 1
LIST OF SUBJECTS
The knowledge to be taken into account by the Parties when establishing the driver's initial qualification and periodic training must include at least the subjects in this list. Trainee drivers must reach the level of knowledge and practical competence necessary to drive in all safety vehicles of the relevant licence category. The minimum level of knowledge may not be less than the level reached during compulsory education, supplemented by professional training.
1. Advanced training in rational driving based on safety regulations
1.1 Objective: to know the characteristics of the transmission system in order to make the best possible use of it:
1.2 Objective: to know the technical characteristics and operation of the safety controls in order to control the vehicle, minimise wear and tear, and prevent disfunctioning:
1.3 Objective: ability to optimise fuel consumption:
1.4 Objective: ability to anticipate, assess and adapt to risks in traffic:
1.5 Objective: ability to load the vehicle with due regard for safety rules and proper vehicle use:
2. Application of regulations
2.1 Objective: to know the social environment of road transport and the rules governing it:
2.2 Objective: to know the regulations governing the carriage of goods:
3. Health, road and environmental safety, service, logistics
3.1 Objective: to make drivers aware of the risks of the road and of accidents at work:
3.2 Objective: ability to prevent criminality and trafficking in illegal immigrants:
3.3 Objective: ability to prevent physical risks:
3.4 Objective: awareness of the importance of physical and mental ability:
3.5 Objective: ability to assess emergency situations:
3.6 Objective: ability to adopt behaviour to help enhance the image of the company:
3.7 Objective: to know the economic environment of road haulage and the organisation of the market:
SECTION 2
COMPULSORY INITIAL QUALIFICATION PROVIDED FOR IN POINT (a) OF ARTICLE 3(1) OF SECTION 1 OF PART B
A Party may count specific other training related to the transport of goods by road required under its legislation as part of the training under this Section and under Section 3 of this Appendix.
2.1. Option combining both course attendance and a test
Initial qualification must include the teaching of all subjects in the list under Section 1 of this Appendix. The duration of that initial qualification must be 280 hours.
Each trainee driver must drive for at least 20 hours individually in a vehicle of the category concerned which meets at least the requirements for test vehicles.
When driving individually, the trainee driver must be accompanied by an instructor, employed by an approved training centre. Each trainee driver may drive for a maximum of eight hours of the 20 hours of individual driving on special terrain or on a top-of-the-range simulator so as to assess training in rational driving based on safety regulations, in particular with regard to vehicle handling in different road conditions and the way they change with different atmospheric conditions, the time of day or night, and the ability to optimise fuel consumption.
A Party and, in the case of the Union, a Member State may allow part of the training to be delivered by the approved training centre by means of ICT tools, such as e-learning, while ensuring that the high quality and the effectiveness of the training are maintained, and by selecting the subjects where ICT tools can most effectively be deployed. Reliable user identification and appropriate means of control shall be required in such a case.
For the drivers referred to in Article 5(4) of Section 1 of Part B the length of the initial qualification must be 70 hours, including five hours of individual driving.
At the end of that training, the competent authorities in the Parties or the entity designated by them shall give the driver a written or oral test. The test must include at least one question on each of the objectives in the list of subjects under Section 1 of this Appendix.
2.2 Option involving a test
The competent authorities in the Parties or the entity designated by them shall organise the aforementioned theoretical and practical tests to check whether the trainee driver has the level of knowledge required in Section 1 of this Appendix for the subjects and objectives listed there.
The theoretical test shall consist of at least two parts:
questions including multiple-choice questions, questions requiring a direct answer, or a combination of both; and
case studies.
The minimum duration of the theoretical test must be four hours.
The practical test shall consist of two parts:
a driving test aimed at assessing training in rational driving based on safety regulations. The test must take place, whenever possible, on roads outside built-up areas, on fast roads and on motorways (or similar), and on all kinds of urban highways presenting the different types of difficulties that a driver is liable to encounter. It would be desirable for that test to take place in different traffic density conditions. The driving time on the road must be used optimally in order to assess the candidate in all traffic areas likely to be encountered. The minimum duration of that test must be 90 minutes;
a practical test covering at least points 1.5, 3.2, 3.3 and 3.5 of Section 1 of this Appendix.
The minimum duration of that test must be 30 minutes.
The vehicle used for the practical test must meet at least the requirements for test vehicles.
The practical test may be supplemented by a third test taking place on special terrain or on a top-of the-range simulator so as to assess training in rational driving based on safety regulations, in particular with regard to vehicle handling in different road conditions and the way they change with different atmospheric conditions and the time of day or night.
The duration of that optional test is not fixed. Should the driver undergo such a test, its duration may be deducted from the 90 minutes of the driving test referred to under point (i), but the time deducted may not exceed 30 minutes.
For the drivers referred to in Article 5(4) of Section 1 of Part B, the theoretical test must be limited to the subjects, referred to in Section 1 of this Appendix, which are relevant to the vehicles to which the new initial qualification applies. However, such drivers must undergo the whole practical test.
SECTION 3
ACCELERATED INITIAL QUALIFICATION PROVIDED FOR IN ARTICLE 3(2) OF SECTION 1 OF PART B OF ANNEX 31
Accelerated initial qualification must include the teaching of all subjects in the list in Section 1 of this Appendix. Its duration must be 140 hours.
Each trainee driver must drive for at least 10 hours individually in a vehicle of the category concerned which meets at least the requirements for test vehicles.
When driving individually, the trainee driver must be accompanied by an instructor, employed by an approved training centre. Each trainee driver may drive for a maximum of four hours of the 10 hours of individual driving on special terrain or on a top-of-the-range simulator so as to assess training in rational driving based on safety regulations, in particular with regard to vehicle handling in different road conditions and the way those road conditions change with different atmospheric conditions, the time of day or night, and the ability to optimise fuel consumption.
The provisions of the fourth paragraph of point 2.1 of Section 2 of this Appendix shall also apply to the accelerated initial qualification.
For the drivers referred to in Article 5(4) of Section 1 of Part B, the length of the accelerated initial qualification must be 35 hours, including two-and-a-half hours of individual driving.
At the end of that training, the competent authorities in the Parties or the entity designated by them shall give the driver a written or oral test. The test must include at least one question on each of the objectives in the list of subjects under Section 1 of this Appendix.
A Party may count specific other training related to the transport of goods by road required under its legislation as part of the training under this Section.
SECTION 4
COMPULSORY PERIODIC TRAINING PROVIDED FOR IN POINT (b) OF ARTICLE 3(1) OF SECTION 1 OF PART B OF ANNEX 31
Compulsory periodic training courses must be organised by an approved training centre. Their duration must be of 35 hours every five years, given in periods of at least seven hours, which may be split over two consecutive days. Whenever e- learning is used, the approved training centre shall ensure that the proper quality of the training is maintained, including by selecting the subjects where ICT tools can most effectively be deployed. In particular, the Parties shall require reliable user identification and appropriate means of control. The maximum duration of the e-learning training shall not exceed 12 hours. At least one of the training course periods shall cover a road safety related subject. The content of the training shall take into account training needs specific to the transport operations carried out by the driver and relevant legal and technological developments and should, as far as possible, take into account specific training needs of the driver. A range of different subjects should be covered over the 35 hours, including repeat training where it is shown that the driver needs specific remedial training.
A Party and, in the case of the Union, a Member State may count specific other training related to the transport of goods by road required under its legislation as part of the training under this Section.
SECTION 5
APPROVAL OF THE INITIAL QUALIFICATION AND PERIODIC TRAINING
5.1. The training centres taking part in the initial qualification and periodic training must be approved by the competent authorities in the Parties. Approval may be given only in response to a written application. The application must be accompanied by documents including:
a suitable qualification and training programme specifying the subjects taught and setting out the proposed implementing plan and teaching methods;
the instructors' qualifications and fields of activity;
information about the premises where the courses are given, the teaching materials, the resources made available for the practical work, and the vehicle fleet used;
the conditions regarding participation in the courses (number of participants).
5.2. The competent authority must give approval in writing subject to the following conditions:
the training must be given in accordance with the documents accompanying the application;
the competent authority must be entitled to send authorised persons to assist in the training courses of the approved centres, and must be entitled to monitor such centres, with regard to the resources used and the proper running of the training courses and tests;
the approval may be withdrawn or suspended if the conditions of approval are no longer complied with.
The approved centre must guarantee that the instructors have a sound knowledge of the most recent regulations and training requirements. As part of a specific selection procedure, the instructors must provide certification showing a knowledge of both the subject material and teaching methods. As regards the practical part of the training, instructors must provide certification of experience as professional drivers or similar driving experience, such as that of driving instructors for heavy vehicles.
The programme of instruction must be in accordance with the approval and must cover the subjects in the list in Section 1.
Appendix 31-B-1-2
MODEL OF A DRIVER QUALIFICATION CARD REFERRED TO IN ARTICLE 9 OF SECTION 1 OF PART B OF THIS ANNEX
SECTION 2
DRIVING TIMES, BREAKS AND REST PERIODS
Article 1
Scope
This Section applies:
where the maximum permissible mass of the vehicle, including any trailer, or semitrailer, exceeds 3.5 tonnes; or
from 1 July 2026, where the maximum permissible mass of the vehicle, including any trailer, or semi-trailer, exceeds 2.5 tonnes.
This Section does not apply to transport by:
vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7.5 tonnes used for:
carrying materials, equipment or machinery for the driver's use in the course of the driver's work, or
for delivering goods which are produced on a craft basis,
only within a 100 km radius from the base of the undertaking and on the condition that driving the vehicle does not constitute the driver's main activity and transport is not carried out for hire or reward;
vehicles with a maximum authorised speed not exceeding 40 km/h;
vehicles owned or hired without a driver by the armed services, civil defence services, fire services, and forces responsible for maintaining public order when the transport is undertaken as a consequence of the tasks assigned to those services and is under their control;
vehicles used in emergencies or rescue operations;
specialised vehicles used for medical purposes;
specialised breakdown vehicles operating within a 100 km radius of their base;
vehicles undergoing road tests for technical development, repair or maintenance purposes, and new or rebuilt vehicles which have not yet been put into service;
vehicles with a maximum permissible mass, including any trailer, or semi-trailer exceeding 2.5 tonnes but not exceeding 3.5 tonnes that are used for the transport of goods, where the transport is not effected for hire or reward, but on the own account of the company or the driver, and where driving does not constitute the main activity of the person driving the vehicle;
commercial vehicles, which have a historic status according to the legislation of the Member State in which they are being driven and which are used for the non-commercial transport of goods.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
"transport by road" means any journey made entirely or in part on roads open to the public by a vehicle, whether laden or not;
"break" means any period during which a driver may not carry out any driving or any other work and which is used exclusively for recuperation;
"other work" means all activities which are defined as working time in point (a) of Article 2(1) of Section 3 of Part B except "driving", including any work for the same or another employer, within or outside of the transport sector;
"rest" means any uninterrupted period during which a driver may freely dispose of his or her time;
"daily rest period" means the daily period during which a driver may freely dispose of his or her time and covers a "regular daily rest period" and a "reduced daily rest period":
"regular daily rest period" means any period of rest of at least 11 hours, which may be taken in two periods, the first of which must be an uninterrupted period of at least 3 hours and the second an uninterrupted period of at least nine hours; and
"reduced daily rest period" means any period of rest of at least nine hours but less than 11 hours;
"weekly rest period" means the weekly period during which a driver may freely dispose of his or her time and covers a "regular weekly rest period" and a "reduced weekly rest period":
"regular weekly rest period" means any period of rest of at least 45 hours; and
"reduced weekly rest period" means any period of rest of less than 45 hours, which may, subject to the conditions laid down in Article 6(6) and 6(7), be shortened to a minimum of 24 consecutive hours;
"a week" means the period of time between 00.00 on Monday and 24.00 on Sunday;
"driving time" means the duration of driving activity recorded:
automatically or semi-automatically by the tachograph as defined in points (e), (f), (g) and (h) of Article 2 of Section 4 of Part B of this Annex; or
manually as required by Article 9(2) and Article 11 of Section 4 of Part B of this Annex;
"daily driving time" means the total accumulated driving time between the end of one daily rest period and the beginning of the following daily rest period or between a daily rest period and a weekly rest period;
"weekly driving time" means the total accumulated driving time during a week;
"maximum permissible mass" means the maximum authorised operating mass of a vehicle when fully laden;
"multi-manning" means the situation where, during each period of driving between any two consecutive daily rest periods, or between a daily rest period and a weekly rest period, there are at least two drivers in the vehicle to do the driving for the first hour of multimanning the presence of another driver or drivers is optional but for the remainder of the period it is compulsory;
"driving period" means the accumulated driving time from when a driver commences driving following a rest period or a break until the driver takes a rest period or a break; the driving period may be continuous or broken.
Article 3
Requirement for drivers’ mates
The minimum age for drivers' mates shall be 18 years. However, each Party and, in the case of the Union, a Member State may reduce the minimum age for drivers' mates to 16 years, provided that the reduction is for the purposes of vocational training and there is compliance with the limits imposed by the United Kingdom and, for the Union, the Member State's national rules on employment matters.
Article 4
Driving times
However, the daily driving time may be extended to at most 10 hours not more than twice during the week.
Article 5
Breaks
After a driving period of four and a half hours a driver shall take an uninterrupted break of not less than 45 minutes, unless the driver takes a rest period.
That break may be replaced by a break of at least 15 minutes followed by a break of at least 30 minutes each distributed over the period in such a way as to comply with the provisions of the first paragraph.
A driver engaged in multi-manning may take a break of 45 minutes in a vehicle driven by another driver provided that the driver taking the break is not involved in assisting the driver driving the vehicle.
Article 6
Rests
If the portion of the daily rest period which falls within that 24-hour period is at least nine hours but less than 11 hours, then the daily rest period in question shall be regarded as a reduced daily rest period.
In any two consecutive weeks a driver shall take at least:
two regular weekly rest periods; or
one regular weekly rest period and one reduced weekly rest period of at least 24 hours.
A weekly rest period shall start no later than at the end of six 24-hour periods from the end of the previous weekly rest period.
For the purpose of this paragraph, a driver shall be considered to be engaged in international transport where the driver starts the two consecutive reduced weekly rest periods outside the territory of the Party of the road haulage operator and drivers' place of residence or, for the Union, outside the territory of the Member State of the road haulage operator and the country of the drivers' place of residence.
Any reduction in weekly rest period shall be compensated by an equivalent period of rest taken en bloc before the end of the third week following the week in question.
Where two reduced weekly rest periods have been taken consecutively in accordance with the third subparagraph, the next weekly rest period shall be preceded by a rest period taken as compensation for those two reduced weekly rest periods.
Any costs for accommodation outside the vehicle shall be covered by the employer.
However, where the driver has taken two consecutive reduced weekly rest periods in accordance with paragraph 7, the transport undertaking shall organise the work of the driver in such a way that the driver is able to return before the start of the regular weekly rest period of more than 45 hours taken in compensation.
The undertaking shall document how it fulfils that obligation and shall keep the documentation at its premises in order to present it at the request of control authorities.
With regard to regular weekly rest periods, that derogation shall only apply to ferry or train journeys where:
the journey is scheduled for 8 hours or more; and
the driver has access to a sleeper cabin in the ferry or on the train.
Article 7
Liability of road haulage operators
Without prejudice to the right of the Parties to hold road haulage operators fully liable, the Parties may make this liability conditional on the operator's infringement of paragraphs 1 and 2. The Parties may consider any evidence that the road haulage operator cannot reasonably be held responsible for the infringement committed.
A road haulage operator which uses vehicles that are fitted with recording equipment complying with point (f), (g) or (h) of Article 2 of Section 4 of Part B and that fall within the scope of this Section, shall:
ensure that all data are downloaded from the vehicle unit and driver card as regularly as is stipulated by the Party and that relevant data are downloaded more frequently so as to ensure that all data concerning activities undertaken by or for that road haulage operator are downloaded; and
ensure that all data downloaded from both the vehicle unit and driver card are kept for at least 12 months following recording and, should an inspecting officer request it, such data are accessible, either directly or remotely, from the premises of the road haulage operator.
For the purposes of this paragraph 'downloaded' shall be interpreted in accordance with the definition laid down in point (h) of Article 2(2) of Section 2 of Part C.
The maximum period within which the relevant data shall be downloaded under point (i) of this paragraph shall be 90 days for data from the vehicle unit and 28 days for data from the driver card.
Article 8
Exceptions
Under the same conditions, the driver may exceed the daily and weekly driving time by up to two hours, provided that an uninterrupted break of 30 minutes was taken immediately prior to the additional driving in order to reach the employer's operational centre or the driver's place of residence for taking a regular weekly rest period.
The driver shall indicate the reason for such departure manually on the record sheet of the recording equipment, or on a printout from the recording equipment or in the duty roster, at the latest on arrival at the destination or the suitable stopping place.
Any period of extension shall be compensated by an equivalent period of rest taken en bloc with any rest period, by the end of the third week following the week in question.
Provided that road safety is not thereby jeopardised, each Party and, in the case of the Union, a Member State may grant exceptions from Articles 3 to 6 and make such exceptions subject to individual conditions on its own territory or, with the agreement of the other Party, on the territory of the other Party, applicable to transport by the following:
vehicles owned or hired, without a driver, by public authorities to undertake transport by road which do not compete with private road haulage operators;
vehicles used or hired, without a driver, by agricultural, horticultural, forestry, farming or fishery undertakings for carrying goods as part of their own entrepreneurial activity within a radius of up to 100 km from the base of the undertaking;
agricultural tractors and forestry tractors used for agricultural or forestry activities, within a radius of up to 100 km from the base of the undertaking which owns, hires or leases the vehicle;
vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7.5 tonnes used by universal service providers to deliver items as part of the universal service. Those vehicles shall be used only within a 100 km radius from the base of the undertaking, and on condition that driving the vehicles does not constitute the driver's main activity;
vehicles operating exclusively on islands not exceeding 2 300 square kilometres in area which are not linked to the rest of the national territory by a bridge, ford or tunnel open for use by motor vehicles;
vehicles used for the transport of goods within a 100 km radius from the base of the undertaking and propelled by means of natural or liquefied gas or electricity, the maximum permissible mass of which, including the mass of a trailer or semi-trailer, does not exceed 7.5 tonnes;
vehicles used in connection with sewerage, flood protection, water, gas and electricity maintenance services, road maintenance and control, door-to-door household refuse collection and disposal, telegraph and telephone services, radio and television broadcasting, and the detection of radio or television transmitters or receivers;
specialised vehicles transporting circus and funfair equipment;
specially fitted mobile project vehicles, the primary purpose of which is use as an educational facility when stationary;
vehicles used for milk collection from farms and/or for the return to farms of milk containers or milk products intended for animal feed;
specialised vehicles transporting money and/or valuables;
vehicles used for carrying animal waste or carcasses which are not intended for human consumption;
vehicles used exclusively on roads inside hub facilities such as ports, interports and railway terminals;
vehicles used for the transport of live animals from farms to local markets and vice versa or from markets to local slaughterhouses within a radius of up to 100 km;
vehicles or combinations of vehicles carrying construction machinery for a construction undertaking, up to a radius of 100 km from the base of the undertaking, provided that driving the vehicles does not constitute the driver's main activity; and
vehicles used for the delivery of ready-mixed concrete.
The temporary exceptions shall be duly reasoned and notified immediately to the other Party. The Specialised Committee on Road Transport shall specify the modalities of that notification. Each Party shall immediately publish that information on a public website and shall ensure that its enforcement activities to take into account an exception granted by the other Party.
SECTION 3
WORKING TIME OF MOBILE WORKERS
Article 1
Scope
This Section shall also apply to self-employed drivers.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
"working time" means:
in the case of mobile workers: the time from the beginning to the end of work, during which the mobile worker is at his or her workstation, at the disposal of the employer and exercising his or her functions or activities, that is to say:
driving;
loading and unloading;
assisting passengers boarding and disembarking from the vehicle;
cleaning and technical maintenance; and
all other work intended to ensure the safety of the vehicle and its cargo or to fulfil the legal or regulatory obligations directly linked to the specific transport operation under way, including monitoring of loading and unloading, administrative formalities with police, customs, immigration officers etc.,
in the case of self-employed drivers, the same definition applies to the time from the beginning to the end of work, during which the self-employed driver is at his or her workstation, at the disposal of the client and exercising his or her functions or activities other than general administrative work that is not directly linked to the specific transport operation under way.
The break times referred to in Article 4, the rest times referred to in Article 5 and, without prejudice to the legislation of the Parties or agreements between the social partners providing that such periods should be compensated or limited, the periods of availability referred to in point (2) of this Article, shall be excluded from working time;
"periods of availability" means:
"workstation" means:
"mobile worker" means, for the purpose of this Section, any worker forming part of the travelling staff, including trainees and apprentices, who is in the service of an undertaking which operates transport services for passengers or goods by road on the territory of the other Party;
"self-employed driver" means anyone whose main occupation is to transport of goods by road for hire or reward, who is entitled to work for himself and who is not tied to an employer by an employment contract or by any other type of working hierarchical relationship, who is free to organise the relevant working activities, whose income depends directly on the profits made and who has the freedom to, individually or through a cooperation between self-employed drivers, have commercial relations with several customers.
For the purposes of this Section, those drivers who do not satisfy those criteria shall be subject to the same obligations and benefit from the same rights as those provided for mobile workers by this Section;
"person performing mobile road transport activities" means any mobile worker or self-employed driver who performs such activities;
"week" means the period between 00.00 hours on Monday and 24.00 hours on Sunday;
"night time" means a period of at least four hours, as defined by national law, between 00.00 hours and 07.00 hours; and
"night work" means any work performed during night time.
Article 3
Maximum weekly working time
Article 4
Breaks
Each Party shall take the measures necessary to ensure that, without prejudice to the provisions of Section 2 of Part B of this Annex, persons performing mobile road transport activities, in no circumstances work for more than six consecutive hours without a break. Working time shall be interrupted by a break of at least 30 minutes, if working hours total between six and nine hours, and of at least 45 minutes, if working hours total more than nine hours.
Breaks may be subdivided into periods of at least 15 minutes each.
Article 5
Rest periods
For the purposes of this Section, apprentices and trainees who are in the service of an undertaking which operates transport services for passengers or goods by road journeys on the territory of the other Party shall be covered by the same provisions on rest time as other mobile workers pursuant to Section 2 of Part B of this Annex.
Article 6
Night work
Each Party shall take the measures necessary to ensure that:
if night work is performed, the daily working time does not exceed ten hours in each 24 period, and
compensation for night work is given in accordance with national legislative measures, collective agreements, agreements between the two sides of industry and/or national practice, on condition that such compensation is not liable to endanger road safety.
Article 7
Derogations
Article 8
Information and records
Each Party shall ensure that:
mobile workers are informed of the relevant national requirements, the internal rules of the road haulage operator and agreements between the two sides of industry, in particular collective agreements and any company agreements, reached on the basis of this Section; and
the working time of persons performing mobile road transport activities is recorded. Records shall be kept for at least two years after the end of the period covered. Employers shall be responsible for recording the working time of mobile workers. Employers shall upon request provide mobile workers with copies of the records of hours worked.
Article 9
More favourable provisions
This Section shall not affect the right of each Party to apply or introduce laws, regulations or administrative provisions more favourable to the protection of the health and safety of persons performing mobile road transport activities, or their right to facilitate or permit the application of collective agreements or other agreements concluded between the two sides of industry which are more favourable to the protection of the health and safety of mobile workers. Those rules shall be applied in a non-discriminatory manner.
SECTION 4
USE OF TACHOGRAPHS BY DRIVERS
Article 1
Subject matter and principles
This Section lays down requirements for drivers falling within the scope of Section 2 of Part B regarding the use of tachographs referred to in point (b) of Article 465(1) of this Agreement.
Article 2
Definitions
In addition to the definitions referred to in paragraph 1, for the purposes of this Section the following definitions apply:
"tachograph" or "recording equipment" means the equipment intended for installation in road vehicles to display, record, print, store and output automatically or semi-automatically details of the movement, including the speed, of such vehicles and details of certain periods of activity of their drivers;
"record sheet" means a sheet designed to accept and retain recorded data, to be placed in an analogue tachograph, and on which the marking devices of the analogue tachograph continuously inscribe the information to be recorded;
"tachograph card" means a smart card, intended for use with the tachograph, which allows identification by the tachograph of the role of the cardholder and allows data transfer and storage;
"driver card" means a tachograph card, issued by the competent authorities in a Party to a particular driver, which identifies the driver and allows for the storage of driver activity data;
"analogue tachograph" means a tachograph complying with the specifications in Annex I to Regulation (EU) No 165/2014 of the European Parliament and of the Council ( 145 ), as adapted by Appendix 31-B-4-1;
"digital tachograph" means a tachograph complying with one of the following set of specifications, as adapted by Appendix 31-B-4-2:
"smart tachograph 1" means a tachograph complying with Annex IC to Commission Implementing Regulation (EU) 2016/799 ( 146 ) applicable from 15 June 2019, as adapted by Appendix 31-B-4-3;
"smart tachograph 2" means a tachograph complying with the following requirements:
"event" means an abnormal operation detected by the digital tachograph which may result from a fraud attempt;
"non-valid card" means a card detected as faulty, or whose initial authentication failed, or whose start of validity date is not yet reached, or whose expiry date has passed.
Article 3
Use of driver cards
Article 4
Issuing of driver cards
However, the normal residence of a person whose occupational ties are in a place different from their personal ties and who consequently lives in turn in different places situated in the two Parties shall be regarded as being the place of their personal ties, provided that such person returns there regularly. This last condition does not need to be complied with where the person is living in a Party in order to carry out a fixed-term assignment.
Article 5
Renewal of driver cards
Where a driver wishes to renew his or her driver card, the driver shall apply to the competent authorities in the Party of his or her normal residence not later than 15 working days before the expiry date of the card.
Article 6
Use of driver cards and record sheets
When, as a result of being away from the vehicle, a driver is unable to use the tachograph fitted to the vehicle, the periods of time referred to in points (b)(ii), (b)(iii) and (b)(iv) of paragraph 5 shall:
if the vehicle is fitted with an analogue tachograph, be entered on the record sheet, either manually, by automatic recording or other means, legibly and without dirtying the record sheet; or
if the vehicle is fitted with a digital, smart 1 or smart 2 tachograph, be entered onto the driver card using the manual entry facility provided for in the tachograph.
Each Party shall not impose on drivers a requirement to present forms attesting to their activities while away from the vehicle.
Where there is more than one driver on board a vehicle fitted with an analogue tachograph, the drivers shall amend the record sheets as necessary, so that the relevant information is recorded on the record sheet of the driver who is actually driving.
Drivers shall:
ensure that the time recorded on the record sheet corresponds to the official time in the country of registration of the vehicle;
operate the switch mechanisms enabling the following periods of time to be recorded separately and distinctly:
under the 
sign: driving time,
under 
the sign: "other work", which means any activity other than driving, as defined in point (a) of Article 2 of Section 3 of Part B, and also any work for the same or another employer within or outside of the transport sector,
under 
the sign: "availability", as defined in point (b) of Article 2 of Section 3 of Part B,
under 
the sign: breaks, rest, annual leave or sick leave, and
under the sign for "ferry/train": In addition to 
the sign: the rest period spent on a ferry or train as required in paragraph 12 of Article 6 of Section 2 of Part B.
Each driver of a vehicle fitted with an analogue tachograph shall enter the following information on his or her record sheet:
on beginning to use the record sheet — the driver's surname and first name;
the date and place where use of the record sheet begins and the date and place where such use ends;
the registration number of each vehicle to which the driver is assigned, both at the start of the first journey recorded on the record sheet and then, in the event of a change of vehicle, during use of the record sheet;
the odometer reading:
at the start of the first journey recorded on the record sheet,
at the end of the last journey recorded on the record sheet,
in the event of a change of vehicle during a working day, the reading on the first vehicle to which the driver was assigned and the reading on the next vehicle;
the time of any change of vehicle; and
the symbols of the countries in which the daily working period started and finished. The driver shall also enter the symbol of the country that the driver enters after crossing a border of an EU Member State and of the United Kingdom at the beginning of the driver's first stop in that Member State or the United Kingdom. That first stop shall be made at the nearest possible stopping place at or after the border. Where the crossing of the border takes place on a ferry or train, the driver shall enter the symbol of the country at the port or station of arrival.
From 2 February 2022, the driver shall also enter the symbol of the country that the driver enters after crossing a border of a Member State and of the United Kingdom at the beginning of the driver's first stop in that Member State or the United Kingdom. That first stop shall be made at the nearest possible stopping place at or after the border. Where the crossing of the border takes place on a ferry or train, the driver shall enter the symbol of the country at the port or station of arrival.
A Member State or the United Kingdom may require drivers of vehicles engaged in transport operations inside their territory to add more detailed geographic specifications to the country symbol, provided that each Party notifies in advance the other Party about those detailed geographic specifications.
It shall not be necessary for drivers to enter the information referred to in the first sentence of the first subparagraph if the tachograph is automatically recording that location data.
Article 7
Correct use of tachographs
Article 8
Stolen, lost or defective driver cards
Article 9
Damaged driver cards and record sheets
Where a driver card is damaged, malfunctions, or is lost or stolen, the driver shall:
at the start of his or her journey, print out the details of the vehicle that the driver is driving, and enter on that printout:
details that enable the driver to be identified (name, driver card or driving licence number), including the driver's signature; and
the periods referred to in points (b)(ii), (b)(iii) and (b)(iv) of Article 6(5);
at the end of the journey, print out the information relating to periods of time recorded by the tachograph, record any periods of other work, availability and rest taken since the printout made at the start of the journey, where not recorded by the tachograph, and mark on that document details enabling the driver to be identified (name, driver card or driving licence number), including the driver's signature.
Article 10
Records to be carried by the driver
Where a driver drives a vehicle fitted with an analogue tachograph, the driver shall be able to produce, whenever an authorised control officer so requests:
the record sheets for the current day and the preceding 28 days;
the driver card, if one is held; and
any manual records and printouts made during the current day and the previous 28 days.
Where the driver drives a vehicle fitted with a digital, a smart 1 or smart 2 tachograph, the driver shall be able to produce, whenever an authorised control officer so requests:
the driver's driver card;
any manual records and printouts made during the current day and the previous 28 days; and
the record sheets corresponding to the same period as that referred to in point (ii) during which the driver drove a vehicle fitted with an analogue tachograph.
From 31 December 2024, the period of 28 days referred to in points (i) and (iii) of paragraph 1 and in point (ii) of paragraph 2 shall be replaced by 56 days.
Article 11
Procedures for drivers in the event of malfunctioning equipment
While the tachograph is unserviceable or malfunctioning, the driver shall mark data enabling him to be identified (name, driver card or driving licence number), including a signature, as well as the information for the various periods of time which are no longer recorded or printed out correctly by the tachograph:
on the record sheet or sheets; or
on a temporary sheet to be attached to the record sheet or to be kept together with the driver card.
Article 12
Enforcement measures
The competent authorities in each Party shall organise the checks so that:
during each calendar year, a minimum of 3 % of the days worked by the drivers of vehicles falling within the scope of Section 2 of Part B applies shall be checked; and
at least 30 % of the total number of working days checked shall be checked at the roadside and at least 50 % at the premises of undertakings.
The elements of roadside checks shall include:
daily and weekly driving periods, interruptions and daily and weekly rest periods;
the record sheets of the preceding days, which shall be on board the vehicle, and/or the data stored for the same period on the driver card and/or in the memory of the tachograph and/or on the printouts, when required; and
the correct functioning of the tachograph.
Those checks shall be carried out without discrimination among vehicles, undertakings and drivers whether resident or not, and regardless of the origin or destination of the journey or type of tachograph.
The elements of checks on the premises of undertakings shall include, in addition to the elements subject to roadside checks:
weekly rest periods and driving periods between those rest periods;
fortnightly driving limits;
compensation for reduced weekly rest periods in accordance with Article 6(6) and (7) of Section 2 of Part B; and
use of record sheets and/or vehicle unit and driver card data and printouts and/or the organisation of drivers' working time.
Appendix 31-B-4-1
ADAPTATIONS TO THE TECHNICAL SPECIFICATIONS OF THE ANALOGUE TACHOGRAPH
Annex I to Regulation (EU) No 165/2014 is adapted for the purpose of this Section as follows:
In Section III (Construction requirements for recording equipment), in paragraph 4.1 of subsection (c) (Recording instruments), for "points (ii), (iii) and (iv) of Article 34(5)(b) of this Regulation" substitute "points (ii), (iii) and (iv) of point (b) of Article 6(5) of Section 4 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part."
In Section III (Construction requirements for recording equipment), in paragraph 4.2 of subsection (c) (Recording instruments), for "Article 34 of this Regulation" substitute "Article 6(5) of Section 4 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part."
In Section IV (Record sheets), in the third subparagraph of paragraph 1 of subsection (a) (General points), for "Article 34 of this Regulation" substitute "Article 6(6) of Section 4 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part.
In Section V (Installation of recording equipment), in the first subparagraph of paragraph 5, for "this Regulation" substitute "Section 4 of Part B and Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
In Section V (Installation of recording equipment), in the third subparagraph of paragraph 5, for "Part A of Annex II to Directive 2007/46/EC of the European Parliament and of the Council" substitute "the Consolidated Resolution on the Construction of Vehicles (R.E.3)" and for "this Regulation" substitute "Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
In Section VI (Checks and inspections), in the text before paragraph 1, after "Member States" insert "and the United Kingdom".
In Section VI (Checks and inspections), in the second subparagraph of paragraph 1 (Certification of new or repaired instruments), after "Member States" insert "and the United Kingdom", and for "this Regulation" substitute "Section 4 of Part B and Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
In Section VI (Checks and inspections), in subparagraph (b) of paragraph 3 (Periodic inspections), after "Member State" insert "and the United Kingdom".
Appendix 31-B-4-2
ADAPTATIONS TO THE TECHNICAL SPECIFICATIONS OF THE DIGITAL TACHOGRAPH
Annex IB to Regulation (EEC) No 3821/85, including the appendixes introduced by Council Regulation (EC) No 2135/98 ( 148 ), is adapted for the purpose of this Section as follows:
In the case of the United Kingdom, the references to "Member State" are replaced by "Party", except for the references in subsection IV (Construction and functional requirements for tachograph cards), paragraph 174 and subsection VII (Card issuing), paragraph 268a;
For "Council Regulation (EEC) No 3820/85" and "Regulation (EC) No 561/2006" substitute "Section 2 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part";
Section I (Definitions) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
Point (u) is replaced by the following:
'effective circumference of the wheels' means the average of the distances travelled by each of the wheels moving the vehicle (driving wheels) in the course of one complete rotation. The measurement of those distances shall be made under standard test conditions as defined under requirement 414 and is expressed in the form 'l = … mm'. Vehicle manufacturers may replace the measurement of those distances by a theoretical calculation which takes into account the distribution of the weight on the axles, vehicle unladen in normal running order, namely with coolant fluid, lubricants, fuel, tools, spare-wheel and driver. The methods for such theoretical calculation are subject to approval by the competent authority in a Party and can take place only before tachograph activation;"
In point (bb), the reference to "Council Directive 92/6/EEC" is replaced by "the applicable law of each Party".
Point (ii) is replaced by the following:
"'security certification' means: process to certify, by a Common Criteria certification body, that the recording equipment (or component) or the tachograph card under investigation fulfils the security requirements defined in Appendix 10 (Generic security targets);"
In point (mm), the reference to "Directive 92/23/EEC" is replaced by "UNECE Regulation No 54".
In point (nn), footnote 17 is replaced by the following:
"'Vehicle Identification Number' means a fixed combination of characters assigned to each vehicle by the manufacturer, which consists of two sections: the first, composed of not more than six characters (letters or figures), identifying the general characteristics of the vehicle, in particular the type and model; the second, composed of eight characters of which the first four may be letters or figures and the other four figures only, providing, in conjunction with the first section, clear identification of a particular vehicle."
In point (rr), the first indent is replaced by the following:
installed and used only in M1 and N1 type vehicles as defined in the Consolidated Resolution on the Construction of Vehicles (R.E.3)",
Section II (General characteristics and functions of the recording equipment) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In paragraph 004, the last subparagraph is deleted.
Section III (Construction and functional requirements for recording equipment) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In paragraph 065, the reference to "Directive 2007/46/EC" is replaced by "the Consolidated Resolution on the Construction of Vehicles (R.E.3)."
In paragraph 162, the reference to "Commission Directive 95/54/EC of 31 October 1995 adapting to technical progress Council Directive 72/245/EEC" is replaced by "UNECE Regulation No 10".
Section IV (Construction and functional requirements for tachograph cards) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In paragraph 174, the reference to "UK: The United Kingdom" is replaced by "For the United Kingdom, the distinguishing sign shall be the UK."
In paragraph 185, the reference to "Community territory" is replaced by "the territory of the Union and of the United Kingdom".
In paragraph 188, the reference to "Commission Directive 95/54/EC of 31 October 1995" is replaced by "UNECE Regulation No 10".
In paragraph 189, the last subparagraph is deleted.
Section V (Installation of recording equipment) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In paragraph 250a, the reference to "Regulation (EC) No 68/2009" is replaced by "Appendix 12 of this Annex."
Section VI (Checks, inspections and repairs) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
The introductory sentence is replaced by the following:
"Requirements on the circumstances in which seals may be removed, as referred to in Article 5(5) of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, are defined in Chapter V(3) of this Annex"
Under subsection 1 (Approval of fitters or workshops), the reference to "Article 12(1) of this Regulation" is replaced by "Articles 5(1) and 8 of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Section VII (Card issuing) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In paragraph 268a, after "Member States", wherever it occurs, insert "and the United Kingdom".
Section VIII (Type approval of recording equipment and tachograph cards) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In paragraph 271, omit "in accordance with Article 5 of this Regulation".
Appendix 1 (Data dictionary) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In point 2.111, the reference to "Directive 92/23 (EEC) 31.3.1992, OJ L 129, p. 95" is replaced by "UNECE Regulation No 54".
Appendix 9 (Type approval List of minimum required tests) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In subpoint 5.1 of Section 2 (Vehicle unit functional tests), the reference to "Directive 95/54/EC" is replaced by "UNECE Regulation No 10".
In subpoint 5.1 of Section 3 (Motion sensor functional tests), the reference to "Directive 95/54/EC" is replaced by "UNECE Regulation No 10".
Appendix 12 (Adaptor for M1 and N1 category vehicles) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
In Section 4 (Construction and functional requirements for the adaptor) in paragraph 4.5 (performance characteristics) in ADA_023, for "Commission Directive 2006/28/EC adapting to technical progress Council Directive 72/245/EEC" substitute "UNECE Regulation No 10".
In point 5.1 of the table under subsection 7.2 (Functional certificate), for "Directive 2006/28/EC" substitute "UNECE Regulation No 10".
Appendix 31-B-4-3
ADAPTATIONS TO THE TECHNICAL SPECIFICATIONS OF THE SMART TACHOGRAPH
Commission Implementing Regulation (EU) 2016/799, including its annexes and appendixes, is adapted for the purpose of this Section as follows:
In the case of the United Kingdom, the references to "Member State" are replaced by "Party", except for the references in point (229) of subsection 4.1 and in point (424) of Section 7;
For "Regulation (EEC) No 3820/85" and "Regulation (EC) No 561/2006" substitute "Section 2 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part";
For "Regulation (EU) No 165/2014" substitute "Section 4 of Part B and Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, except for the references in point (402) of subsection 5.3 and in point (424) of Section 7";
For "Directive (EU) 2015/719" and for "Council Directive 96/53/EC" substitute "Section 1 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Section 1 (Definitions) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
Point (u) is replaced by the following:
'effective circumference of the wheels' means:
the average of the distances travelled by each of the wheels moving the vehicle (driving wheels) in the course of one complete rotation. The measurement of those distances shall be made under standard test conditions as defined under requirement 414 and is expressed in the form 'l = … mm'. Vehicle manufacturers may replace the measurement of those distances by a theoretical calculation which takes into account the distribution of the weight on the axles, vehicle unladen in normal running order, namely with coolant fluid, lubricants, fuel, tools, spare-wheel and driver. The methods for such theoretical calculation are subject to approval by the competent authority in a Party and can take place only before tachograph activation;";
In point (hh), the reference to "Council Directive 92/6/EEC" is replaced by "the applicable law of each Party";
In point (uu), the reference to "Directive 92/23/EEC" is replaced by "UNECE Regulation No 54";
In point (vv), footnote 9 is replaced by the following:
"'Vehicle Identification Number' means a fixed combination of characters assigned to each vehicle by the manufacturer, which consists of two sections: the first, composed of not more than six characters (letters or figures), identifying the general characteristics of the vehicle, in particular the type and model; the second, composed of eight characters of which the first four may be letters or figures and the other four figures only, providing, in conjunction with the first section, clear identification of a particular vehicle.";
In point (yy), the first indent is replaced by the following:
installed and used only in M1 and N1 type vehicles as defined in the Consolidated Resolution on the Construction of Vehicles (R.E.3);";
Point (aaa) is deleted;
In point (ccc), the first paragraph is replaced by "15 June 2019".
Section 2 (General characteristics and functions of the recording equipment) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
The last subparagraph of paragraph (7) of subsection 2.1 is deleted.
Section 3 (Construction and functional requirements for recording equipment) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
In point (200) of subsection 3.20, the second sentence of the third subparagraph is deleted.
Point (201) of subsection 3.20 is replaced by the following:
"The vehicle unit may also be able to output the following data using an appropriate dedicated serial link independent from an optional CAN bus connection (ISO 11898 Road vehicles — Interchange of digital information — Controller Area Network (CAN) for high speed communication), to allow their processing by other electronic units installed in the vehicle:
Other data may also be output in addition to that minimum list.
When the ignition of the vehicle is ON, those data shall be permanently broadcast. When the ignition of the vehicle is OFF, at least any change of driver or co-driver activity and/or any insertion or withdrawal of a tachograph card shall generate a corresponding data output. In the event that data output has been withheld whilst the ignition of the vehicle is OFF, that data shall be made available once the ignition of the vehicle is ON again.
The driver consent shall be required in case personal data are transmitted."
Section 4 (Construction and functional requirements for tachograph cards) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
In Point (229) of the subsection 4.1, the following subparagraph is added:
"For the United Kingdom, the distinguishing sign shall be the UK.";
In point (237), for "Article 26.4 of Regulation (EU) No. 165/2014" substitute "Article 9(2) of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part";
In point (241) of subsection 4.4 of Chapter 4 of this Annex, the word "Community territory" is replaced by "the territory of the Union and of the United Kingdom";
Point (246) in subsection 4.5 is deleted.
Section 5 (Installation of recording equipment) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
The first paragraph of point (397) in subsection 5.2 is replaced by the following:
For M1 and N1 vehicles only, and which are fitted with an adaptor in conformity with Appendix 16 of this Annex and where it is not possible to include all the information necessary, as described in Requirement 396, a second, additional, plaque may be used. In such cases, this additional plaque shall contain at least the last four indents described in Requirement 396.";
In point (402) of subsection 5.3, for "Article 22(3) of Regulation (EU) No 165/2014" substitute "Article 5(3) of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part.".
Section 6 (Checks, inspections and repairs) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
The introductory sentence is replaced by the following:
"Requirements on the circumstances in which seals may be removed are defined in Chapter 5.3 of this Annex.";
Section 7 (Card issuing) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
In point (424), after the reference to "Member States" insert "and the United Kingdom", and for the reference to "Article 31 of Regulation (EU) No 165/2014" substitute "Article 13 of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Appendix 1 (Data dictionary) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
In point 2.163, for "Directive 92/23/EEC" substitute "UNECE Regulation No 54".
Appendix 11 (Common security mechanisms) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
In point 9.1.4 (Equipment Level: Vehicle Units), in the first note below CSM_78, for "Regulation (EU) No 581/2010" substitute "Article 7(5) of Section 2 of Part B Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
In point 9.1.5 (Equipment level: Tachograph Cards), in the note below CSM_89, for "Regulation (EU) No 581/2010" substitute "Article 7(5) of Section 2 of Part B Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Appendix 12 (Positioning based on Global Navigation Satellite System (GNSS)) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
The second subparagraph of Section 1 (Introduction) is deleted.
In Section 2 (Specification of the GNSS receiver), the reference to "compatibility with the services provided by the Galileo and European Geostationary Navigation Overlay Service (EGNOS) programmes as set out in Regulation (EU) No 1285/2013 of the European Parliament and of the Council", is replaced by "compatibility with Satellite Based Augmentation Systems (SBAS)".
Appendix 16 (Adaptor for M1 and N1 category vehicles) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
In point 5.1 in the table under Section (7) (Type approval of recording equipment when an adaptor is used), the reference to "Directive 2006/28/EC" is replaced by "UNECE Regulation No 10".
PART C
REQUIREMENTS FOR VEHICLES USED FOR THE TRANSPORT OF GOODS IN ACCORDANCE WITH ARTICLE 466 OF THIS AGREEMENT
SECTION 1
WEIGHTS AND DIMENSIONS
Article 1
Subject matter and principles
The maximum weights and dimensions of the vehicles that may be used for journeys referred to in Article 462 of this Agreement are those set out in Appendix 31-C-1-1.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
"motor vehicle" means any power-driven vehicle which travels on the road by its own means;
"trailer" means any vehicle intended to be coupled to a motor vehicle excluding semitrailers, and constructed and equipped for the carriage of goods;
"semi-trailer" means any vehicle intended to be coupled to a motor vehicle in such a way that part of it rests on the motor vehicle with a substantial part of its weight and of the weight of its load being borne by the motor vehicle, and constructed and equipped for the carriage of goods;
"vehicle combination" means either:
"conditioned vehicle" means any vehicle whose fixed or movable superstructures are specially equipped for the carriage of goods at controlled temperatures and whose side walls, inclusive of insulation, are each at least 45 mm thick;
"maximum authorised dimensions" means the maximum dimensions for use of a vehicle;
"maximum authorised weight" means the maximum weight for use of a laden vehicle;
"maximum authorised axle weight" means the maximum weight for use of a laden axle or group of axles;
"tonne" means the weight executed by the mass of a tonne and shall correspond to 9.8 kilonewtons (kN);
"indivisible load" means a load that cannot, for the purpose of carriage by road, be divided into two or more loads without undue expense or risk of damage and which owing to its dimensions or mass cannot be carried by a motor vehicle, trailer, road train or articulated vehicle complying with this Section in all respects;
"alternative fuels" means fuels or power sources which serve, at least partly, as a substitute for fossil oil sources in the energy supply to transport and which have the potential to contribute to its decarbonisation and enhance the environmental performance of the transport sector, consisting of:
electricity consumed in all types of electric vehicles;
hydrogen;
natural gas, including biomethane, in gaseous form (Compressed Natural Gas — CNG) and liquefied form (Liquefied Natural Gas — LNG);
Liquefied Petroleum Gas (LPG);
mechanical energy from on-board storage/on-board sources, including waste heat,
"alternatively fuelled vehicle" means a motor vehicle powered wholly or in part by an alternative fuel;
"zero-emission vehicle" means a heavy goods vehicle without an internal combustion engine, or with an internal combustion engine that emits less than 1 g CO2/kWh; and
"intermodal transport operation" means the transport of one or more containers or swap bodies, with a length of no more than 45 feet, where the lorry, trailer, semi-trailer (with or without tractor unit), swap body or container uses the road on the initial and/or final leg of the journey and, on the other leg, rail or inland waterway or maritime services.
Article 3
Special permits
A vehicle or vehicle combination which exceeds the maximum weights or dimensions set out in Appendix 31-C-1-1 may only be allowed to circulate on the basis of a special permit issued without discrimination by the competent authorities, or on the basis of similar non-discriminatory arrangements agreed on a case-by-case basis with those authorities, where these vehicles or vehicle combinations carry or are intended to carry indivisible loads.
Article 4
Local restrictions
This Section shall not preclude the non-discriminatory application of road traffic provisions in force in each Party which permit the weight and/or dimensions of vehicles on certain roads or civil engineering structures to be limited.
This includes the possibility to impose local restrictions on maximum authorised dimensions and/or weights of vehicles that may be used in specified areas or on specified roads, where the infrastructure is not suitable for long and heavy vehicles, such as city centres, small villages or places of special natural interest.
Article 5
Aerodynamic devices attached to the rear of vehicles or vehicle combinations
The aerodynamic devices referred to in paragraph 1 shall fulfil the following operational conditions:
in circumstances where the safety of other road users or of the driver is at risk, they shall be folded, retracted or removed by the driver;
when aerodynamic devices and equipment exceed 500 mm in length in the in-use position they shall be retractable or foldable;
their use on urban and inter urban road infrastructures shall take into account the special characteristics of areas where the speed limit is less than or equal to 50 km/h and where vulnerable road users are more likely to be present; and
when retracted/folded, they shall not exceed the maximum authorised length by more than 20 cm.
Article 6
Aerodynamic cabins
Vehicles or vehicle combinations may exceed the maximum lengths laid down in point 1.1 of Appendix 31-C-1-1 provided that their cabs deliver improved aerodynamic performance, energy efficiency and safety performance. Vehicles or vehicle combinations equipped with such cabs shall comply with point 1.5 of Appendix 31-C-1-1 and any exceeding of the maximum lengths shall not result in an increase in the load capacity of those vehicles.
Article 7
Intermodal transport operations
Article 8
Proof of compliance
As proof of compliance with this Section, vehicles covered by it shall carry one of the following proofs:
a combination of the following two plates:
name of the manufacturer;
vehicle identification number;
length of the motor vehicle, trailer or semi-trailer (L);
width of the motor vehicle, trailer or semi-trailer (W); and
data for the measurement of the length of vehicle combinations:
a single plate containing the information on the two plates referred to in point (a); or
a single document issued by the competent authorities of a Party or, in the case of the Union, the Member State where the vehicle is registered or put into circulation containing the same information as the plates referred to in point (a). It shall be kept in a place easily accessible to inspection and shall be adequately protected.
Article 9
Enforcement
Appendix 31-C-1-1
MAXIMUM WEIGHTS AND DIMENSIONS AND RELATED CHARACTERISTICS OF VEHICLES
1. Maximum authorised dimensions for vehicles (in metre; "m")
1.1 Maximum length:
|
— motor vehicle |
12.00 m |
|
— trailer |
12.00 m |
|
— articulated vehicle |
16.50 m |
|
— road train |
18.75 m |
1.2 Maximum width:
|
(a) |
all vehicles except the vehicles referred to in point (b) |
2.55 m |
|
(b) |
superstructures of conditioned vehicles or conditioned containers or swap bodies transported by vehicles |
2.60 m |
1.3 Maximum height (any vehicle) 4.00 m
1.4 Removable superstructures and standardised freight items such as containers are included in the dimensions specified in points 1.1, 1.2, 1.3, 1.6, 1.7, 1.8 and 4.4
1.5 Any motor vehicle or vehicle combination which is in motion must be able to turn within a swept circle having an outer radius of 12.50 m and an inner radius of 5.30 m
1.6 Maximum distance between the axis of the fifth-wheel king pin and the rear of a semi-trailer 12.00 m
1.7 Maximum distance measured parallel to the longitudinal axis of the road train from the foremost external point of the loading area behind the cabin to the rearmost external point of the trailer of the combination, minus the distance between the rear of the drawing vehicle and the front of the trailer 15.65 m
1.8 Maximum distance measured parallel to the longitudinal axis of the road train from the foremost external point of the loading area behind the cabin to the rearmost external point of the trailer of the combination 16.40 m
2. Maximum authorised vehicle weight (in tonnes)
2.1 Vehicles forming part of a vehicle combination
|
2.1.1 |
Two-axle trailer |
18 tonnes |
|
2.1.2 |
Three-axle trailer |
24 tonnes |
2.2 Vehicle combinations
In the case of vehicle combinations including alternatively fuelled or zero-emission vehicles, the maximum authorised weights provided for in this Section are increased by the additional weight of the alternative fuel or zero-emission technology with a maximum of 1 tonne and 2 tonnes respectively.
2.2.1 Road trains with five or six axles
|
(a) |
two-axle motor vehicle with three-axle trailer |
40 tonnes |
|
(b) |
three-axle motor vehicle with two or three-axle trailer |
40 tonnes |
2.2.2 Articulated vehicles with five or six axles
|
(a) |
two-axle motor vehicle with three-axle semi-trailer |
40 tonnes |
|
(b) |
three-axle motor vehicle with two or three-axle semi-trailer |
40 tonnes |
2.2.3 Road trains with four axles consisting of a two-axle motor vehicle and a two-axle trailer 36 tonnes
2.2.4 Articulated vehicles with four axles consisting of a two-axle motor vehicle and a two-axle semi-trailer, if the distance between the axles of the semi-trailer:
|
— is 1.3 m or greater but not more than 1.8 m |
36 tonnes |
|
— is greater than 1.8 m |
36 tonnes |
|
(+ 2 tonnes margin when the maximum authorised weight (MAW) of the motor vehicle (18 tonnes) and the MAW of the tandem axle of the semi-trailer (20 tonnes) are respected and the driving axle is fitted with twin tyres and air suspension or equivalent suspension) |
|
2.3 Motor vehicles
In the case of alternatively fuelled motor vehicles or zero-emission vehicles, the maximum authorised weights provided for in subsections 2.3.1 and 2.3.2 are increased by the additional weight of the alternative fuel or zero-emission technology with a maximum of 1 tonne and 2 tonnes respectively.
2.3.1 Two-axle motor vehicles 18 tonnes
2.3.2 Three-axle motor vehicles 25 tonnes (26 tonnes where the driving axle is fitted with twin tyres and air suspension or equivalent suspension, or where each driving axle is fitted with twin tyres and the maximum weight of each axle does not exceed 9.5 tonnes)
2.3.3 Four-axle motor vehicles with two steering axles 32 tonnes where the driving axle is fitted with twin tyres and air suspension or equivalent suspension, or where each driving axle is fitted with twin tyres and the maximum weight of each axle does not exceed 9.5 tonnes
3. Maximum authorised axle weight of the vehicles (in tonnes)
3.1 Single axles
Single non-driving axle 10 tonnes
3.2 Tandem axles of trailers and semi-trailers
The sum of the axle weights per tandem axle must not exceed, if the distance (d) between the axles is:
|
— less than 1 m (d < 1.0) |
11 tonnes |
|
— between 1.0 m and less than 1.3 m (1.0 ≤ d < 1.3) |
16 tonnes |
|
— between 1.3 m and less than 1.8 m (1.3 ≤ d < 1.8) |
18 tonnes |
|
— 1.8 m or more (1.8 ≤ d) |
20 tonnes |
3.3 Tri-axles of trailers and semi-trailers
The sum of the axle weights per tri-axle must not exceed, if the distance (d) between the axles is:
|
1.3 m or less (d ≤ 1.3) |
21 tonnes |
|
over 1.3 m and up to 1.4 m (1.3 <d ≤ 1.4) |
24 tonnes |
3.4 Driving axle
Driving axle of the vehicles referred to in points 2.2 and 2.3 11.5 tonnes
3.5 Tandem axles of motor vehicles
The sum of the axle weights per tandem axle must not exceed, if the distance (d) between the axles is:
|
— less than 1 m (d < 1.0) |
11.5 tonnes |
|
— 1.0 m or greater but less than 1.3 m (1.0 ≤ d < 1.3) |
16 tonnes |
|
— 1.3 m or greater but less than 1.8 m (1.3 ≤ d < 1.8) |
18 tonnes (19 tonnes where the driving axle is fitted with twin tyres and air suspension or equivalent suspension, or where each driving axle is fitted with twin tyres and where the maximum weight for each axle does not exceed 9.5 tonnes) |
4. Other characteristics of the vehicles
4.1 All vehicles
The weight borne by the driving axle or driving axles of a vehicle or vehicle combination must not be less than 25 % of the total laden weight of the vehicle or vehicle combination.
4.2 Road trains
The distance between the rear axle of a motor vehicle and the front axle of a trailer must not be less than 3.00 m.
4.3 Maximum authorised weight depending on the wheelbase
The maximum authorised weight in tonnes of a four-axle motor vehicle may not exceed five times the distance in metres between the axes of the foremost and rearmost axles of the vehicle.
4.4 Semi-trailers
The distance measured horizontally between the axis of the fifth-wheel king pin and any point at the front of the semi-trailer must not exceed 2.04 m.
SECTION 2
REQUIREMENTS FOR TACHOGRAPHS, DRIVERS' CARDS AND WORKSHOP CARDS
Article 1
Subject-matter and principles
This Section lays down the requirements for vehicles within the scope of Section 2 of Part B of this Annex regarding the installation, testing, and control of tachographs, as referred to in Article 466(2) of this Agreement.
Article 2
Definitions
In addition to the definitions referred to in paragraph 1, for the purposes of this Section the following definitions apply:
"vehicle unit" means the tachograph excluding the motion sensor and the cables connecting the motion sensor. The vehicle unit may be a single unit or several units distributed in the vehicle, provided that it complies with the security requirements of this Section; the vehicle unit includes, among other things, a processing unit, a data memory, a time measurement function, two smart card interface devices for driver and co-driver, a printer, a display, connectors and facilities for entering the user's inputs;
"motion sensor" means a part of the tachograph providing a signal representative of vehicle speed and/or distance travelled;
"control card" means a tachograph card issued by the authorities of a Party to a national competent control authority which identifies the control body and, optionally, the control officer, and which allows access to the data stored in the data memory or in the driver cards and, optionally, in the workshop cards for reading, printing and/or downloading;
"workshop card" means a tachograph card issued by the authorities of a Party to designated staff of a tachograph manufacturer, a fitter, a vehicle manufacturer or a workshop, approved by that Party, which identifies the cardholder and allows for the testing, calibration and activation of tachographs, and/or downloading from them;
"activation" means the phase in which the tachograph becomes fully operational and implements all functions, including security functions, through the use of a workshop card;
"calibration" means, with regard to the digital tachograph, updating or confirming vehicle parameters, including vehicle identification and vehicle characteristics, to be held in the data memory through the use of a workshop card;
"downloading" from a digital or smart tachograph means the copying, together with the digital signature, of a part, or of a complete set, of data files recorded in the data memory of the vehicle unit or in the memory of a tachograph card, provided that this process does not alter or delete any stored data;
"fault" means an abnormal operation detected by the digital tachograph which may result from an equipment malfunction or failure;
"installation" means the mounting of a tachograph in a vehicle;
"periodic inspection" means a set of operations performed to check that the tachograph works properly, that its settings correspond to the vehicle parameters, and that no manipulation devices are attached to the tachograph;
"repair" means any repair of a motion sensor or of a vehicle unit that requires the disconnection of its power supply, or its disconnection from other tachograph components, or the opening of the motion sensor or vehicle unit;
"interoperability" means the capacity of systems and the underlying business processes to exchange data and to share information;
"interface" means a facility between systems which provides the media through which they can connect and interact;
"time measurement" means a permanent digital record of the coordinated universal date and time (UTC); and
"TACHOnet messaging system" means the messaging system complying with the technical specifications laid down in Annexes I to VII of Commission Implementing Regulation (EU) 2016/68 ( 149 ).
Article 3
Installation
Tachographs as referred to in paragraph 2 shall be installed in vehicles:
where the maximum permissible mass of the vehicle, including any trailer, or semitrailer, exceeds 3.5 tonnes; or
from 1 July 2026, where the maximum permissible mass of the vehicle, including any trailer, or semi-trailer, exceeds 2.5 tonnes.
The tachographs are:
for vehicles put into service for the first time before 1 May 2006, an analogue tachograph;
for vehicles put into service for the first time between 1 May 2006 and 30 September 2011, the first version of the digital tachograph;
for vehicles put into service for the first time between 1 October 2011 and 30 September 2012, the second version of the digital tachograph;
for vehicles put into service for the first time between 1 October 2012 and 14 June 2019, the third version of the digital tachograph;
for vehicles registered for the first time from 15 June 2019 and until 2 years after the entry into force of the detailed specifications referred to in Article 2(2)(g) of Section 4 of Part B, a smart tachograph 1; and
for vehicles registered for the first time more than 2 years after the entry into force of the detailed specifications referred to in Article 2(2)(h) of Section 4 of Part B, a smart tachograph 2.
Article 4
Data protection
Each Party shall, in particular, ensure that personal data are protected against uses other than the one strictly referred to in paragraph 1 in relation to:
the use of a global navigation satellite system (GNSS) for the recording of location data as referred to in the technical specification for smart tachograph 1 and smart tachograph 2;
the electronic exchange of information on driver cards as referred to in Article 13, and in particular any cross-border exchanges of such data with third Parties; and
the keeping of records by road haulage operators as referred to in Article 15.
Article 5
Installation and repair
A seal shall be removed or broken only:
The removed or broken seals shall be replaced by an approved fitter or a workshop without undue delay and at the latest within seven days of their removal or breaking. When the seals have been removed or broken for control purposes, they may be replaced by a control officer equipped with sealing equipment and a unique special mark without undue delay.
When a control officer removes a seal, the control card shall be inserted in the tachograph from the moment of the removal of the seal until the inspection is finished, including in the case of the placement of a new seal. The control officer shall issue a written statement containing at least the following information:
Before replacing the seals, a check and calibration of the tachograph shall be performed by an approved workshop, except where a seal has been removed or broken for control purposes and replaced by a control officer.
Article 6
Inspections of tachographs
The inspections referred to in paragraph 1 shall check at least the following:
Article 7
Approval of fitters, workshops and vehicle manufacturers
Each Party or, in the case of the Union, each Member State shall ensure that fitters, workshops and vehicle manufacturers are competent and reliable. For that purpose, they shall establish and publish a set of clear national procedures and shall ensure that the following minimum criteria are met:
the staff are properly trained;
the equipment necessary to carry out the relevant tests and tasks is available; and
the fitters, workshops and vehicle manufacturers are of good repute.
Audits of approved fitters or workshops shall be carried out as follows:
approved fitters or workshops shall be subject, at least every two years, to an audit of the procedures they apply when handling tachographs. The audit shall focus in particular on the security measures taken and the handling of workshop cards. Parties or, in the case of the Union, Member States may carry out these audits without conducting a site visit; and
unannounced technical audits of approved fitters or workshops shall also take place in order to check the calibrations, inspections and installations carried out. Those audits shall cover at least 10 % of the approved fitters and workshops annually.
Article 8
Workshop cards
Article 9
Issuing of driver cards
For the purposes of this Article, "normal residence" means the place where a person usually lives, that is for at least 185 days in each calendar year, because of personal and occupational ties, or, in the case of a person with no occupational ties, because of personal ties which show close links between that person and the place where he is living.
However, the normal residence of a person whose occupational ties are in a place different from their personal ties and who consequently lives in turn in different places situated in the two Parties shall be regarded as being the place of their personal ties, provided that such person returns there regularly. This last condition need not be complied with where the person is living in a Party in order to carry out a fixed-term assignment.
Article 10
Renewal of driver cards
Article 11
Stolen, lost or defective driver cards
Article 12
Mutual acceptance of driver cards
Article 13
Electronic exchange of information on driver cards
In order to ensure that an applicant does not already hold a valid driver card, Parties or, in the case of the Union, Member States shall maintain national electronic registers containing the following information on driver cards for a period at least equivalent to the period of validity of those cards:
Article 14
Settings of tachographs
Article 15
Responsibility of road haulage operators
Road haulage operators shall issue a sufficient number of record sheets to drivers of vehicles fitted with analogue tachographs, taking into account the fact that record sheets are personal in character, the length of the period of service and the possible need to replace record sheets which are damaged or have been taken by an authorised control officer. Road haulage operators shall issue to drivers only record sheets of an approved model suitable for use in the equipment installed in the vehicle.
The road haulage operator shall ensure that, taking into account the length of the period of service, the printing of data from the tachograph at the request of a control officer can be carried out correctly in the event of an inspection.
Article 16
Procedures for road haulage operators in the event of malfunctioning equipment
Article 17
Procedure for the issuing of tachograph cards
The European Commission shall provide to the competent authorities of the United Kingdom the cryptographic material for the issuing of tachograph cards for drivers, workshops and control authorities, in accordance with the European Root Certification Authority (ERCA) certificate policy and the certificate policy of the United Kingdom.
ANNEX 32
MODEL OF AUTHORISATION FOR AN INTERNATIONAL REGULAR AND SPECIAL REGULAR SERVICE
(First page of authorisation)
(Orange paper – DIN A4)
(To be worded in the official language(s) or one of the official languages of the Party where the request is made)
Authorisation
In accordance with Title II of Heading Three of Part Two of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part,
ISSUING STATE: …
Authorising authority: …
Issuing State distinguishing sign: … ( 150 )
AUTHORISATION No.: … for a regular service □ ( 2 ) for a special regular service □ ( 151 )
by coach and bus between the Parties to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part,
To: …
…
Last name, first name or trade name of the operator or of the managing operator in the case of a group of undertakings or in the case of a partnership:
Address:
…
…
Telephone and fax or e-mail:
…
…
(Second page of authorisation)
Name, address, telephone and fax or e-mails of the operator, or, in the case of groups of operators or partnerships, the names of all operators of the group or of the partnership; in addition, names of any subcontractors, to be identified as such:
…
…
…
…
…
List attached, if appropriate
Validity of the authorisation: From: … To: …
Place and date of issue: …
Signature and stamp of the issuing authority or agency: …
Route: …
…
Place of departure of service: …
…
Place of destination of service: …
…
Principal itinerary, with passenger pick-up and set-down points underlined: …
…
Timetable: …
(attached to this authorisation)
Special regular service:
Category of passengers: …
…
Other conditions or special points …
…
…
Stamp of authority issuing the authorisation
Important notice:
(1) This authorisation is valid for the entire journey.
(2) The authorisation or a true copy certified by the issuing authorising authority shall be kept on the vehicle for the duration of the journey and shall be presented to enforcement officials on request.
(3) The departure or destination shall take place in the territory of the Party where the operator is established and the coaches and buses registered.
(Third page of authorisation)
GENERAL CONSIDERATIONS
(1) The road passenger transport operator shall begin the transport service within the period indicated in the decision of the authorising authority granting the authorisation.
(2) Except in the event of force majeure, the operator of an international regular or special regular service shall take all measures to guarantee a transport service that complies with the conditions as stipulated in the authorisation.
(3) The operator shall make the information about the route, the stopping points, the timetable, the fares and the conditions of transport publicly available.
(4) Without prejudice to documents pertaining to the vehicle and driver (such as the vehicle registration certificate and driving licence), the following documents shall serve as control documents required under Article 477 of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part and shall be kept in the vehicle and presented at the request of any authorised inspecting officer:
(Fourth page of authorisation)
GENERAL CONSIDERATIONS (cont.)
(5) Operators operating an international regular service, with the exclusion of special regular service, shall issue transport tickets confirming the rights of the passenger to be transported and serving as a control document evidencing of the conclusion of the contract of carriage between the passenger and the transport operator, either individual or collective. The tickets that can also be electronic shall indicate:
the name of the operator;
the points of departure and destination and, if applicable, the return journey;
the period of validity of the ticket and, if applicable, the date and time of departure;
the price of transport.
The transport ticket shall be presented, by the passenger, at the request of any authorised inspection officer.
(6) Operators operating international regular or special regular passenger transport services shall allow all inspections intended to ensure that operations are being conducted correctly, in particular as regards driving and rest periods and road safety and emissions.
ANNEX 33
MODEL OF APPLICATION FOR AN AUTHORISATION FOR AN INTERNATIONAL REGULAR AND SPECIAL REGULAR SERVICE
(White paper – DIN A4)
(To be worded in the official language(s) or one of the official languages of the Party where the request is made)
APPLICATION FORM FOR AN AUTHORISATION OR RENEWAL OF AN AUTHORISATION TO CARRY OUT AN INTERNATIONAL REGULAR SERVICE OR AN INTERNATIONAL SPECIAL REGULAR SERVICE ( 152 )
To start a regular service□
To start a special regular service□
To renew authorisation for a service□
To alter the conditions of authorisation for a service□
carried out by coach and bus between Parties in accordance with the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part,
…
(Authorising authority)
1. Name and first name or trade name of the applicant operator; in the case of an application by a group of operators or by a partnership, the name of the operator entrusted by the other operators for the purposes of submitting the application:
…
…
2. Services to be carried out(1)
By an operator□ by a group of operators□ by a partnership□ by a subcontractor□
3. Names and addresses of the operator or, in the case of a group of operators or of a partnership, the names of all operators of the group or of the partnership; in addition, any subcontractors shall be identified by their names ( 153 )
3.1 …. tel. …
3.2 …. tel. …
3.3 …. tel. …
3.4 …. tel. …
(Second page of the application for authorisation or renewal of authorisation)
4 In the case of a special regular service:
4.1 Category of passengers: ( 154 ) workers□ school pupils/students□ other□
5 Duration of authorisation requested or date on which the service ends:
…
6 Principal route of service (underline passenger pick-up and set-down points, with full addresses): ( 155 )
…
…
…
7 Period of operation:
…
…
…
8 Frequency (daily, weekly, etc.):
…
9 Fares … Annex attached.
10 Enclose a driving schedule to permit verification of compliance with the international rules on driving times and rest time periods.
11 Number of authorisations or of certified true copies of authorisations requested: ( 156 )
…
12 Any additional information:
…
(Place and date) (Signature of applicant)
…
The attention of the applicant is drawn to the fact that, since the authorisation or its certified true copy has to be kept on board the vehicle, the number of authorisations or certified true copies, issued by the authorising authority, which the applicant must have should correspond to the number of vehicles needed for carrying out the service requested at the same time.
Important notice
In particular the following must be attached to the application:
the timetable including the time slots for controls at relevant border crossings;
a certified true copy of the operator's (or operators') licence(s) for the international carriage of passengers by road provided for according to national or Union legislation;
a map on an appropriate scale on which are marked the route and the stopping points at which passengers are to be taken up or set down;
a driving schedule to permit verification of compliance with the international rules on driving times and rest periods;
any appropriate information concerning coach and bus terminals.
ANNEX 34
MODEL OF JOURNEY FORM FOR OCCASIONAL SERVICES
JOURNEY FORM No … of Book No …
(colour Pantone 358 (light green), or as close as possible to this colour, format DIN A4 uncoated paper)
OCCASIONAL SERVICES WITH CABOTAGE AND OCCASIONAL SERVICES WITH TRANSIT
(Each item, if necessary, can be supplemented on a separate sheet)
|
1 |
Registration number of the coach |
… Place, date and signature of the carrier |
|||||
|
2 |
|
1. … 2. … 3. … |
|||||
|
Carrier and, where appropriate, subcontractor or group of carriers |
|||||||
|
3 |
|
1. … 2. … 3. … |
|||||
|
Name of driver(s) |
|||||||
|
4 |
Organisation of person responsible for the occasional service |
1. … 2. … 3. … 4. …. |
|||||
|
5 |
Type of service |
□ Occasional service with cabotage □ Occasional service with transit |
|||||
|
6 |
Place of departure of service: … Country: … Place of destination of service: … Country: … |
||||||
|
7 |
Journey |
Route/Daily stages and/or passenger pick-up or set-down points |
Number of passengers |
Empty (mark with an X ) |
Planned km |
||
|
Dates |
From |
To |
|||||
|
|
|
|
|
|
|
||
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||
|
|
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||
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|
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||
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|
||
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|
|
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|
||
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|
|
|
||
|
|
|
|
|
|
|
||
|
8 |
Connection points, if any, with another carrier in the same group |
Number of passengers set down |
Final destination of the passengers set down |
Carrier picking up the passengers |
|||
|
|
|
|
|
||||
|
|
|
|
|
||||
|
9 |
Unforeseen changes |
||||||
|
… … |
|||||||
ANNEX 35
|
# |
Code |
Common Name |
ICES Areas |
Shares |
|||||||||||
|
2021 |
2022 |
2023 |
2024 |
2025 |
2026 onwards |
||||||||||
|
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
||||
|
1 |
ALF/3X14- |
Alfonsinos (3,4,5,6,7,8,9, 10,12,14) |
UK, Union and international waters of 3, 4, 5, 6, 7, 8, 9, 10, 12 and 14 |
96.95 |
3.05 |
96.95 |
3.05 |
96.95 |
3.05 |
96.95 |
3.05 |
96.95 |
3.05 |
96.95 |
3.05 |
|
2 |
ANF/07. |
Anglerfish (7) |
7 |
78.78 |
21.22 |
78.24 |
21.76 |
77.70 |
22.30 |
77.05 |
22.95 |
76.62 |
23.38 |
76.62 |
23.38 |
|
3 |
ANF/2AC4-C |
Anglerfish (North Sea) |
UK and Union waters 4; UK waters of 2a |
13.74 |
86.26 |
12.92 |
87.08 |
12.11 |
87.89 |
11.13 |
88.87 |
10.48 |
89.52 |
10.48 |
89.52 |
|
4 |
ANF/56-14 |
Anglerfish (West of Scotland) |
6; UK and international waters of 5b; international waters of 12 and 14 |
60.99 |
39.01 |
59.62 |
40.38 |
58.25 |
41.75 |
56.60 |
43.40 |
55.50 |
44.50 |
55.50 |
44.50 |
|
5 |
ARU/1/2. |
Greater Silver Smelt (1,2) |
UK and international waters of 1 and 2 |
56.90 |
43.10 |
56.90 |
43.10 |
56.90 |
43.10 |
56.90 |
43.10 |
56.90 |
43.10 |
56.90 |
43.10 |
|
6 |
ARU/3A4-C |
Greater Silver Smelt (North Sea) |
UK and Union waters of 4; Union waters of 3a |
98.40 |
1.60 |
98.40 |
1.60 |
98.40 |
1.60 |
98.40 |
1.60 |
98.40 |
1.60 |
98.40 |
1.60 |
|
7 |
ARU/567. |
Greater Silver Smelt (Western) |
6 and 7; UK and international waters of 5 |
94.41 |
5.59 |
94.41 |
5.59 |
94.41 |
5.59 |
94.41 |
5.59 |
94.41 |
5.59 |
94.41 |
5.59 |
|
8 |
BLI/12INT- |
Blue Ling (International 12) |
International waters of 12 |
99.14 |
0.86 |
99.14 |
0.86 |
99.14 |
0.86 |
99.14 |
0.86 |
99.14 |
0.86 |
99.14 |
0.86 |
|
9 |
BLI/24- |
Blue Ling (North Sea) |
UK and international waters of 2; UK and Union waters of 4 |
73.19 |
26.81 |
73.19 |
26.81 |
73.19 |
26.81 |
73.19 |
26.81 |
73.19 |
26.81 |
73.19 |
26.81 |
|
10 |
BLI/5B67- |
Blue Ling (Western) |
6 and 7; UK and international waters of 5 |
77.31 |
22.69 |
76.73 |
23.27 |
76.16 |
23.84 |
75.46 |
24.54 |
75.00 |
25.00 |
75.00 |
25.00 |
|
11 |
BOR/678- |
Boarfish (Western) |
6, 7 and 8 |
93.65 |
6.36 |
93.65 |
6.36 |
93.65 |
6.36 |
93.65 |
6.36 |
93.65 |
6.36 |
93.65 |
6.36 |
|
12 |
BSF/56712- |
Black Scabbardfish (Western) |
6 and 7; UK and international waters of 5; international waters of 12 |
94.31 |
5.69 |
94.31 |
5.69 |
94.31 |
5.69 |
94.31 |
5.69 |
94.31 |
5.69 |
94.31 |
5.69 |
|
13 |
COD/07A. |
Cod (Irish Sea) |
7a |
56.05 |
43.95 |
55.84 |
44.16 |
55.63 |
44.37 |
55.37 |
44.63 |
55.20 |
44.80 |
55.20 |
44.80 |
|
14 |
COD/07D. |
Cod (Eastern Channel) |
7d |
90.75 |
9.25 |
90.75 |
9.25 |
90.75 |
9.25 |
90.75 |
9.25 |
90.75 |
9.25 |
90.75 |
9.25 |
|
15 |
COD/5BE6A |
Cod (West of Scotland) |
6a; UK and international waters of 5b east of 12°00' W |
30.23 |
69.77 |
27.37 |
72.63 |
24.51 |
75.49 |
21.08 |
78.92 |
18.79 |
81.21 |
18.79 |
81.21 |
|
16 |
COD/5W6-14 |
Cod (Rockall) |
6b; UK and international waters of 5b west of 12°00' W and of 12 and 14 |
33.95 |
66.05 |
31.71 |
68.29 |
29.47 |
70.53 |
26.78 |
73.22 |
24.99 |
75.01 |
24.99 |
75.01 |
|
17 |
COD/7XAD34 |
Cod (Celtic Sea) |
7b, 7c, 7e-k, 8, 9 and 10; Union waters of CECAF 34.1.1 |
90.70 |
9.30 |
90.47 |
9.53 |
90.23 |
9.77 |
89.95 |
10.05 |
89.76 |
10.24 |
89.76 |
10.24 |
|
18 |
DGS/15X14 |
Spurdog (Western) |
6, 7 and 8; UK and international waters of 5; international waters of 1, 12 and 14 |
57.53 |
42.47 |
56.61 |
43.39 |
55.69 |
44.31 |
54.58 |
45.42 |
53.84 |
46.16 |
53.84 |
46.16 |
|
19 |
DWS/56789- |
Deep-sea Sharks (Western) |
6, 7, 8 and 9; UK and international waters of 5 |
100.00 |
0.00 |
100.00 |
0.00 |
100.00 |
0.00 |
100.00 |
0.00 |
100.00 |
0.00 |
100.00 |
0.00 |
|
20 |
HAD/07A. |
Haddock (Irish Sea) |
7a |
47.24 |
52.76 |
46.42 |
53.58 |
45.61 |
54.39 |
44.63 |
55.37 |
43.98 |
56.02 |
43.98 |
56.02 |
|
21 |
HAD/5BC6A. |
Haddock (West of Scotland) |
6a; UK and international waters of 5b |
19.39 |
80.61 |
19.39 |
80.61 |
19.39 |
80.61 |
19.39 |
80.61 |
19.39 |
80.61 |
19.39 |
80.61 |
|
22 |
HAD/6B1214 |
Haddock (Rockall) |
UK, Union and international waters of 6b; international waters 12 and 14 |
16.76 |
83.24 |
16.32 |
83.68 |
15.88 |
84.12 |
15.35 |
84.65 |
15.00 |
85.00 |
15.00 |
85.00 |
|
23 |
HAD/7X7A34 |
Haddock (Celtic Sea) |
7b-k, 8, 9 and 10; Union waters of CECAF 34.1.1 |
84.00 |
16.00 |
83.00 |
17.00 |
82.00 |
18.00 |
80.80 |
19.20 |
80.00 |
20.00 |
80.00 |
20.00 |
|
24 |
HER/07A/MM |
Herring (Irish Sea) |
7a north of 52°30’N |
11.01 |
88.99 |
8.50 |
91.50 |
6.00 |
94.00 |
2.99 |
97.01 |
0.99 |
99.01 |
0.99 |
99.01 |
|
25 |
HER/5B6ANB |
Herring (West of Scotland) |
6b and 6aN; UK and international waters 5b |
35.95 |
64.05 |
35.34 |
64.66 |
34.74 |
65.26 |
34.01 |
65.99 |
33.53 |
66.47 |
33.53 |
66.47 |
|
26 |
HER/7EF. |
Herring (Western Channel and Bristol Channel) |
7e and 7f |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
50.00 |
|
27 |
HER/7G-K. |
Herring (Celtic Sea) |
7a south of 52°30’N, 7g, 7h, 7j and 7k |
99.88 |
0.12 |
99.88 |
0.12 |
99.88 |
0.12 |
99.88 |
0.12 |
99.88 |
0.12 |
99.88 |
0.12 |
|
28 |
HKE/2AC4-C |
Hake (North Sea) |
UK and Union waters 4; UK waters of 2a |
60.67 |
39.33 |
57.11 |
42.89 |
53.56 |
46.44 |
49.29 |
50.71 |
46.45 |
53.55 |
46.45 |
53.55 |
|
29 |
HKE/571214 |
Hake (Western) |
6 and 7; UK and international waters of 5b; international waters of 12 and 14 |
80.33 |
19.67 |
80.05 |
19.95 |
79.77 |
20.23 |
79.43 |
20.57 |
79.20 |
20.80 |
79.20 |
20.80 |
|
30 |
JAX/2A-14 |
Horse Mackerel (Western) |
UK and Union waters of 4a; 6, 7a-c, e-k; 8a-b, d-e; UK and international waters of 2a and 5b; international waters of 12 and 14 |
90.61 |
9.39 |
90.61 |
9.39 |
90.61 |
9.39 |
90.61 |
9.39 |
90.61 |
9.39 |
90.61 |
9.39 |
|
31 |
JAX/4BC7D |
Horse Mackerel (Southern North Sea and Eastern Channel) |
UK and Union waters of 4b, 4c and 7d |
71.46 |
28.54 |
68.60 |
31.40 |
65.73 |
34.27 |
62.29 |
37.71 |
60.00 |
40.00 |
60.00 |
40.00 |
|
32 |
L/W/2AC4-C |
Lemon Sole and Witch (North Sea)* |
UK and Union waters of 4; UK waters of 2a |
35.97 |
64.03 |
35.48 |
64.52 |
34.98 |
65.02 |
34.39 |
65.61 |
34.00 |
66.00 |
34.00 |
66.00 |
|
33 |
LEZ/07. |
Megrims (7) |
7 |
81.37 |
18.63 |
80.65 |
19.35 |
79.93 |
20.07 |
79.07 |
20.93 |
78.50 |
21.50 |
78.50 |
21.50 |
|
34 |
LEZ/2AC4-C |
Megrims (North Sea) |
UK and Union waters 4; UK waters of 2a |
3.74 |
96.26 |
3.74 |
96.26 |
3.74 |
96.26 |
3.74 |
96.26 |
3.74 |
96.26 |
3.74 |
96.26 |
|
35 |
LEZ/56-14 |
Megrims (West of Scotland) |
6; UK and international waters of 5b; international waters of 12 and 14 |
60.84 |
39.16 |
59.55 |
40.45 |
58.25 |
41.75 |
56.69 |
43.31 |
55.65 |
44.35 |
55.65 |
44.35 |
|
36 |
LIN/03A-C. |
Ling (3a) |
Union waters of 3a |
92.65 |
7.35 |
92.65 |
7.35 |
92.65 |
7.35 |
92.65 |
7.35 |
92.65 |
7.35 |
92.65 |
7.35 |
|
37 |
LIN/04-C. |
Ling (North Sea) |
UK and Union waters of 4 |
21.22 |
78.78 |
20.92 |
79.08 |
20.61 |
79.39 |
20.24 |
79.76 |
20.00 |
80.00 |
20.00 |
80.00 |
|
38 |
LIN/6X14. |
Ling (Western) |
6, 7, 8, 9 and 10; international waters of 12 and 14 |
63.67 |
36.33 |
63.25 |
36.75 |
62.83 |
37.17 |
62.33 |
37.67 |
62.00 |
38.00 |
62.00 |
38.00 |
|
39 |
NEP/*07U16 |
Nephrops (Porcupine Bank) |
Functional Unit 16 of ICES Subarea 7 |
85.32 |
14.68 |
85.32 |
14.68 |
85.32 |
14.68 |
85.32 |
14.68 |
85.32 |
14.68 |
85.32 |
14.68 |
|
40 |
NEP/07. |
Nephrops (7) |
7 |
61.68 |
38.32 |
60.76 |
39.24 |
59.84 |
40.16 |
58.74 |
41.26 |
58.00 |
42.00 |
58.00 |
42.00 |
|
41 |
NEP/2AC4-C |
Nephrops (North Sea) |
UK and Union waters 4; UK waters of 2a |
13.38 |
86.62 |
13.38 |
86.62 |
13.38 |
86.62 |
13.38 |
86.62 |
13.38 |
86.62 |
13.38 |
86.62 |
|
42 |
NOP/2A3A4. |
Norway Pout (North Sea) |
3a; UK and Union waters and 4; UK waters of 2a |
85.00 |
15.00 |
82.50 |
17.50 |
80.00 |
20.00 |
77.00 |
23.00 |
75.00 |
25.00 |
75.00 |
25.00 |
|
43 |
PLE/07A. |
Plaice (Irish Sea) |
7a |
48.89 |
51.11 |
48.89 |
51.11 |
48.89 |
51.11 |
48.89 |
51.11 |
48.89 |
51.11 |
48.89 |
51.11 |
|
44 |
PLE/56-14 |
Plaice (West of Scotland) |
6; UK and international waters of 5b; international waters of 12 and 14 |
39.23 |
60.77 |
39.23 |
60.77 |
39.23 |
60.77 |
39.23 |
60.77 |
39.23 |
60.77 |
39.23 |
60.77 |
|
45 |
PLE/7DE. |
Plaice (English Channel)* |
7d and 7e |
70.36 |
29.64 |
70.27 |
29.73 |
70.18 |
29.82 |
70.07 |
29.93 |
70.00 |
30.00 |
70.00 |
30.00 |
|
46 |
PLE/7FG. |
Plaice (7fg) |
7f and 7g |
74.86 |
25.14 |
74.58 |
25.42 |
74.30 |
25.70 |
73.96 |
26.04 |
73.74 |
26.26 |
73.74 |
26.26 |
|
47 |
PLE/7HJK. |
Plaice (7hjk) |
7h, 7j and 7k |
84.25 |
15.75 |
83.71 |
16.29 |
83.17 |
16.83 |
82.52 |
17.48 |
82.09 |
17.91 |
82.09 |
17.91 |
|
48 |
POK/56-14 |
Saithe (West of Scotland) |
6; UK and international waters of 5b, 12 and 14 |
62.32 |
37.68 |
58.99 |
41.01 |
55.66 |
44.34 |
51.66 |
48.34 |
49.00 |
51.00 |
49.00 |
51.00 |
|
49 |
POK/7/3411 |
Saithe (Celtic Sea) |
7, 8, 9 and 10; Union waters of CECAF 34.1.1 |
84.86 |
15.14 |
84.90 |
15.10 |
84.93 |
15.07 |
84.97 |
15.03 |
85.00 |
15.00 |
85.00 |
15.00 |
|
50 |
POL/07. |
Pollack (7) |
7 |
78.03 |
21.97 |
77.27 |
22.73 |
76.51 |
23.49 |
75.61 |
24.39 |
75.00 |
25.00 |
75.00 |
25.00 |
|
51 |
POL/56-14 |
Pollack (West of Scotland) |
6; UK and international waters of 5b; international waters of 12 and 14 |
63.38 |
36.62 |
63.38 |
36.62 |
63.38 |
36.62 |
63.38 |
36.62 |
63.38 |
36.62 |
63.38 |
36.62 |
|
52 |
PRA/2AC4-C |
Northern Prawn (North Sea) |
UK and Union waters 4; UK waters of 2a |
77.99 |
22.01 |
77.99 |
22.01 |
77.99 |
22.01 |
77.99 |
22.01 |
77.99 |
22.01 |
77.99 |
22.01 |
|
53 |
RJE/7FG. |
Small-eyed Ray (7fg) |
7f and 7g |
56.36 |
43.64 |
53.39 |
46.61 |
50.42 |
49.58 |
46.86 |
53.14 |
44.49 |
55.51 |
44.49 |
55.51 |
|
54 |
RJU/7DE. |
Undulate Ray (English Channel) |
7d and 7e |
69.12 |
30.88 |
68.09 |
31.91 |
67.06 |
32.94 |
65.82 |
34.18 |
65.00 |
35.00 |
65.00 |
35.00 |
|
55 |
RNG/5B67- |
Roundnose Grenadier (Western) |
6 and 7; UK and international waters of 5b |
95.16 |
4.84 |
95.16 |
4.84 |
95.16 |
4.84 |
95.16 |
4.84 |
95.16 |
4.84 |
95.16 |
4.84 |
|
56 |
RNG/8X14- |
Roundnose Grenadier (8,9,10,12,14) |
8, 9 and 10; international waters of 12 and 14 |
99.71 |
0.29 |
99.71 |
0.29 |
99.71 |
0.29 |
99.71 |
0.29 |
99.71 |
0.29 |
99.71 |
0.29 |
|
57 |
SAN/2A3A4. |
Sandeels (North Sea, All Banks) |
UK and Union waters of 4; UK waters of 2a; Union waters of 3a |
97.26 |
2.74 |
97.14 |
2.86 |
97.03 |
2.97 |
96.89 |
3.11 |
96.80 |
3.20 |
96.80 |
3.20 |
|
58 |
SBR/678- |
Red Seabream (Western) |
6, 7 and 8 |
90.00 |
10.00 |
90.00 |
10.00 |
90.00 |
10.00 |
90.00 |
10.00 |
90.00 |
10.00 |
90.00 |
10.00 |
|
59 |
SOL/07A. |
Sole (Irish Sea) |
7a |
77.15 |
22.86 |
77.03 |
22.97 |
76.92 |
23.08 |
76.79 |
23.21 |
76.70 |
23.30 |
76.70 |
23.30 |
|
60 |
SOL/07D. |
Sole (Eastern Channel) |
7d |
80.31 |
19.69 |
80.23 |
19.77 |
80.15 |
19.85 |
80.06 |
19.94 |
80.00 |
20.00 |
80.00 |
20.00 |
|
61 |
SOL/07E. |
Sole (Western Channel) |
7e |
38.97 |
61.03 |
38.60 |
61.40 |
38.24 |
61.76 |
37.79 |
62.21 |
37.50 |
62.50 |
37.50 |
62.50 |
|
62 |
SOL/24-C. |
Sole (North Sea) |
UK and Union waters 4; UK waters of 2a |
88.09 |
11.91 |
86.81 |
13.19 |
85.54 |
14.46 |
84.02 |
15.98 |
83.00 |
17.00 |
83.00 |
17.00 |
|
63 |
SOL/56-14 |
Sole (West of Scotland) |
6; UK and international waters of 5b; international waters of 12 and 14 |
80.00 |
20.00 |
80.00 |
20.00 |
80.00 |
20.00 |
80.00 |
20.00 |
80.00 |
20.00 |
80.00 |
20.00 |
|
64 |
SOL/7FG. |
Sole (7fg) |
7f and 7g |
69.35 |
30.65 |
68.93 |
31.07 |
68.51 |
31.49 |
68.01 |
31.99 |
67.67 |
32.33 |
67.67 |
32.33 |
|
65 |
SOL/7HJK. |
Sole (7hjk) |
7h, 7j and 7k |
83.33 |
16.67 |
83.33 |
16.67 |
83.33 |
16.67 |
83.33 |
16.67 |
83.33 |
16.67 |
83.33 |
16.67 |
|
66 |
SPR/2AC4-C |
Sprat (North Sea) |
UK and Union waters 4; UK waters of 2a |
96.18 |
3.82 |
96.18 |
3.82 |
96.18 |
3.82 |
96.18 |
3.82 |
96.18 |
3.82 |
96.18 |
3.82 |
|
67 |
SPR/7DE. |
Sprat (English Channel) |
7d and 7e |
28.60 |
71.40 |
25.45 |
74.55 |
22.30 |
77.70 |
18.52 |
81.48 |
16.00 |
84.00 |
16.00 |
84.00 |
|
68 |
SRX/07D. |
Skates and Rays (Eastern Channel) |
7d |
84.51 |
15.49 |
84.44 |
15.56 |
84.36 |
15.64 |
84.27 |
15.73 |
84.21 |
15.79 |
84.21 |
15.79 |
|
69 |
SRX/2AC4-C |
Skates and Rays (North Sea) |
UK and Union waters 4; UK waters of 2a |
32.73 |
67.27 |
32.29 |
67.71 |
31.86 |
68.14 |
31.35 |
68.65 |
31.00 |
69.00 |
31.00 |
69.00 |
|
70 |
SRX/67AKXD |
Skates and Rays (Western) |
UK and Union waters of 6a, 6b, 7a-c and 7e-k |
71.06 |
28.94 |
70.54 |
29.46 |
70.02 |
29.98 |
69.40 |
30.60 |
68.99 |
31.01 |
68.99 |
31.01 |
|
71 |
T/B/2AC4-C |
Turbot and Brill (North Sea)* |
UK and Union waters of 4; UK waters of 2a |
81.82 |
18.18 |
81.37 |
18.63 |
80.91 |
19.09 |
80.36 |
19.64 |
80.00 |
20.00 |
80.00 |
20.00 |
|
72 |
USK/04-C. |
Tusk (North Sea) |
UK and Union waters of 4 |
59.46 |
40.54 |
59.46 |
40.54 |
59.46 |
40.54 |
59.46 |
40.54 |
59.46 |
40.54 |
59.46 |
40.54 |
|
73 |
USK/567EI. |
Tusk (Western) |
6 and 7; UK and international waters of 5 |
70.73 |
29.27 |
70.55 |
29.45 |
70.37 |
29.63 |
70.15 |
29.85 |
70.00 |
30.00 |
70.00 |
30.00 |
|
74 |
WHG/07A. |
Whiting (Irish Sea) |
7a |
42.27 |
57.73 |
41.45 |
58.55 |
40.63 |
59.37 |
39.65 |
60.35 |
39.00 |
61.00 |
39.00 |
61.00 |
|
75 |
WHG/56-14 |
Whiting (West of Scotland) |
6; UK and international waters of 5b; international waters of 12 and 14 |
37.53 |
62.47 |
36.67 |
63.33 |
35.81 |
64.19 |
34.78 |
65.22 |
34.09 |
65.91 |
34.09 |
65.91 |
|
76 |
WHG/7X7A-C |
Whiting (Celtic Sea)* |
7b, 7c, 7d, 7e, 7f, 7g, 7h, 7j and 7k |
88.95 |
11.05 |
88.89 |
11.11 |
88.84 |
11.16 |
88.77 |
11.23 |
88.73 |
11.27 |
88.73 |
11.27 |
ANNEX 36
A. UK-EU-NO trilateral stocks
|
# |
Code |
Common Name |
ICES Areas |
Shares |
|||||||||||
|
2021 |
2022 |
2023 |
2024 |
2025 |
2026 onwards |
||||||||||
|
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
||||
|
77 |
COD/2A3AX4 |
Cod (North Sea) |
4; UK waters of 2a; that part of 3a not covered by the Skagerrak and Kattegat |
47.03 |
52.97 |
46.02 |
53.98 |
45.02 |
54.99 |
43.81 |
56.19 |
43.00 |
57.00 |
43.00 |
57.00 |
|
78 |
HAD/2AC4. |
Haddock (North Sea) |
4; UK waters of 2a |
18.45 |
81.55 |
17.80 |
82.20 |
17.14 |
82.86 |
16.35 |
83.65 |
15.83 |
84.17 |
15.83 |
84.17 |
|
79 |
HER/2A47DX |
Herring (North Sea bycatch) |
4 and 7d; UK waters of 2a |
98.18 |
1.82 |
98.18 |
1.82 |
98.18 |
1.82 |
98.18 |
1.82 |
98.18 |
1.82 |
98.18 |
1.82 |
|
80 |
HER/4AB. |
Herring (North Sea) |
UK, Union and Norwegian waters of 4 north of 53° 30' N |
71.33 |
28.67 |
70.42 |
29.58 |
69.50 |
30.50 |
68.41 |
31.59 |
67.68 |
32.32 |
67.68 |
32.32 |
|
81 |
HER/4CXB7D |
Herring (Southern North Sea and Eastern Channel) |
4c, 7d excluding Blackwater |
88.76 |
11.24 |
88.48 |
11.52 |
88.21 |
11.79 |
87.87 |
12.13 |
87.65 |
12.35 |
87.65 |
12.35 |
|
82 |
PLE/2A3AX4 |
Plaice (North Sea) |
4; UK waters of 2a; that part of 3a not covered by the Skagerrak and the Kattegat |
71.54 |
28.46 |
71.54 |
28.46 |
71.54 |
28.46 |
71.54 |
28.46 |
71.54 |
28.46 |
71.54 |
28.46 |
|
83 |
POK/2C3A4 |
Saithe (North Sea) |
3a and 4; UK waters of 2a |
77.71 |
22.29 |
76.78 |
23.22 |
75.85 |
24.15 |
74.74 |
25.26 |
74.00 |
26.00 |
74.00 |
26.00 |
|
84 |
WHG/2AC4. |
Whiting (North Sea) |
4; UK waters of 2a |
34.78 |
65.22 |
32.71 |
67.29 |
30.63 |
69.37 |
28.13 |
71.87 |
26.47 |
73.53 |
26.47 |
73.53 |
B. Coastal States Stocks
|
# |
Code |
Common Name |
ICES Areas |
Shares |
|||||||||||
|
2021 |
2022 |
2023 |
2024 |
2025 |
2026 onwards |
||||||||||
|
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
EU |
UK |
||||
|
85 |
MAC/2A34. |
Mackerel (North Sea) |
3a and 4; UK waters of 2a; Union waters of 3b, 3c and Subdivisions 22-32 |
93.91 |
6.09 |
93.78 |
6.22 |
93.65 |
6.35 |
93.50 |
6.50 |
93.40 |
6.60 |
93.40 |
6.60 |
|
86 |
MAC/2CX14- |
Mackerel (Western) |
6, 7, 8a, 8b, 8d and 8e; UK and international waters of 5b; international waters of 2a, 12 and 14 |
35.15 |
64.85 |
34.06 |
65.94 |
32.98 |
67.02 |
31.67 |
68.33 |
30.80 |
69.20 |
30.80 |
69.20 |
|
87 |
WHB/1X14 |
Blue Whiting (Northern) |
UK, Union and international waters of 1, 2, 3, 4, 5, 6, 7, 8a, 8b, 8d, 8e, 12 and 14 |
79.47 |
20.53 |
79.35 |
20.65 |
79.24 |
20.76 |
79.09 |
20.91 |
79.00 |
21.00 |
79.00 |
21.00 |
C. ICCAT Stocks
|
# |
Code |
Common Name |
Area |
Shares |
|
|
EU |
UK |
||||
|
88 |
ALB/AN05N |
Albacore (North Atlantic) |
Atlantic Ocean, north of 5° N |
98.48 |
1.52 |
|
89 |
BFT/AE45WM |
Bluefin Tuna (Northeast Atlantic) |
Atlantic Ocean, east of 45° W, and Mediterranean |
99.75 |
0.25 |
|
90 |
BSH/AN05N |
Blue Shark (North Atlantic) |
Atlantic Ocean, north of 5° N |
99.90 |
0.10 |
|
91 |
SWO/AN05N |
Swordfish (North Atlantic) |
Atlantic Ocean, North of 5° N |
99.99 |
0.01 |
D. NAFO Stocks
|
# |
Code |
Common Name |
Area |
Shares |
|
|
EU |
UK |
||||
|
92 |
COD/N3M. |
Cod (NAFO 3M) |
NAFO 3M |
83.66 |
16.34 |
E. Special Cases
|
# |
Code |
Common Name |
ICES Areas |
Shares |
|
|
EU |
UK |
||||
|
93 |
COD/1/2B. |
Cod (Svalbard) |
1 and 2b |
75.00 |
25.00 |
F. Stocks that are only present in one Party's waters
|
# |
Code |
Common Name |
ICES Areas |
Shares |
|
|
EU |
UK |
||||
|
|
|
|
|
|
|
|
94 |
GHL/2A C46 |
Greenland Halibut (North Sea and West of Scotland) |
6; UK and Union waters of 4; UK waters of 2a; UK and international waters of 5b |
27.35 |
72.65 |
|
95 |
HER/06ACL. |
Herring (Clyde) |
6 Clyde |
0.00 |
100.00 |
|
96 |
HER/1/2- |
Herring (ASH) |
UK, Faroese, Norwegian and international waters of 1 and 2 |
70.00 |
30.00 |
|
97 |
LIN/05EI. |
Ling (5) |
UK and international waters of 5 |
81.48 |
18.52 |
|
98 |
LIN/1/2. |
Ling (1,2) |
UK and international waters of 1 and 2 |
77.78 |
22.22 |
|
99 |
NEP/5BC6. |
Nephrops (West of Scotland) |
6; UK and international waters of 5b |
2.36 |
97.64 |
|
100 |
RED/51214D |
Redfish [Deep Pelagic] (5,12,14) |
UK and international waters of 5; international waters of 12 and 14 |
98.00 |
2.00 |
|
101 |
RED/51214S |
Redfish [Shallow Pelagic] (5,12,14) |
UK and international waters of 5; international waters of 12 and 14 |
98.00 |
2.00 |
|
102 |
SBR/10- |
Red Seabream (Azores) |
Union and international waters of 10 |
99.12 |
0.88 |
|
103 |
SRX/89-C. |
Skates and Rays (8,9) |
UK and Union waters of 8; Union waters of 9 |
99.78 |
0.22 |
|
104 |
USK/1214EI |
Tusk (1,2,14) |
UK and international waters of 1, 2 and 14 |
71.43 |
28.57 |
ANNEX 37
|
# |
Stock Code |
Common Name |
ICES Areas |
|
105 |
ANF/8ABDE. |
Anglerfish (8) |
8a, 8b, 8d and 8e |
|
106 |
BLI/03A- |
Blue Ling (3a) |
Union waters of 3a |
|
107 |
BSF/8910- |
Black Scabbardfish (8,9,10) |
8, 9 and 10 |
|
108 |
COD/03AN. |
Cod (Skagerrak) |
Skagerrak |
|
109 |
HAD/03A. |
Haddock (3a) |
3a |
|
110 |
HER/03A. |
Herring (3a) |
3a |
|
111 |
HER/03A-BC |
Herring (3a bycatch) |
3a |
|
112 |
HER/6AS7BC |
Herring (West of Ireland) |
6aS, 7b and 7c |
|
113 |
HKE/03A. |
Hake (3a) |
3a |
|
114 |
HKE/8ABDE. |
Hake (8) |
8a, 8b, 8d and 8e |
|
115 |
JAX/08C. |
Horse Mackerel (8c) |
8c |
|
116 |
LEZ/8ABDE. |
Megrims (8) |
8a, 8b, 8d and 8e |
|
117 |
MAC/2A4A-N |
Mackerel (Denmark allocation in Norwegian waters) |
Norwegian waters of 2a and 4a |
|
118 |
MAC/8C3411 |
Mackerel (Southern Component) |
8c, 9 and 10; Union waters of CECAF 34.1.1 |
|
119 |
PLE/03AN. |
Plaice (Skagerrak) |
Skagerrak |
|
120 |
SPR/03A. |
Sprat (3a) |
3a |
|
121 |
SRX/03A-C. |
Skates and Rays (3a) |
Union waters of 3a |
|
122 |
USK/03A. |
Tusk (3a) |
3a |
|
123 |
WHB/8C3411 |
Blue Whiting (Southern Component) |
8c, 9 and 10; Union waters of CECAF 34.1.1 |
ANNEX 38
PROTOCOL ON ACCESS TO WATERS
The United Kingdom and the Union
AFFIRMING the sovereign rights and obligations of independent coastal States exercised by the Parties;
EMPHASISING that the right of each Party to grant vessels of the other Party access to fish in its waters is ordinarily to be exercised in annual consultations following the determination of TACs for a given year in annual consultations;
NOTING the social and economic benefits of a further period of stability, during which fishers would be permitted until 30 June 2026 to continue to access the waters of the other Party as before the entry into force of this Agreement;
HAVE AGREED as follows:
Article 1
An adjustment period is hereby established. The adjustment period shall last from 1 January 2021 until 30 June 2026.
Article 2
By way of derogation from Article 500(1), (3), (4), (5), (6) and (7) of this Agreement, during the adjustment period each Party shall grant to vessels of the other Party full access to its waters to fish:
stocks listed in Annex 35 and in tables A, B and F of Annex 36 at a level that is reasonably commensurate with the Parties’ respective shares of the fishing opportunities;
non quota stocks at a level that equates to the average tonnage fished by that Party in the waters of the other Party during the period 2012-2016;
for qualifying vessels to the zone in the waters of the Parties between six and twelve nautical miles from the baselines in ICES divisions 4c and 7d-g to the extent that each Party's qualifying vessels had access to that zone on 31 December 2020.
For the purposes point (c), "qualifying vessel" means a vessel of a Party, which fished in the zone mentioned in the previous sentence in at least four years between 2012 and 2016, or its direct replacement.
ANNEX 39
EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA
CHAPTER 0
GENERAL PROVISIONS
Article 1
Aim
The aim of this Annex is to lay down the necessary data protection, administrative and technical provisions for the implementation of Title II of Part Three of this Agreement.
Article 2
Technical specifications
States shall observe common technical specifications in connection with all requests and answers related to searches and comparisons of DNA profiles, dactyloscopic data and vehicle registration data. These technical specifications are laid down in Chapters 1 to 3.
Article 3
Communications network
The electronic exchange of DNA data, dactyloscopic data and vehicle registration data between States shall take place using the Trans European Services for Telematics between Administrations (TESTA II) communications network and further developments thereof.
Article 4
Availability of automated data exchange
States shall take all necessary measures to ensure that automated searching or comparison of DNA data, dactyloscopic data and vehicle registration data is possible 24 hours a day and seven days a week. In the event of a technical fault, the States' national contact points shall immediately inform each other and shall agree on temporary alternative information exchange arrangements in accordance with the legal provisions applicable. Automated data exchange shall be re-established as quickly as possible.
Article 5
Reference numbers for DNA data and dactyloscopic data
The reference numbers referred to in Articles 529 and 533 of this Agreement shall consist of a combination of the following:
a code allowing the States, in the case of a match, to retrieve personal data and other information in their databases in order to supply it to one, several or all of the States in accordance with Article 536 of this Agreement;
a code to indicate the national origin of the DNA profile or dactyloscopic data; and
with respect to DNA data, a code to indicate the type of DNA profile.
Article 6
Principles of DNA data exchange
Article 7
Rules for requests and answers in connection with DNA data
A request for an automated search or comparison, as referred to in Article 530 or 531 of this Agreement, shall include only the following information:
the State code of the requesting State;
the date, time and indication number of the request;
DNA profiles and their reference numbers;
the types of DNA profiles transmitted (unidentified DNA profiles or reference DNA profiles); and
information required for controlling the database systems and quality control for the automatic search processes.
The answer (matching report) to the request referred to in paragraph 1 shall contain only the following information:
an indication as to whether there were one or more matches (HITs) or no matches (No-HITs);
the date, time and indication number of the request;
the date, time and indication number of the answer;
the State codes of the requesting and requested States;
the reference numbers of the requesting and requested States;
the type of DNA profiles transmitted (unidentified DNA profiles or reference DNA profiles);
the requested and matching DNA profiles; and
information required for controlling the database systems and quality control for the automatic search processes.
Article 8
Transmission procedure for automated searching of unidentified DNA profiles in accordance with Article 530
Article 9
Transmission procedure for automated search of reference DNA profiles in accordance with Article 530
If, in a search with a reference DNA profile, no match has been found in the national database with a reference DNA profile or a match has been found with an unidentified DNA profile, this reference DNA profile may then be transmitted to all other States' databases and if, in a search with this reference DNA profile, matches are found with reference DNA profiles and/or unidentified DNA profiles in other States' databases, these matches shall be automatically communicated and the DNA reference data transmitted to the requesting State; if no matches can be found in other States' databases, it shall be automatically communicated to the requesting State.
Article 10
Transmission procedure for automated comparison of unidentified DNA profiles in accordance with Article 531
Article 11
Principles for the exchange of dactyloscopic data
Article 12
Search capacities for dactyloscopic data
Article 13
Rules for requests and answers in connection with dactyloscopic data
Article 14
Principles of automated searching of vehicle registration data
Article 15
Costs
Each State shall bear the costs arising from the administration, use and maintenance of the Eucaris software application referred to in Article 14(1).
Article 16
Purpose
Processing of data supplied pursuant to Articles 530, 531 and 534 of this Agreement by the searching or comparing State shall be permitted solely in order to:
establish whether the compared DNA profiles or dactyloscopic data match;
prepare and submit a police or judicial request for legal assistance in compliance with domestic law if those data match;
record within the meaning of Article 19 of this Chapter.
Article 17
Accuracy, current relevance and storage time of data
Personal data supplied which should not have been supplied or received shall be deleted. Data which are lawfully supplied and received shall be deleted:
if they are not or no longer necessary for the purpose for which they were supplied; if personal data have been supplied without request, the receiving body shall immediately check if they are necessary for the purposes for which they were supplied;
following the expiry of the maximum period for keeping data laid down in the domestic law of the supplying State, where the supplying body informed the receiving body of that maximum period at the time of supplying the data.
Article 18
Technical and organisational measures to ensure data protection and data security
The features of the technical specification of the automated search procedure are regulated in the implementing measures as referred to in Article 539 of this Agreement which guarantee that:
state-of-the-art technical measures are taken to ensure data protection and data security, in particular data confidentiality and integrity;
encryption and authorisation procedures recognised by the competent authorities are used when having recourse to generally accessible networks; and
the admissibility of searches in accordance with paragraphs 2, 5 and 6 of Article 19 of this Chapter can be checked.
Article 19
Logging and recording: special rules governing automated and non-automated supply
Each State shall guarantee that every non-automated supply and every non-automated receipt of personal data by the body administering the file and by the searching body is logged in order to verify the admissibility of the supply. Logging shall contain the following information:
the reason for the supply;
the data supplied;
the date of the supply; and
the name or reference code of the searching body and of the body administering the file.
The following shall apply to automated searches for data based on Articles 530, 534 and 537 of this Agreement and to automated comparison pursuant to Article 531 of this Agreement:
only specially authorised officers of the national contact points may carry out automated searches or comparisons; the list of officers authorised to carry out automated searches or comparisons shall be made available upon request to the supervisory authorities referred to in paragraph 6 and to the other States;
each State shall ensure that each supply and receipt of personal data by the body administering the file and the searching body is recorded, including notification of whether or not a HIT exists; recording shall include the following information:
the data supplied;
the date and exact time of the supply; and
the name or reference code of the searching body and of the body administering the file.
The recording body shall immediately communicate the recorded data upon request to the competent data protection authorities of the relevant State at the latest within four weeks following receipt of the request; recorded data may be used solely for the following purposes:
monitoring data protection;
ensuring data security.
Article 20
Data subjects' rights to damages
Where a body of one State has supplied personal data under Title II of Part Three of this Agreement, the receiving body of the other State cannot use the inaccuracy of the data supplied as grounds to evade its liability vis-à-vis the injured party under domestic law. If damages are awarded against the receiving body because of its use of inaccurate transfer data, the body which supplied the data shall refund the amount paid in damages to the receiving body in full.
Article 21
Information requested by the States
The receiving State shall inform the supplying State on request of the processing of supplied data and the result obtained.
Article 22
Declarations and designations
Article 23
Preparation of decisions as referred to in Article 540
Article 24
Statistics and reporting
CHAPTER 1
EXCHANGE OF DNA-DATA
1. DNA related forensic issues, matching rules and algorithms
1.1. Properties of DNA-profiles
The DNA profile may contain 24 pairs of numbers representing the alleles of 24 loci which are also used in the DNA-procedures of Interpol. The names of those loci are provided in the following table:
|
VWA |
TH01 |
D21S11 |
FGA |
D8S1179 |
D3S1358 |
D18S51 |
Amelogenin |
|
TPOX |
CSF1P0 |
D13S317 |
D7S820 |
D5S818 |
D16S539 |
D2S1338 |
D19S433 |
|
Penta D |
Penta E |
FES |
F13A1 |
F13B |
SE33 |
CD4 |
GABA |
The seven grey loci in the top row are both the present ESS and the ISSOL.
Inclusion Rules:
The DNA-profiles made available by the States for searching and comparison as well as the DNA-profiles sent out for searching and comparison shall contain at least six full designated ( 157 ) loci and may contain additional loci or blanks depending on their availability. The reference DNA profiles shall contain at least six of the seven ESS of loci. In order to raise the accuracy of matches, all available alleles shall be stored in the indexed DNA profile database and be used for searching and comparison. Each State should implement as soon as practically possible any new ESS of loci adopted by the EU.
Mixed profiles are not allowed, so that the allele values of each locus will consist of only two numbers, which may be the same in the case of homozygosity at a given locus.
Wild-cards and Micro-variants are to be dealt with using the following rules:
1.2. Matching rules
The comparison of two DNA-profiles will be performed on the basis of the loci for which a pair of allele values is available in both DNA-profiles. At least six full designated loci (exclusive of amelogenin) must match between both DNA-profiles before a HIT response is provided.
A full match (Quality 1) is defined as a match, when all allele values of the compared loci commonly contained in the requesting and requested DNA-profiles are the same. A near match is defined as a match, when the value of only one of all the compared alleles is different in the two DNA profiles (Quality 2, 3 and 4). A near match is only accepted if there are at least six full designated matched loci in the two compared DNA profiles.
The reason for a near match may be:
1.3. Reporting rules
Full matches, near matches and "No-HITs" will all be reported.
The matching report will be sent to the requesting national contact point and will also be made available to the requested national contact point (to enable it to estimate the nature and number of possible follow-up requests for further available personal data and other information associated with the DNA-profile corresponding to the HIT in accordance with Article 536 of this Agreement.
2. State code number table
In accordance with Title II of Part Three of this Agreement, ISO 3166-1 alpha-2 code are used for setting up the domain names and other configuration parameters required in the Prüm DNA data exchange applications over a closed network.
ISO 3166-1 alpha-2 codes are the following two-letter State codes:
|
State names |
Code |
State names |
Code |
|
Belgium |
BE |
Lithuania |
LT |
|
Bulgaria |
BG |
Luxemburg |
LU |
|
Czech Republic |
CZ |
Hungary |
HU |
|
Denmark |
DK |
Malta |
MT |
|
Germany |
DE |
Netherlands |
NL |
|
Estonia |
EE |
Austria |
AT |
|
Ireland |
IE |
Poland |
PL |
|
Greece |
EL |
Portugal |
PT |
|
Spain |
ES |
Romania |
RO |
|
France |
FR |
Slovakia |
SK |
|
Croatia |
HR |
Slovenia |
SI |
|
Italy |
IT |
Finland |
FI |
|
Cyprus |
CY |
Sweden |
SE |
|
Latvia |
LV |
United Kingdom |
UK |
3. Functional analysis
3.1. Availability of the system
Requests pursuant to Article 530 of this Agreement should reach the targeted database in the chronological order that each request was sent; responses should be dispatched to reach the requesting State within 15 minutes of the arrival of requests.
3.2. Second step
When a State receives a report of a match, its national contact point is responsible for comparing the values of the profile submitted as a question and the values of the profile(s) received as an answer to validate and check the evidential value of the profile. National contact points can contact each other directly for validation purposes.
Legal assistance procedures start after validation of an existing match between two profiles, on the basis of a "full match" or a "near match" obtained during the automated consultation phase.
4. DNA interface control document
4.1. Introduction
4.1.1. Objectives
This Chapter defines the requirements for the exchange of DNA profile information between the DNA database systems of all States. The header fields are defined specifically for the Prüm DNA exchange; the data part is based on the DNA profile data part in the XML schema defined for the Interpol DNA exchange gateway.
Data are exchanged by Simple Mail Transfer Protocol (SMTP) and other state-of-the-art technologies, using a central relay mail server provided by the network provider. The XML file is transported as mail body.
4.1.2. Scope
This ICD defines the content of the message (or "mail") only. All network-specific and mail-specific topics are defined uniformly in order to allow a common technical base for the DNA data exchange.
This includes:
4.1.3. XML structure and principles
The XML message is structured into:
The same XML schema shall be used for request and response.
For the purpose of complete checks of unidentified DNA profiles, as provided for in Article 531 of this Agreement, it shall be possible to send a batch of profiles in one message. A maximum number of profiles within one message must be defined. The number depends on the maximum allowed mail size and shall be defined after selection of the mail server.
XML example:
<?version="1.0" standalone="yes"?>
<PRUEMDNAx xmlns:msxsl="urn:schemas-microsoft-com:xslt"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance">
<header>
(…)
</header>
<datas>
(…)
</datas>
[<datas> datas structure repeated, if multiple profiles sent by (…) a single SMTP message, only allowed for Article 531 of this Agreement cases
</datas>]
</PRUEMDNA>
4.2. XML structure definition
The following definitions are for documentation purposes and better readability; the real binding information is provided by an XML schema file (PRUEM DNA.xsd).
4.2.1. Schema PRUEMDNAx
It contains the following fields:
|
Fields |
Type |
Description |
|
header |
PRUEM_header |
Occurs: 1 |
|
datas |
PRUEM_datas |
Occurs: 1 … 500 |
4.2.2. Content of header structure
4.2.2.1. PRUEM header
This is a structure describing the XML file header. It contains the following fields:
|
Fields |
Type |
Description |
|
direction |
PRUEM_header_dir |
Direction of message flow |
|
ref |
String |
Reference of the XML file |
|
generator |
String |
Generator of XML file |
|
schema_version |
String |
Version number of schema to use |
|
requesting |
PRUEM_header_info |
Requesting State info |
|
requested |
PRUEM_header_info |
Requested State info |
4.2.2.2. PRUEM_header dir
Type of data contained in message, value can be:
|
Value |
Description |
|
R |
Request |
|
A |
Answer |
4.2.2.3. PRUEM header info
Structure to describe State as well as message date/time. It contains the following fields:
|
Fields |
Type |
Description |
|
source_isocode |
String |
ISO 3166-2 code of the requesting State |
|
destination_isocode |
String |
ISO 3166-2 code of the requested State |
|
request_id |
String |
unique Identifier for a request |
|
date |
Date |
Date of creation of message |
|
time |
Time |
Time of creation of message |
4.2.3. Content of PRUEM Profile data
4.2.3.1. PRUEM_datas
This is a structure describing the XML profile data part. It contains the following fields:
|
Fields |
Type |
Description |
|
reqtype |
PRUEM request type |
Type of request (Article 530 or 531) |
|
date |
Date |
Date profile stored |
|
type |
PRUEM_datas_type |
Type of profile |
|
result |
PRUEM_datas_result |
Result of request |
|
agency |
String |
Name of corresponding unit responsible for the profile |
|
profile_ident |
String |
Unique State profile ID |
|
message |
String |
Error Message, if result = E |
|
profile |
IPSG_DNA_profile |
If direction = A (Answer) AND result ≠ H (HIT) empty |
|
match_id |
String |
In case of a HIT PROFILE_ID of the requesting profile |
|
quality |
PRUEM_hitquality_type |
Quality of HIT |
|
hitcount |
Integer |
Count of matched Alleles |
|
rescount |
Integer |
Count of matched profiles. If direction = R (Request), then empty. If quality!=0 (the original requested profile), then empty. |
4.2.3.2. PRUEM_request_type
Type of data contained in message, value can be:
|
Value |
Description |
|
3 |
Requests pursuant to Article 530 |
|
4 |
Requests pursuant to Article 531 |
4.2.3.3. PRUEM_hitquality_type
|
Value |
Description |
|
0 |
Referring original requesting profile: Case "No-HIT": original requesting profile sent back only; Case "HIT": original requesting profile and matched profiles sent back. |
|
1 |
Equal in all available alleles without wildcards |
|
2 |
Equal in all available alleles with wildcards |
|
3 |
HIT with Deviation (Microvariant) |
|
4 |
HIT with mismatch |
4.2.3.4. PRUEM_data_type
Type of data contained in message, value can be:
|
Value |
Description |
|
P |
Person profile |
|
S |
Stain |
4.2.3.5. PRUEM_data_result
Type of data contained in message, value can be:
|
Value |
Description |
|
U |
Undefined, If direction = R (request) |
|
H |
HIT |
|
N |
No-HIT |
|
E |
Error |
4.2.3.6. IPSG_DNA_profile
Structure describing a DNA profile. It contains the following fields:
|
Fields |
Type |
Description |
|
ess_issol |
IPSG_DNA_ISSOL |
Group of loci corresponding to the ISSOL (standard group of Loci of Interpol) |
|
additional_loci |
IPSG_DNA_additional_loci |
Other loci |
|
marker |
String |
Method used to generate of DNA |
|
profile_id |
String |
Unique identifier for DNA profile |
4.2.3.7. IPSG_DNA_ISSOL
Structure containing the loci of ISSOL (Standard Group of Interpol loci). It contains the following fields:
|
Fields |
Type |
Description |
|
vwa |
IPSG_DNA_locus |
Locus vwa |
|
th01 |
IPSG_DNA_locus |
Locus th01 |
|
d21s11 |
IPSG_DNA_locus |
Locus d21s11 |
|
fga |
IPSG_DNA_locus |
Locus fga |
|
d8s1179 |
IPSG_DNA_locus |
Locus d8s1179 |
|
d3s1358 |
IPSG_DNA_locus |
Locus d3s1358 |
|
d18s51 |
IPSG_DNA_locus |
Locus d18s51 |
|
amelogenin |
IPSG_DNA_locus |
Locus amelogin |
4.2.3.8. IPSG_DNA_additional_loci
Structure containing the other loci. It contains the following fields:
|
Fields |
Type |
Description |
|
tpox |
IPSG_DNA_locus |
Locus tpox |
|
csf1po |
IPSG_DNA_locus |
Locus csf1po |
|
d13s317 |
IPSG_DNA_locus |
Locus d13s317 |
|
d7s820 |
IPSG_DNA_locus |
Locus d7s820 |
|
d5s818 |
IPSG_DNA_locus |
Locus d5s818 |
|
d16s539 |
IPSG_DNA_locus |
Locus d16s539 |
|
d2s1338 |
IPSG_DNA_locus |
Locus d2s1338 |
|
d19s433 |
IPSG_DNA_locus |
Locus d19s433 |
|
penta_d |
IPSG_DNA_locus |
Locus penta_d |
|
penta_e |
IPSG_DNA_locus |
Locus penta_e |
|
fes |
IPSG_DNA_locus |
Locus fes |
|
f13a1 |
IPSG_DNA_locus |
Locus f13a1 |
|
f13b |
IPSG_DNA_locus |
Locus f13b |
|
se33 |
IPSG_DNA_locus |
Locus se33 |
|
cd4 |
IPSG_DNA_locus |
Locus cd4 |
|
gaba |
IPSG_DNA_locus |
Locus gaba |
4.2.3.9. IPSG_DNA_locus
Structure describing a locus. It contains the following fields:
|
Fields |
Type |
Description |
|
low_allele |
String |
Lowest value of an allele |
|
high_allele |
String |
Highest value of an allele |
5. Application, security and communication architecture
5.1. Overview
In implementing applications for the DNA data exchange within the framework of Title II of Part Three of this Agreement, a common communication network shall be used, which will be logically closed among the States. In order to exploit this common communication infrastructure of sending requests and receiving replies in a more effective way, an asynchronous mechanism to convey DNA and dactyloscopic data requests in a wrapped SMTP e-mail message is adopted. In fulfilment of security concerns, the mechanism s/MIME as extension to the SMTP functionality will be used to establish a true end-to-end secure tunnel over the network.
The operational Trans European Services for Telematics between Administrations (TESTA) is used as the communication network for data exchange among the States. TESTA is under the responsibility of the European Commission. Taking into account that national DNA databases and the current national access points of TESTA may be located on different sites in the States, access to TESTA may be set up either by:
using the existing national access point or establishing a new national TESTA access point; or
setting up a secure local link from the site where the DNA database is located and managed by the competent national agency to the existing national TESTA access point.
The protocols and standards deployed in the implementation of Title II of Part Three of this Agreement applications comply with the open standards and meet the requirements imposed by national security policy makers of the States.
5.2. Upper Level Architecture
In the scope of Title II of Part Three of this Agreement, each State will make its DNA data available to be exchanged with and/or searched by other States in conformity with the standardised common data format. The architecture is based upon an any-to-any communication model. There exists neither a central computer server nor a centralised database to hold DNA profiles.
Figure 1
Topology of DNA Data Exchange
In addition to the fulfilment of domestic legal constraints at States' sites, each State may decide what kind of hardware and software should be deployed for the configuration at its site to comply with the requirements set out in Title II of Part Three of this Agreement.
5.3. Security Standards and Data Protection
Three levels of security concerns have been considered and implemented.
5.3.1. Data Level
DNA profile data provided by each State shall have to be prepared in compliance with a common data protection standard, so that requesting States will receive an answer mainly to indicate HIT or No-HIT along with an identification number in case of a HIT, which does not contain any personal information. The further investigation after the notification of a HIT will be conducted at bilateral level pursuant to the existing domestic legal and organisational regulations of the respective States' sites.
5.3.2. Communication Level
Messages containing DNA profile information (requesting and replying) will be encrypted by means of a state-of-the-art mechanism in conformity with open standards, such as s/MIME, before they are forwarded to the sites of other States.
5.3.3. Transmission Level
All encrypted messages containing DNA profile information will be forwarded onto other States' sites through a virtual private tunnelling system administered by a trusted network provider at the international level and the secure links to this tunnelling system under national responsibility. This virtual private tunnelling system does not have a connection point with the open Internet.
5.4. Protocols and Standards to be used for encryption mechanism: s/MIME and related packages
The open standard s/MIME as extension to de facto e-mail standard SMTP will be deployed to encrypt messages containing DNA profile information. The protocol s/MIME (V3) allows signed receipts, security labels, and secure mailing lists and is layered on Cryptographic Message Syntax (CMS), an Internet Engineering Task Force (IETF) specification for cryptographic protected messages. It can be used to digitally sign, digest, authenticate or encrypt any form of digital data.
The underlying certificate used by the s/MIME mechanism has to be in compliance with X.509 standard. In order to ensure common standards and procedures with other Prüm applications, the processing rules for s/MIME encryption operations or to be applied under various Commercial Product of the Shelves (COTS) environments, are as follows:
s/MIME functionality is built into the vast majority of modern e-mail software packages including Outlook, Mozilla Mail as well as Netscape Communicator 4.x and inter-operates among all major e-mail software packages.
Because of s/MIME's easy integration into national IT infrastructure at all States' sites, it is selected as a viable mechanism to implement the communication security level. For achieving the goal "Proof of Concept" in a more efficient way and reducing costs the open standard JavaMail API is however chosen for prototyping DNA data exchange. JavaMail API provides simple encryption and decryption of e-mails using s/MIME and/or OpenPGP. The intent is to provide a single, easy-to-use API for e-mail clients that want to send and receive encrypted e-mail in either of the two most popular e-mail encryption formats. Therefore any state-of-the-art implementations to JavaMail API will suffice for the requirements set by Title II of Part Three of this Agreement, such as the product of Bouncy Castle JCE (Java Cryptographic Extension), which will be used to implement s/MIME for prototyping DNA data exchange among all States.
5.5. Application Architecture
Each State will provide the other States with a set of standardised DNA profile data which are in conformity with the current common ICD. This can be done either by providing a logical view over individual national database or by establishing a physical exported database (indexed database).
The four main components: E-mail server/s/MIME, Application Server, Data Structure Area for fetching/feeding data and registering incoming/outgoing messages, and Match Engine implement the whole application logic in a product-independent way.
In order to provide all States with an easy integration of the components into their respective national sites, the specified common functionality has been implemented by means of open source components, which could be selected by each State depending on its national IT policy and regulations. Because of the independent features to be implemented to get access to indexed databases containing DNA profiles covered by Title II of Part Three of this Agreement, each State can freely select its hardware and software platform, including database and operating systems.
A prototype for the DNA Data Exchange has been developed and successfully tested over the existing common network. The version 1.0 has been deployed in the productive environment and is used for daily operations. States may use the jointly developed product but may also develop their own products. The common product components will be maintained, customised and further developed according to changing IT, forensic and/or functional police requirements.
Figure 2
Overview Application Topology
5.6. Protocols and Standards to be used for application architecture:
5.6.1. XML
The DNA data exchange will fully exploit XML-schema as attachment to SMTP e-mail messages. The eXtensible Markup Language (XML) is a W3C-recommended general-purpose markup language for creating special-purpose markup languages, capable of describing many different kinds of data. The description of the DNA profile suitable for exchange among all States has been done by means of XML and XML schema in the ICD document.
5.6.2. ODBC
Open DataBase Connectivity provides a standard software API method for accessing database management systems and making it independent of programming languages, database and operating systems. ODBC has, however, certain drawbacks. Administering a large number of client machines can involve a diversity of drivers and DLLs. This complexity can increase system administration overhead.
5.6.3. JDBC
Java DataBase Connectivity (JDBC) is an API for the Java programming language that defines how a client may access a database. In contrast to ODBC, JDBC does not require to use a certain set of local DLLs at the Desktop.
The business logic of processing DNA profile requests and replies at each States' site is described in the following diagram. Both requesting and replying flows interact with a neutral data area comprising different data pools with a common data structure.
Figure 3
Overview Application Workflow at each State's site
5.7. Communication Environment
5.7.1. Common Communication Network: TESTA and its follow-up infrastructure
The application DNA data exchange will exploit the e-mail, an asynchronous mechanism, to send requests and to receive replies among the States. As all States have at least one national access point to the TESTA network, the DNA data exchange will be deployed over the TESTA network. TESTA provides a number of added-value services through its e-mail relay. In addition to hosting TESTA specific e-mail boxes, the infrastructure can implement mail distribution lists and routing policies. This allows TESTA to be used as a clearing house for messages addressed to administrations connected to the EU wide Domains. Virus check mechanisms may also be put in place.
The TESTA e-mail relay is built on a high availability hardware platform located at the central TESTA application facilities and protected by firewall. The TESTA Domain Name Systems (DNS) will resolve resource locators to IP addresses and hide addressing issues from the user and from applications.
5.7.2. Security Concern
The concept of a Virtual Private Network (VPN) has been implemented within the framework of TESTA. Tag Switching Technology used to build this VPN will evolve to support Multi-Protocol Label Switching (MPLS) standard developed by the IETF.
MPLS is an IETF standard technology that speeds up network traffic flow by avoiding packet analysis by intermediate routers (hops). This is done on the basis of so-called labels that are attached to packet by the edge routers of the backbone, on the basis of information stored in the forwarding information base (FIB). Labels are also used to implement VPNs.
MPLS combines the benefits of layer 3 routing with the advantages of layer 2 switching. Because IP addresses are not evaluated during transition through the backbone, MPLS does not impose any IP addressing limitations.
Furthermore, e-mail messages over the TESTA will be protected by s/MIME driven encryption mechanism. Without knowing the key and possessing the right certificate, nobody can decrypt messages over the network.
5.7.3. Protocols and Standards to be used over the communication network
5.7.3.1. SMTP
SMTP is the de facto standard for e-mail transmission across the Internet. SMTP is a relatively simple, text-based protocol, where one or more recipients of a message are specified and then the message text is transferred. SMTP uses TCP port 25 upon the specification by the IETF. To determine the SMTP server for a given domain name, the MX (Mail eXchange) DNS (Domain Name Systems) record is used.
Since this protocol started as purely ASCII text-based it did not deal well with binary files. Standards such as MIME were developed to encode binary files for transfer through SMTP. Today, most SMTP servers support the 8BITMIME and s/MIME extension, permitting binary files to be transmitted almost as easily as plain text. The processing rules for s/MIME operations are described in the section s/MIME (see Section 5.4).
SMTP is a "push" protocol that does not allow one to "pull" messages from a remote server on demand. To do this a mail client shall use POP3 or IMAP. Within the framework of implementing DNA data exchange it is decided to use the protocol POP3.
5.7.3.2. POP
Local e-mail clients use the Post Office Protocol version 3 (POP3), an application-layer Internet standard protocol, to retrieve e-mail from a remote server over a TCP/IP connection. By using the SMTP Submit profile of the SMTP protocol, e-mail clients send messages across the Internet or over a corporate network. MIME serves as the standard for attachments and non-ASCII text in e-mail. Although neither POP3 nor SMTP requires MIME-formatted e-mail, essentially Internet e-mail comes MIME-formatted, so POP clients must also understand and use MIME. The whole communication environment of Title II of Part Three of this Agreement will therefore include the components of POP.
5.7.4. Network Address Assignment
Operative environment
A dedicated block half B class subnet has currently been allocated by the European IP registration authority (RIPE) to TESTA. The assignment of IP addresses to States is based upon a geographical schema in Europe. The data exchange among States within the framework of Title II of Part Three of this Agreement is operated over a European wide logically closed IP network.
Testing Environment
In order to provide a smooth running environment for the daily operation among all connected States, it is necessary to establish a testing environment over the closed network for new States which prepare to join the operations. A sheet of parameters including IP addresses, network settings, e-mail domains as well as application user accounts has been specified and should be set up at the corresponding State's site. Moreover, a set of pseudo DNA profiles has been constructed for test purposes.
5.7.5. Configuration Parameters
A secure e-mail system is set up using the eu-admin.net domain. That domain with the associated addresses will not be accessible from a location not on the TESTA EU wide domain, because the names are only known on the TESTA central DNS server, which is shielded from the Internet.
The mapping of these TESTA site addresses (host names) to their IP addresses is done by the TESTA DNS service. For each Local Domain, a Mail entry will be added to this TESTA central DNS server, relaying all e-mail messages sent to TESTA Local Domains to the TESTA central Mail Relay. That TESTA central Mail Relay will then forward them to the specific Local Domain e-mail server using the Local Domain e-mail addresses. By relaying the e-mail in this way, critical information contained in e-mails will only pass the Europe-wide closed network infrastructure and not the insecure Internet.
It is necessary to establish sub-domains (bold italics) at the sites of all States upon the following syntax:
By applying the above syntax, the sub domains for the States are shown in the following table:
|
State |
Sub Domains |
Comments |
|
BE |
dna.be.pruem.testa.eu |
|
|
fp.be.pruem.testa.eu |
|
|
|
car.be.pruem.testa.eu |
|
|
|
test.dna.be.pruem.testa.eu |
|
|
|
test.fp.be.pruem.testa.eu |
|
|
|
test.car.be.pruem.testa.eu |
|
|
|
BG |
dna.bg.pruem.testa.eu |
|
|
fp.bg.pruem.testa.eu |
|
|
|
car.bg.pruem.testa.eu |
|
|
|
test.dna.bg.pruem.testa.eu |
|
|
|
test.fp.bg.pruem.testa.eu |
|
|
|
test.car.bg.pruem.testa.eu |
|
|
|
CZ |
dna.cz.pruem.testa.eu |
|
|
fp.cz.pruem.testa.eu |
|
|
|
car.cz.pruem.testa.eu |
|
|
|
test.dna.cz.pruem.testa.eu |
|
|
|
test.fp.cz.pruem.testa.eu |
|
|
|
test.car.cz.pruem.testa.eu |
|
|
|
DK |
dna.dk.pruem.testa.eu |
|
|
fp.dk.pruem.testa.eu |
|
|
|
car.dk.pruem.testa.eu |
|
|
|
test.dna.dk.pruem.testa.eu |
|
|
|
test.fp.dk.pruem.testa.eu |
|
|
|
test.car.dk.pruem.testa.eu |
|
|
|
DE |
dna.de.pruem.testa.eu |
|
|
fp.de.pruem.testa.eu |
|
|
|
car.de.pruem.testa.eu |
|
|
|
test.dna.de.pruem.testa.eu |
|
|
|
test.fp.de.pruem.testa.eu |
|
|
|
test.car.de.pruem.testa.eu |
|
|
|
EE |
dna.ee.pruem.testa.eu |
|
|
fp.ee.pruem.testa.eu |
|
|
|
car.ee.pruem.testa.eu |
|
|
|
test.dna.ee.pruem.testa.eu |
|
|
|
test.fp.ee.pruem.testa.eu |
|
|
|
test.car.ee.pruem.testa.eu |
|
|
|
IE |
dna.ie.pruem.testa.eu |
|
|
fp.ie.pruem.testa.eu |
|
|
|
car.ie.pruem.testa.eu |
|
|
|
test.dna.ie.pruem.testa.eu |
|
|
|
test.fp.ie.pruem.testa.eu |
|
|
|
test.car.ie.pruem.testa.eu |
|
|
|
EL |
dna.el.pruem.testa.eu |
|
|
fp.el.pruem.testa.eu |
|
|
|
car.el.pruem.testa.eu |
|
|
|
test.dna.el.pruem.testa.eu |
|
|
|
test.fp.el.pruem.testa.eu |
|
|
|
test.car.el.pruem.testa.eu |
|
|
|
ES |
dna.es.pruem.testa.eu |
|
|
fp.es.pruem.testa.eu |
|
|
|
car.es.pruem.testa.eu |
|
|
|
test.dna.es.pruem.testa.eu |
|
|
|
test.fp.es.pruem.testa.eu |
|
|
|
test.car.es.pruem.testa.eu |
|
|
|
FR |
dna.fr.pruem.testa.eu |
|
|
fp.fr.pruem.testa.eu |
|
|
|
car.fr.pruem.testa.eu |
|
|
|
test.dna.fr.pruem.testa.eu |
|
|
|
test.fp.fr.pruem.testa.eu |
|
|
|
test.car.fr.pruem.testa.eu |
|
|
|
HR |
dna.hr.pruem.testa.eu |
|
|
fp.hr.pruem.testa.eu |
|
|
|
car.hr.pruem.testa.eu |
|
|
|
test.dna.hr.pruem.testa.eu |
|
|
|
test.fp.hr.pruem.testa.eu |
|
|
|
test.car.hr.pruem.testa.eu |
|
|
|
IT |
dna.it.pruem.testa.eu |
|
|
fp.it.pruem.testa.eu |
|
|
|
car.it.pruem.testa.eu |
|
|
|
test.dna.it.pruem.testa.eu |
|
|
|
test.fp.it.pruem.testa.eu |
|
|
|
test.car.it.pruem.testa.eu |
|
|
|
CY |
dna.cy.pruem.testa.eu |
|
|
fp.cy.pruem.testa.eu |
|
|
|
car.cy.pruem.testa.eu |
|
|
|
test.dna.cy.pruem.testa.eu |
|
|
|
test.fp.cy.pruem.testa.eu |
|
|
|
test.car.cy.pruem.testa.eu |
|
|
|
LV |
dna.lv.pruem.testa.eu |
|
|
fp.lv.pruem.testa.eu |
|
|
|
car.lv.pruem.testa.eu |
|
|
|
test.dna.lv.pruem.testa.eu |
|
|
|
test.fp.lv.pruem.testa.eu |
|
|
|
test.car.lv.pruem.testa.eu |
|
|
|
LT |
dna.lt.pruem.testa.eu |
|
|
fp.lt.pruem.testa.eu |
|
|
|
car.lt.pruem.testa.eu |
|
|
|
test.dna.lt.pruem.testa.eu |
|
|
|
test.fp.lt.pruem.testa.eu |
|
|
|
test.car.lt.pruem.testa.eu |
|
|
|
LU |
dna.lu.pruem.testa.eu |
|
|
fp.lu.pruem.testa.eu |
|
|
|
car.lu.pruem.testa.eu |
|
|
|
test.dna.lu.pruem.testa.eu |
|
|
|
test.fp.lu.pruem.testa.eu |
|
|
|
test.car.lu.pruem.testa.eu |
|
|
|
HU |
dna.hu.pruem.testa.eu |
|
|
fp.hu.pruem.testa.eu |
|
|
|
car.hu.pruem.testa.eu |
|
|
|
test.dna.hu.pruem.testa.eu |
|
|
|
test.fp.hu.pruem.testa.eu |
|
|
|
test.car.hu.pruem.testa.eu |
|
|
|
MT |
dna.mt.pruem.testa.eu |
|
|
fp.mt.pruem.testa.eu |
|
|
|
car.mt.pruem.testa.eu |
|
|
|
test.dna.mt.pruem.testa.eu |
|
|
|
test.fp.mt.pruem.testa.eu |
|
|
|
test.car.mt.pruem.testa.eu |
|
|
|
NL |
dna.nl.pruem.nl.testa.eu |
|
|
fp.nl.pruem.testa.eu |
|
|
|
car.nl.pruem.testa.eu |
|
|
|
test.dna.nl.pruem.testa.eu |
|
|
|
test.fp.nl.pruem.testa.eu |
|
|
|
test.car.nl.pruem.testa.eu |
|
|
|
AT |
dna.at.pruem.testa.eu |
|
|
fp.at.pruem.testa.eu |
|
|
|
car.at.pruem.testa.eu |
|
|
|
test.dna.at.pruem.testa.eu |
|
|
|
test.fp.at.pruem.testa.eu |
|
|
|
test.car.at.pruem.testa.eu |
|
|
|
PL |
dna.pl.pruem.testa.eu |
|
|
fp.pl.pruem.testa.eu |
|
|
|
car.pl.pruem.testa.eu |
|
|
|
test.dna.pl.pruem.testa.eu |
|
|
|
test.fp.pl.pruem.testa.eu |
|
|
|
test.car.pl.pruem.testa.eu |
|
|
|
PT |
dna.pt.pruem.testa.eu |
|
|
fp.pt.pruem.testa.eu |
|
|
|
car.pt.pruem.testa.eu |
|
|
|
test.dna.pt.pruem.testa.eu |
|
|
|
test.fp.pt.pruem.testa.eu |
|
|
|
test.car.pt.pruem.testa.eu |
|
|
|
RO |
dna.ro.pruem.testa.eu |
|
|
fp.ro.pruem.testa.eu |
|
|
|
car.ro.pruem.testa.eu |
|
|
|
test.dna.ro.pruem.testa.eu |
|
|
|
test.fp.ro.pruem.testa.eu |
|
|
|
test.car.ro.pruem.testa.eu |
|
|
|
SI |
dna.si.pruem.testa.eu |
|
|
fp.si.pruem.testa.eu |
|
|
|
car.si.pruem.testa.eu |
|
|
|
test.dna.si.pruem.testa.eu |
|
|
|
test.fp.si.pruem.testa.eu |
|
|
|
test.car.si.pruem.testa.eu |
|
|
|
SK |
dna.sk.pruem.testa.eu |
|
|
fp.sk.pruem.testa.eu |
|
|
|
car.sk.pruem.testa.eu |
|
|
|
test.dna.sk.pruem.testa.eu |
|
|
|
test.fp.sk.pruem.testa.eu |
|
|
|
test.car.sk.pruem.testa.eu |
|
|
|
FI |
dna.fi.pruem.testa.eu |
|
|
fp.fi.pruem.testa.eu |
|
|
|
car.fi.pruem.testa.eu |
|
|
|
test.dna.fi.pruem.testa.eu |
|
|
|
test.fp.fi.pruem.testa.eu |
|
|
|
test.car.fi.pruem.testa.eu |
|
|
|
SE |
dna.se.pruem.testa.eu |
|
|
fp.se.pruem.testa.eu |
|
|
|
car.se.pruem.testa.eu |
|
|
|
test.dna.se.pruem.testa.eu |
|
|
|
test.fp.se.pruem.testa.eu |
|
|
|
test.car.se.pruem.testa.eu |
|
|
|
UK |
dna.uk.pruem.testa.eu |
|
|
fp.uk.pruem.testa.eu |
|
|
|
car.uk.pruem.testa.eu |
|
|
|
test.dna.uk.pruem.testa.eu |
|
|
|
test.fp.uk.pruem.testa.eu |
|
|
|
test.car.uk.pruem.testa.eu |
|
CHAPTER 2
EXCHANGE OF DACTYLOSCOPIC DATA (INTERFACE CONTROL DOCUMENT)
The purpose of the following document interface Control Document is to define the requirements for the exchange of dactyloscopic information between the Automated Fingerprint Identification Systems (AFIS) of the States. It is based on the Interpol-Implementation of ANSI/NIST-ITL 1-2000 (INT-I, Version 4.22b).
This version shall cover all basic definitions for Logical Records Type-1, Type-2, Type-4, Type-9, Type-13 and Type-15 required for image- and minutiæ-based dactyloscopic processing.
1. File Content Overview
A dactyloscopic file consists of several logical records. There are sixteen types of record specified in the original ANSI/NIST-ITL 1-2000 standard. Appropriate ASCII separation characters are used between each record and the fields and subfields within the records.
Only 6 record types are used to exchange information between the originating and the destination agency:
|
Type-1 |
→ |
Transaction information |
|
Type-2 |
→ |
Alphanumeric persons/case data |
|
Type-4 |
→ |
High resolution greyscale dactyloscopic images |
|
Type-9 |
→ |
Minutiæ Record |
|
Type-13 |
→ |
Variable resolution latent image record |
|
Type-15 |
→ |
Variable resolution palmprint image record |
1.1. Type-1 — File header
This record contains routing information and information describing the structure of the rest of the file. This record type also defines the types of transaction which fall under the following broad categories:
1.2. Type-2 — Descriptive text
This record contains textual information of interest to the sending and receiving agencies.
1.3. Type-4 — High resolution greyscale image
This record is used to exchange high resolution greyscale (eight bit) dactyloscopic images sampled at 500 pixels/inch. The dactyloscopic images shall be compressed using the WSQ algorithm with a ratio of not more than 15:1. Other compression algorithms or uncompressed images shall not be used.
1.4. Type-9 — Minutiæ record
Type-9 records are used to exchange ridge characteristics or minutiæ data. Their purpose is partly to avoid unnecessary duplication of AFIS encoding processes and partly to allow the transmission of AFIS codes which contain less data than the corresponding images.
1.5. Type-13 — Variable-Resolution Latent Image Record
This record shall be used to exchange variable-resolution latent fingerprint and latent palmprint images together with textural alphanumerical information. The scanning resolution of the images shall be 500 pixels/inch with 256 grey-levels. If the quality of the latent image is sufficient it shall be compressed using WSQ-algorithm. If necessary the resolution of the images may be expanded to more than 500 pixels/inch and more than 256 grey-levels by mutual agreement. In that case, it is strongly recommended to use JPEG 2000 (see Appendix 39-7).
1.6. Variable-Resolution Palmprint Image Record
Type-15 tagged field image records shall be used to exchange variable-resolution palmprint images together with textural alphanumerical information. The scanning resolution of the images shall be 500 pixels/inch with 256 grey-levels. To minimise the amount of data, all palmprint images shall be compressed using WSQ-algorithm. If necessary the resolution of the images may be expanded to more than 500 pixels/inch and more than 256 grey-levels by mutual agreement. In that case, it is strongly recommended to use JPEG 2000 (see Appendix 39-7).
2. Record format
A transaction file shall consist of one or more logical records. For each logical record contained in the file, several information fields appropriate to that record type shall be present. Each information field may contain one or more basic single-valued information items. Taken together these items are used to convey different aspects of the data contained in that field. An information field may also consist of one or more information items grouped together and repeated multiple times within a field. Such a group of information items is known as a subfield. An information field may therefore consist of one or more subfields of information items.
2.1. Information separators
In the tagged-field logical records, mechanisms for delimiting information are implemented by use of four ASCII information separators. The delimited information may be items within a field or subfield, fields within a logical record, or multiple occurrences of subfields. These information separators are defined in the standard ANSI X3.4. These characters are used to separate and qualify information in a logical sense. Viewed in a hierarchical relationship, the File Separator "FS" character is the most inclusive followed by the Group Separator "GS", the Record Separator "RS", and finally the Unit Separator "US" characters. Table 1 lists these ASCII separators and a description of their use within this standard.
Information separators should be functionally viewed as an indication of the type data that follows. The "US" character shall separate individual information items within a field or subfield. This is a signal that the next information item is a piece of data for that field or subfield. Multiple subfields within a field separated by the "RS" character signals the start of the next group of repeated information item(s). The "GS" separator character used between information fields signals the beginning of a new field preceding the field identifying number that shall appear. Similarly, the beginning of a new logical record shall be signalled by the appearance of the "FS" character.
The four characters are only meaningful when used as separators of data items in the fields of the ASCII text records. There is no specific meaning attached to these characters occurring in binary image records and binary fields — they are just part of the exchanged data.
Normally, there should be no empty fields or information items and therefore only one separator character should appear between any two data items. The exception to this rule occurs for those instances where the data in fields or information items in a transaction are unavailable, missing, or optional, and the processing of the transaction is not dependent upon the presence of that particular data. In those instances, multiple and adjacent separator characters shall appear together rather than requiring the insertion of dummy data between separator characters.
For the definition of a field that consists of three information items, the following applies. If the information for the second information item is missing, then two adjacent "US" information separator characters would occur between the first and third information items. If the second and third information items were both missing, then three separator characters should be used — two "US" characters in addition to the terminating field or subfield separator character. In general, if one or more mandatory or optional information items are unavailable for a field or subfield, then the appropriate number of separator character should be inserted.
It is possible to have side-by-side combinations of two or more of the four available separator characters. When data are missing or unavailable for information items, subfields, or fields, there shall be one separator character less than the number of data items, subfields, or fields required.
Table 1
Separators Used
|
Code |
Type |
Description |
Hexadecimal Value |
Decimal Value |
|
US |
Unit Separator |
Separates information items |
1F |
31 |
|
RS |
Record Separator |
Separates subfields |
1E |
30 |
|
GS |
Group Separator |
Separates fields |
1D |
29 |
|
FS |
File Separator |
Separates logical records |
1C |
28 |
2.2. Record layout
For tagged-field logical records, each information field that is used shall be numbered in accordance with this standard. The format for each field shall consist of the logical record type number followed by a period ".", a field number followed by a colon ":", followed by the information appropriate to that field. The tagged-field number can be any one-to-nine digit number occurring between the period "." and the colon ":". It shall be interpreted as an unsigned integer field number. This implies that a field number of "2.123:" is equivalent to and shall be interpreted in the same manner as a field number of "2.000000123:".
For purposes of illustration throughout this document, a three-digit number shall be used for enumerating the fields contained in each of the tagged-field logical records described herein. Field numbers will have the form of "TT.xxx:" where the "TT" represents the one- or two-character record type followed by a period. The next three characters comprise the appropriate field number followed by a colon. Descriptive ASCII information or the image data follows the colon.
Logical Type-1 and Type-2 records contain only ASCII textual data fields. The entire length of the record (including field numbers, colons, and separator characters) shall be recorded as the first ASCII field within each of these record types. The ASCII File Separator "FS" control character (signifying the end of the logical record or transaction) shall follow the last byte of ASCII information and shall be included in the length of the record.
In contrast to the tagged-field concept, the Type-4 record contains only binary data recorded as ordered fixed-length binary fields. The entire length of the record shall be recorded in the first four-byte binary field of each record. For this binary record, neither the record number with its period, nor the field identifier number and its following colon, shall be recorded. Furthermore, as all the field lengths of this record is either fixed or specified, none of the four separator characters ("US", "RS", "GS", or "FS") shall be interpreted as anything other than binary data. For the binary record, the "FS" character shall not be used as a record separator or transaction terminating character.
3. Type-1 Logical Record: the File Header
This record describes the structure of the file, the type of the file, and other important information. The character set used for Type-1 fields shall contain only the 7-bit ANSI code for information interchange.
3.1. Fields for Type-1 Logical Record
3.1.1. Field 1.001: Logical Record Length (LEN)
This field contains the total count of the number of bytes in the whole Type-1 logical record. The field begins with "1.001:", followed by the total length of the record including every character of every field and the information separators.
3.1.2. Field 1.002: Version Number (VER)
To ensure that users know which version of the ANSI/NIST standard is being used, this four byte field specifies the version number of the standard being implemented by the software or system creating the file. The first two bytes specify the major version reference number, the second two the minor revision number. For example, the original 1986 Standard would be considered the first version and designated "0100" while the present ANSI/NIST-ITL 1-2000 standard is "0300".
3.1.3. Field 1.003: File Content (CNT)
This field lists each of the records in the file by record type and the order in which the records appear in the logical file. It consists of one or more subfields, each of which in turn contains two information items describing a single logical record found in the current file. The subfields are entered in the same order in which the records are recorded and transmitted.
The first information item in the first subfield is "1", to refer to this Type-1 record. It is followed by a second information item which contains the number of other records contained in the file. This number is also equal to the count of the remaining subfields of field 1.003.
Each of the remaining subfields is associated with one record within the file, and the sequence of subfields corresponds to the sequence of records. Each subfield contains two items of information. The first is to identify the Type of the record. The second is the record's IDC. The "US" character shall be used to separate the two information items.
3.1.4. Field 1.004: Type of Transaction (TOT)
This field contains a three letter mnemonic designating the type of the transaction. These codes may be different from those used by other implementations of the ANSI/NIST standard.
CPS: Criminal Print-to-Print Search. This transaction is a request for a search of a record relating to a criminal offence against a prints database. The person's prints shall be included as WSQ-compressed images in the file.
In case of a No-HIT, the following logical records will be returned:
In case of a HIT, the following logical records will be returned:
The CPS TOT is summarised in Table A.6.1 (Appendix 39-6).
PMS: Print-to-Latent Search. This transaction is used when a set of prints is searched against an Unidentified Latent database. The response will contain the HIT/No-HIT decision of the destination AFIS search. If multiple unidentified latents exist, multiple SRE transactions will be returned, with one latent per transaction. The person's prints shall be included as WSQ-compressed images in the file.
In case of a No-HIT, the following logical records will be returned:
In case of a HIT, the following logical records will be returned:
The PMS TOT is summarised in Table A.6.1 (Appendix 39-6).
MPS: Latent-to-Print Search. This transaction is used when a latent is to be searched against a Prints database. The latent minutiæ information and the image (WSQ-compressed) shall be included in the file.
In case of a No-HIT, the following logical records will be returned:
In case of a HIT, the following logical records will be returned:
The MPS TOT is summarised in Table A.6.4 (Appendix 39-6).
MMS: Latent-to-Latent Search. In this transaction the file contains a latent which is to be searched against an Unidentified Latent database in order to establish links between various scenes of crime. The latent minutiæ information and the image (WSQ-compressed) must be included in the file.
In case of a No-HIT, the following logical records will be returned:
In case of a HIT, the following logical records will be returned:
The MMS TOT is summarised in Table A.6.4 (Appendix 39-6).
SRE: This transaction is returned by the destination agency in response to dactyloscopic submissions. The response will contain the HIT/No-HIT decision of the destination AFIS search. If multiple candidates exist, multiple SRE transactions will be returned, with one candidate per transaction.
The SRE TOT is summarised in Table A.6.2 (Appendix 39-6).
ERR: This transaction is returned by the destination AFIS to indicate a transaction error. It includes a message field (ERM) indicating the error detected. The following logical records will be returned:
The ERR TOT is summarised in Table A.6.3 (Appendix 39-6).
Table 2
Permissible Codes in Transactions
|
Transaction Type |
Logical Record Type |
|||||
|
1 |
2 |
4 |
9 |
13 |
15 |
|
|
CPS |
M |
M |
M |
— |
— |
— |
|
SRE |
M |
M |
C |
— (C in case of latent HITs) |
C |
C |
|
MPS |
M |
M |
— |
M (1*) |
M |
— |
|
MMS |
M |
M |
— |
M (1*) |
M |
— |
|
PMS |
M |
M |
M* |
— |
— |
M* |
|
ERR |
M |
M |
— |
— |
— |
— |
Key:
|
M |
= |
Mandatory, |
|
M* |
= |
Only one of both record-types may be included, |
|
O |
= |
Optional, |
|
C |
= |
Conditional on whether data is available, |
|
— |
= |
Not allowed, |
|
1* |
= |
Conditional depending on legacy systems. |
3.1.5. Field 1.005: Date of Transaction (DAT)
This field indicates the date on which the transaction was initiated and shall conform to the ISO standard notation of: YYYYMMDD
where YYYY is the year, MM is the month and DD is the day of the month. Leading zeros are used for single figure numbers. For example, "19931004" represents 4 October 1993.
3.1.6. Field 1.006: Priority (PRY)
This optional field defines the priority, on a level of 1 to 9, of the request. "1" is the highest priority and "9" the lowest. Priority "1" transactions shall be processed immediately.
3.1.7. Field 1.007: Destination Agency Identifier (DAI)
This field specifies the destination agency for the transaction.
It consists of two information items in the following format: CC/agency.
The first information item contains the Country Code, defined in ISO 3166, two alpha-numeric characters long. The second item, agency, is a free text identification of the agency, up to a maximum of 32 alpha-numeric characters.
3.1.8. Field 1.008: Originating Agency Identifier (ORI)
This field specifies the file originator and has the same format as the DAI (Field 1.007).
3.1.9. Field 1.009: Transaction Control Number (TCN)
This is a control number for reference purposes. It should be generated by the computer and have the following format: YYSSSSSSSSA
where YY is the year of the transaction, SSSSSSSS is an eight-digit serial number, and A is a check character generated by following the procedure given in Appendix 39-2.
Where a TCN is not available, the field, YYSSSSSSSS, is filled with zeros and the check character generated as above.
3.1.10. Field 1.010: Transaction Control Response (TCR)
Where a request was sent out, to which this is the response, this optional field will contain the transaction control number of the request message. It therefore has the same format as TCN (Field 1.009).
3.1.11. Field 1.011: Native Scanning Resolution (NSR)
This field specifies the normal scanning resolution of the system supported by the originator of the transaction. The resolution is specified as two numeric digits followed by the decimal point and then two more digits.
For all transactions pursuant to Articles 533 and 534 of this Agreement the sampling rate shall be 500 pixels/inch or 19,68 pixels/mm.
3.1.12. Field 1.012: Nominal Transmitting Resolution (NTR)
This five-byte field specifies the nominal transmitting resolution for the images being transmitted. The resolution is expressed in pixels/mm in the same format as NSR (Field 1.011).
3.1.13. Field 1.013: Domain name (DOM)
This mandatory field identifies the domain name for the user-defined Type-2 logical record implementation. It consists of two information items and shall be "INT-I{}{US}}4.22{}{GS}}".
3.1.14. Field 1.014: Greenwich mean time (GMT)
This mandatory field provides a mechanism for expressing the date and time in terms of universal Greenwich Mean Time (GMT) units. If used, the GMT field contains the universal date that will be in addition to the local date contained in Field 1.005 (DAT). Use of the GMT field eliminates local time inconsistencies encountered when a transaction and its response are transmitted between two places separated by several time zones. The GMT provides a universal date and 24-hour clock time independent of time zones. It is represented as "CCYYMMDDHHMMSSZ", a 15-character string that is the concatenation of the date with the GMT and concludes with a "Z". The "CCYY" characters shall represent the year of the transaction, the "MM" characters shall be the tens and units values of the month, and the "DD" characters shall be the tens and units values of the day of the month, the "HH" characters represent the hour, the "MM" the minute, and the "SS" represents the second. The complete date shall not exceed the current date.
4. Type-2 Logical Record: Descriptive Text
The structure of most of this record is not defined by the original ANSI/NIST standard. The record contains information of specific interest to the agencies sending or receiving the file. To ensure that communicating dactyloscopic systems are compatible, it is required that only the fields listed below are contained within the record. This document specifies which fields are mandatory and which optional, and also defines the structure of the individual fields.
4.1. Fields for Type-2 Logical Record
4.1.1. Field 2.001: Logical Record Length (LEN)
This mandatory field contains the length of this Type-2 record, and specifies the total number of bytes including every character of every field contained in the record and the information separators.
4.1.2. Field 2.002: Image Designation Character (IDC)
The IDC contained in this mandatory field is an ASCII representation of the IDC as defined in the File Content field (CNT) of the Type-1 record (Field 1.003).
4.1.3. Field 2.003: System Information (SYS)
This field is mandatory and contains four bytes which indicate which version of the INT-I this particular Type-2 record complies with.
The first two bytes specify the major version number, the second two the minor revision number. For example, this implementation is based on INT-I version 4 revision 22 and would be represented as "0422".
4.1.4. Field 2.007: Case Number (CNO)
This is a number assigned by the local dactyloscopic bureau to a collection of latents found at a scene-of-crime. The following format is adopted: CC/number
where CC is the Interpol Country Code, two alpha-numeric characters in length, and the number complies with the appropriate local guidelines and may be up to 32 alpha-numeric characters long.
This field allows the system to identify latents associated with a particular crime.
4.1.5. Field 2.008: Sequence Number (SQN)
This specifies each sequence of latents within a case. It can be up to four numeric characters long. A sequence is a latent or series of latents which are grouped together for the purposes of filing and/or searching. This definition implies that even single latents will still have to be assigned a sequence number.
This field together with MID (Field 2.009) may be included to identify a particular latent within a sequence.
4.1.6. Field 2.009: Latent Identifier (MID)
This specifies the individual latent within a sequence. The value is a single letter or two letters, with "A" assigned to the first latent, "B" to the second, and so on up to a limit of "ZZ". This field is used analogue to the latent sequence number discussed in the description for SQN (Field 2.008).
4.1.7. Field 2.010: Criminal Reference Number (CRN)
This is a unique reference number assigned by a national agency to an individual who is charged for the first time with committing an offence. Within one country no individual ever has more than one CRN, or shares it with any other individual. However, the same individual may have Criminal Reference Numbers in several countries, which will be distinguishable by means of the country code.
The following format is adopted for CRN field: CC/number
where CC is the Country Code, defined in ISO 3166, two alpha-numeric characters in length, and the number complies with the appropriate national guidelines of the issuing agency, and may be up to 32 alpha-numeric characters long.
For transactions pursuant to Articles 533 and 534 of this Agreement this field will be used for the national criminal reference number of the originating agency which is linked to the images in Type-4 or Type-15 Records.
4.1.8. Field 2.012: Miscellaneous Identification Number (MN1)
This fields contains the CRN (Field 2.010) transmitted by a CPS or PMS transaction without the leading country code.
4.1.9. Field 2.013: Miscellaneous Identification Number (MN2)
This fields contains the CNO (Field 2.007) transmitted by an MPS or MMS transaction without the leading country code.
4.1.10. Field 2.014: Miscellaneous Identification Number (MN3)
This fields contains the SQN (Field 2.008) transmitted by an MPS or MMS transaction.
4.1.11. Field 2.015: Miscellaneous Identification Number (MN4)
This fields contains the MID (Field 2.009) transmitted by an MPS or MMS transaction.
4.1.12. Field 2.063: Additional Information (INF)
In case of an SRE transaction to a PMS request this field gives information about the finger which caused the possible HIT. The format of the field is:
NN where NN is the finger position code defined in Table 5, two digits in length.
In all other cases the field is optional. It consists of up to 32 alpha-numeric characters and may give additional information about the request.
4.1.13. Field 2.064: Respondents List (RLS)
This field contains at least two subfields. The first subfield describes the type of search that has been carried out, using the three-letter mnemonics which specify the transaction type in TOT (Field 1.004). The second subfield contains a single character. An "I" shall be used to indicate that a HIT has been found and an "N" shall be used to indicate that no matching cases have been found (No-HIT). The third subfield contains the sequence identifier for the candidate result and the total number of candidates separated by a slash. Multiple messages will be returned if multiple candidates exist.
In case of a possible HIT the fourth subfield shall contain the score up to six digits long. If the HIT has been verified the value of this subfield is defined as "999999".
Example: "CPS{}{RS}}I{}{RS}}001/001{}{RS}}999999{}{GS}}"
If the remote AFIS does not assign scores, then a score of zero should be used at the appropriate point.
4.1.14. Field 2.074: Status/Error Message Field (ERM)
This field contains error messages resulting from transactions, which will be sent back to the requester as part of an Error Transaction.
Table 3
Error messages
|
Numeric code (1-3) |
Meaning (5-128) |
|
003 |
ERROR: UNAUTHORISED ACCESS |
|
101 |
Mandatory field missing |
|
102 |
Invalid record type |
|
103 |
Undefined field |
|
104 |
Exceed the maximum occurrence |
|
105 |
Invalid number of subfields |
|
106 |
Field length too short |
|
107 |
Field length too long |
|
108 |
Field is not a number as expected |
|
109 |
Field number value too small |
|
110 |
Field number value too big |
|
111 |
Invalid character |
|
112 |
Invalid date |
|
115 |
Invalid item value |
|
116 |
Invalid type of transaction |
|
117 |
Invalid record data |
|
201 |
ERROR: INVALID TCN |
|
501 |
ERROR: INSUFFICIENT FINGERPRINT QUALITY |
|
502 |
ERROR: MISSING FINGERPRINTS |
|
503 |
ERROR: FINGERPRINT SEQUENCE CHECK FAILED |
|
999 |
ERROR: ANY OTHER ERROR. FOR FURTHER DETAILS CALL DESTINATION AGENCY. |
Error messages in the range between 100 and 199:
Example:
This field is mandatory for error transactions.
4.1.15. Field 2.320: Expected Number of Candidates (ENC)
This field contains the maximum number of candidates for verification expected by the requesting agency. The value of ENC shall not exceed the values defined in Table 11.
5. Type-4 Logical Record: High Resolution GreyScale Image
It should be noted that Type-4 records are binary rather than ASCII in nature. Therefore each field is assigned a specific position within the record, which implies that all fields are mandatory.
The standard allows both image size and resolution to be specified within the record. It requires Type-4 Logical Records to contain dactyloscopic image data that are being transmitted at a nominal pixel density of 500 to 520 pixels per inch. The preferred rate for new designs is at a pixel density of 500 pixels per inch or 19,68 pixels per mm. 500 pixels per inch is the density specified by the INT-I, except that similar systems may communicate with each other at a non-preferred rate, within the limits of 500 to 520 pixels per inch.
5.1. Fields for Type-4 Logical Record
5.1.1. Field 4.001: Logical Record Length (LEN)
This four-byte field contains the length of this Type-4 record, and specifies the total number of bytes including every byte of every field contained in the record.
5.1.2. Field 4.002: Image Designation Character (IDC)
This is the one-byte binary representation of the IDC number given in the header file.
5.1.3. Field 4.003: Impression Type (IMP)
The impression type is a single-byte field occupying the sixth byte of the record.
Table 4
Finger Impression Type
|
Code |
Description |
|
0 |
Live-scan of plain fingerprint |
|
1 |
Live-scan of rolled fingerprint |
|
2 |
Non-live scan impression of plain fingerprint captured from paper |
|
3 |
Non-live scan impression of rolled fingerprint captured from paper |
|
4 |
Latent impression captured directly |
|
5 |
Latent tracing |
|
6 |
Latent photo |
|
7 |
Latent lift |
|
8 |
Swipe |
|
9 |
Unknown |
5.1.4. Field 4.004: Finger Position (FGP)
This fixed-length field of six bytes occupies the seventh through twelfth byte positions of a Type-4 record. It contains possible finger positions beginning in the left most byte (byte seven of the record). The known or most probable finger position is taken from Table 5. Up to five additional fingers may be referenced by entering the alternate finger positions in the remaining five bytes using the same format. If fewer than five finger position references are to be used the unused bytes are filled with binary 255. To reference all finger positions code 0, for unknown, is used.
Table 5
Finger position code and maximum size
|
Finger position |
Finger code |
Width (mm) |
Length (mm) |
|
Unknown |
0 |
40,0 |
40,0 |
|
Right thumb |
1 |
45,0 |
40,0 |
|
Right index finger |
2 |
40,0 |
40,0 |
|
Right middle finger |
3 |
40,0 |
40,0 |
|
Right ring finger |
4 |
40,0 |
40,0 |
|
Right little finger |
5 |
33,0 |
40,0 |
|
Left thumb |
6 |
45,0 |
40,0 |
|
Left index finger |
7 |
40,0 |
40,0 |
|
Left middle finger |
8 |
40,0 |
40,0 |
|
Left ring finger |
9 |
40,0 |
40,0 |
|
Left little finger |
10 |
33,0 |
40,0 |
|
Plain right thumb |
11 |
30,0 |
55,0 |
|
Plain left thumb |
12 |
30,0 |
55,0 |
|
Plain right four fingers |
13 |
70,0 |
65,0 |
|
Plain left four fingers |
14 |
70,0 |
65,0 |
For scene of crime latents only the codes 0 to 10 should be used.
5.1.5. Field 4.005: Image Scanning Resolution (ISR)
This one-byte field occupies the 13th byte of a Type-4 record. If it contains "0" then the image has been sampled at the preferred scanning rate of 19,68 pixels/mm (500 pixels per inch). If it contains "1" then the image has been sampled at an alternative scanning rate as specified in the Type-1 record.
5.1.6. Field 4.006: Horizontal Line Length (HLL)
This field is positioned at bytes 14 and 15 within the Type-4 record. It specifies the number of pixels contained in each scan line. The first byte will be the most significant.
5.1.7. Field 4.007: Vertical Line Length (VLL)
This field records in bytes 16 and 17 the number of scan lines present in the image. The first byte is the most significant.
5.1.8. Field 4.008: Greyscale Compression Algorithm (GCA)
This one-byte field specifies the greyscale compression algorithm used to encode the image data. For this implementation, a binary code 1 indicates that WSQ compression (Appendix 39-7) has been used.
5.1.9. Field 4.009: The Image
This field contains a byte stream representing the image. Its structure will obviously depend on the compression algorithm used.
6. Type-9 Logical Record: Minutiæ Record
Type-9 records shall contain ASCII text describing minutiæ and related information encoded from a latent. For latent search transaction, there is no limit for these Type-9 records in a file, each of which shall be for a different view or latent.
6.1. Minutiæ extraction
6.1.1. Minutia type identification
This standard defines three identifier numbers that are used to describe the minutia type. These are listed in Table 6. A ridge ending shall be designated Type 1. A bifurcation shall be designated Type 2. If a minutia cannot be clearly categorised as one of the above two types, it shall be designated as "other", Type 0.
Table 6
Minutia types
|
Type |
Description |
|
0 |
Other |
|
1 |
Ridge ending |
|
2 |
Bifurcation |
6.1.2. Minutia placement and type
For templates to be compliant with Section 5 of the ANSI INCITS 378-2004 standard, the following method, which enhances the current INCITS 378-2004 standard, shall be used for determining placement (location and angular direction) of individual minutiæ.
The position or location of a minutia representing a ridge ending shall be the point of forking of the medial skeleton of the valley area immediately in front of the ridge ending. If the three legs of the valley area were thinned down to a single-pixel-wide skeleton, the point of the intersection is the location of the minutia. Similarly, the location of the minutia for a bifurcation shall be the point of forking of the medial skeleton of the ridge. If the three legs of the ridge were each thinned down to a single-pixel-wide skeleton, the point where the three legs intersect is the location of the minutia.
After all ridge endings have been converted to bifurcations, all of the minutiæ of the dactyloscopic image are represented as bifurcations. The X and Y pixel coordinates of the intersection of the three legs of each minutia can be directly formatted. Determination of the minutia direction can be extracted from each skeleton bifurcation. The three legs of every skeleton bifurcation shall be examined and the endpoint of each leg determined. Figure 6.1.2 illustrates the three methods used for determining the end of a leg that is based on a scanning resolution of 500 ppi.
The ending is established according to the event that occurs first. The pixel count is based on a scan resolution of 500 ppi. Different scan resolutions would imply different pixel counts.
Figure 4
The angle of the minutiæ is determined by constructing three virtual rays originating at the bifurcation point and extending to the end of each leg. The smallest of the three angles formed by the rays is bisected to indicate the minutiæ direction.
6.1.3. Coordinate system
The coordinate system used to express the minutiæ of a fingerprint shall be a Cartesian coordinate system. Minutiæ locations shall be represented by their x and y coordinates. The origin of the coordinate system shall be the upper left corner of the original image with x increasing to the right and y increasing downward. Both x and y coordinates of a minutiæ shall be represented in pixel units from the origin. It should be noted that the location of the origin and units of measure is not in agreement with the convention used in the definitions of the Type 9 in the ANSI/NIST-ITL 1-2000.
6.1.4. Minutiæ direction
Angles are expressed in standard mathematical format, with zero degrees to the right and angles increasing in the counter clockwise direction. Recorded angles are in the direction pointing back along the ridge for a ridge ending and toward the centre of the valley for a bifurcation. This convention is 180 degrees opposite of the angle convention described in the definitions of the Type 9 in the ANSI/NIST-ITL 1-2000.
6.2. Fields for Type-9 Logical record INCITS-378 Format
All fields of the Type-9 records shall be recorded as ASCII text. No binary fields are permissible in this tagged-field record.
6.2.1. Field 9.001: Logical record length (LEN)
This mandatory ASCII field shall contain the length of the logical record specifying the total number of bytes, including every character of every field contained in the record.
6.2.2. Field 9.002: Image designation character (IDC)
This mandatory two-byte field shall be used for the identification and location of the minutiæ data. The IDC contained in this field shall match the IDC found in the file content field of the Type-1 record.
6.2.3. Field 9.003: Impression type (IMP)
This mandatory one-byte field shall describe the manner by which the dactyloscopic image information was obtained. The ASCII value of the proper code as selected from Table 4 shall be entered in this field to signify the impression type.
6.2.4. Field 9.004: Minutiæ format (FMT)
This field shall contain a "U" to indicate that the minutiæ are formatted in M1-378 terms. Even though information may be encoded in accordance with the M1-378 standard, all data fields of the Type-9 record shall remain as ASCII text fields.
6.2.5. Field 9.126: CBEFF information
This field shall contain three information items. The first information item shall contain the value "27" (0x1B). This is the identification of the CBEFF Format Owner assigned by the International Biometric Industry Association (IBIA) to INCITS Technical Committee M1. The <US> character shall delimit this item from the CBEFF Format Type that is assigned a value of "513" (0x0201) to indicate that this record contains only location and angular direction data without any Extended Data Block information. The <US> character shall delimit this item from the CBEFF Product Identifier (PID) that identifies the "owner" of the encoding equipment. The vendor establishes this value. It can be obtained from the IBIA website (www.ibia.org) if it is posted.
6.2.6. Field 9.127: Capture equipment identification
This field shall contain two information items separated by the <US> character. The first shall contain "APPF" if the equipment used originally to acquire the image was certified to comply with Appendix F (IAFIS Image Quality Specification, 29 January 1999) of CJIS-RS-0010, the Federal Bureau of Investigation's Electronic Fingerprint Transmission Specification. If the equipment did not comply, it will contain the value of "NONE". The second information item shall contain the Capture Equipment ID which is a vendor-assigned product number of the capture equipment. A value of "0" indicates that the capture equipment ID is unreported.
6.2.7. Field 9.128: Horizontal line length (HLL)
This mandatory ASCII field shall contain the number of pixels contained on a single horizontal line of the transmitted image. The maximum horizontal size is limited to 65534 pixels.
6.2.8. Field 9.129: Vertical line length (VLL)
This mandatory ASCII field shall contain the number of horizontal lines contained in the transmitted image. The maximum vertical size is limited to 65534 pixels.
6.2.9. Field 9.130: Scale units (SLC)
This mandatory ASCII field shall specify the units used to describe the image sampling frequency (pixel density). A "1" in this field indicates pixels per inch, or a "2" indicates pixels per centimetre. A "0" in this field indicates no scale is given. In this case, the quotient of HPS/VPS gives the pixel aspect ratio.
6.2.10. Field 9.131: Horizontal pixel scale (HPS)
This mandatory ASCII field shall specify the integer pixel density used in the horizontal direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the horizontal component of the pixel aspect ratio.
6.2.11. Field 9.132: Vertical pixel scale (VPS)
This mandatory ASCII field shall specify the integer pixel density used in the vertical direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the vertical component of the pixel aspect ratio.
6.2.12. Field 9.133: Finger view
This mandatory field contains the view number of the finger associated with this record's data. The view number begins with "0" and increments by one to "15".
6.2.13. Field 9.134: Finger position (FGP)
This field shall contain the code designating the finger position that produced the information in this Type-9 record. A code between 1 and 10 taken from Table 5 or the appropriate palm code from Table 10 shall be used to indicate the finger or palm position.
6.2.14. Field 9.135: Finger quality
The field shall contain the quality of the overall finger minutiæ data and shall be between 0 and 100. This number is an overall expression of the quality of the finger record, and represents quality of the original image, of the minutia extraction and any additional operations that may affect the minutiæ record.
6.2.15. Field 9.136: number of minutiæ
The mandatory field shall contain a count of the number of minutiæ recorded in this logical record.
6.2.16. Field 9.137: Finger minutiæ data
This mandatory field has six information items separated by the <US> character. It consists of several subfields, each containing the details of single minutiae. The total number of minutiae subfields must agree with the count found in field 136. The first information item is the minutiae index number, which shall be initialised to "1" and incremented by "1" for each additional minutia in the fingerprint. The second and third information items are the "x" coordinate and "y" coordinates of the minutiae in pixel units. The fourth information item is the minutiae angle recorded in units of two degrees. This value shall be nonnegative between 0 and 179. The fifth information item is the minutiae type. A value of "0" is used to represent minutiae of type "OTHER", a value of "1" for a ridge ending and a value of "2" for a ridge bifurcation. The sixth information item represents the quality of each minutiae. This value shall range from 1 as a minimum to 100 as a maximum. A value of "0" indicates that no quality value is available. Each subfield shall be separated from the next with the use of the <RS> separator character.
6.2.17. Field 9.138: Ridge count information
This field consists of a series of subfields each containing three information items. The first information item of the first subfield shall indicate the ridge count extraction method. A "0" indicates that no assumption shall be made about the method used to extract ridge counts, nor their order in the record. A "1" indicates that for each centre minutiæ, ridge count data was extracted to the nearest neighbouring minutiæ in four quadrants, and ridge counts for each centre minutia are listed together. A "2" indicates that for each centre minutiæ, ridge count data was extracted to the nearest neighbouring minutiæ in eight octants, and ridge counts for each centre minutia are listed together. The remaining two information items of the first subfield shall both contain "0". Information items shall be separated by the <US> separator character. Subsequent subfields will contain the centre minutiæ index number as the first information item, the neighbouring minutiæ index number as the second information item, and the number of ridges crossed as the third information item. Subfields shall be separated by the <RS> separator character.
6.2.18. Field 9.139: Core information
This field will consist of one subfield for each core present in the original image. Each subfield consists of three information items. The first two items contain the "x" and "y" coordinate positions in pixel units. The third information item contains the angle of the core recorded in units of 2 degrees. The value shall be a nonnegative value between 0 and 179. Multiple cores will be separated by the <RS> separator character.
6.2.19. Field 9.140: Delta information
This field will consist of one subfield for each delta present in the original image. Each subfield consists of three information items. The first two items contain the "x" and "y" coordinate positions in pixel units. The third information item contains the angle of the delta recorded in units of 2 degrees. The value shall be a nonnegative value between 0 and 179. Multiple cores will be separated by the <RS> separator character.
7. Type-13 variable-resolution latent image record
The Type-13 tagged-field logical record shall contain image data acquired from latent images. These images are intended to be transmitted to agencies that will automatically extract or provide human intervention and processing to extract the desired feature information from the images.
Information regarding the scanning resolution used, the image size, and other parameters required to process the image, are recorded as tagged-fields within the record.
Table 7
Type-13 variable-resolution latent record layout
|
Ident |
Cond. code |
Field Number |
Field name |
Char type |
Field size per occurrence |
Occur count |
Max byte count |
||
|
min. |
max. |
min |
max |
|
|||||
|
LEN |
M |
13.001 |
LOGICAL RECORD LENGTH |
N |
4 |
8 |
1 |
1 |
15 |
|
IDC |
M |
13.002 |
IMAGE DESIGNATION CHARACTER |
N |
2 |
5 |
1 |
1 |
12 |
|
IMP |
M |
13.003 |
IMPRESSION TYPE |
A |
2 |
2 |
1 |
1 |
9 |
|
SRC |
M |
13.004 |
SOURCE AGENCY/ORI |
AN |
6 |
35 |
1 |
1 |
42 |
|
LCD |
M |
13.005 |
LATENT CAPTURE DATE |
N |
9 |
9 |
1 |
1 |
16 |
|
HLL |
M |
13.006 |
HORIZONTAL LINE LENGTH |
N |
4 |
5 |
1 |
1 |
12 |
|
VLL |
M |
13.007 |
VERTICAL LINE LENGTH |
N |
4 |
5 |
1 |
1 |
12 |
|
SLC |
M |
13.008 |
SCALE UNITS |
N |
2 |
2 |
1 |
1 |
9 |
|
HPS |
M |
13.009 |
HORIZONTAL PIXEL SCALE |
N |
2 |
5 |
1 |
1 |
12 |
|
VPS |
M |
13.010 |
VERTICAL PIXEL SCALE |
N |
2 |
5 |
1 |
1 |
12 |
|
CGA |
M |
13.011 |
COMPRESSION ALGORITHM |
A |
5 |
7 |
1 |
1 |
14 |
|
BPX |
M |
13.012 |
BITS PER PIXEL |
N |
2 |
3 |
1 |
1 |
10 |
|
FGP |
M |
13.013 |
FINGER POSITION |
N |
2 |
3 |
1 |
6 |
25 |
|
RSV |
|
13.014 |
RESERVED FOR FUTURE DEFINITION |
— |
— |
— |
— |
— |
— |
|
13.019 |
|||||||||
|
COM |
O |
13.020 |
COMMENT |
A |
2 |
128 |
0 |
1 |
135 |
|
RSV |
|
13.021 |
RESERVED FOR FUTURE DEFINITION |
— |
— |
— |
— |
— |
— |
|
13.199 |
|||||||||
|
UDF |
O |
13.200 |
USER-DEFINED FIELDS |
— |
— |
— |
— |
— |
— |
|
13.998 |
|||||||||
|
DAT |
M |
13.999 |
IMAGE DATA |
B |
2 |
— |
1 |
1 |
— |
Key for character type: N = Numeric; A = Alphabetic; AN = Alphanumeric; B = Binary
7.1. Fields for the Type-13 logical record
The following paragraphs describe the data contained in each of the fields for the Type-13 logical record.
Within a Type-13 logical record, entries shall be provided in numbered fields. It is required that the first two fields of the record are ordered, and the field containing the image data shall be the last physical field in the record. For each field of the Type-13 record, Table 7 lists the "condition code" as being mandatory "M" or optional "O", the field number, the field name, character type, field size, and occurrence limits. Based on a three digit field number, the maximum byte count size for the field is given in the last column. As more digits are used for the field number, the maximum byte count will also increase. The two entries in the "field size per occurrence" include all character separators used in the field. The "maximum byte count" includes the field number, the information, and all the character separators including the "GS" character.
7.1.1. Field 13.001: Logical record length (LEN)
This mandatory ASCII field shall contain the total count of the number of bytes in the Type-13 logical record. Field 13.001 shall specify the length of the record including every character of every field contained in the record and the information separators.
7.1.2. Field 13.002: Image designation character (IDC)
This mandatory ASCII field shall be used to identify the latent image data contained in the record. This IDC shall match the IDC found in the file content (CNT) field of the Type-1 record.
7.1.3. Field 13.003: Impression type (IMP)
This mandatory one- or two-byte ASCII field shall indicate the manner by which the latent image information was obtained. The appropriate latent code choice selected from Table 4 (finger) or Table 9 (palm) shall be entered in this field.
7.1.4. Field 13.004: Source agency/ORI (SRC)
This mandatory ASCII field shall contain the identification of the administration or organisation that originally captured the facial image contained in the record. Normally, the Originating Agency Identifier (ORI) of the agency that captured the image will be contained in this field. It consists of two information items in the following format: CC/agency.
The first information item contains the Interpol Country Code, two alpha-numeric characters long. The second item, agency, is a free text identification of the agency, up to a maximum of 32 alpha-numeric characters.
7.1.5. Field 13.005: Latent capture date (LCD)
This mandatory ASCII field shall contain the date that the latent image contained in the record was captured. The date shall appear as eight digits in the format CCYYMMDD. The CCYY characters shall represent the year the image was captured; the MM characters shall be the tens and unit values of the month; and the DD characters shall be the tens and unit values of the day in the month. For example, 20000229 represents 29 February 2000. The complete date shall be a legitimate date.
7.1.6. Field 13.006: Horizontal line length (HLL)
This mandatory ASCII field shall contain the number of pixels contained on a single horizontal line of the transmitted image.
7.1.7. Field 13.007: Vertical line length (VLL)
This mandatory ASCII field shall contain the number of horizontal lines contained in the transmitted image.
7.1.8. Field 13.008: Scale units (SLC)
This mandatory ASCII field shall specify the units used to describe the image sampling frequency (pixel density). A "1" in this field indicates pixels per inch, or a "2" indicates pixels per centimetre. A "0" in this field indicates no scale is given. In this case, the quotient of HPS/VPS gives the pixel aspect ratio.
7.1.9. Field 13.009: Horizontal pixel scale (HPS)
This mandatory ASCII field shall specify the integer pixel density used in the horizontal direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the horizontal component of the pixel aspect ratio.
7.1.10. Field 13.010: Vertical pixel scale (VPS)
This mandatory ASCII field shall specify the integer pixel density used in the vertical direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the vertical component of the pixel aspect ratio.
7.1.11. Field 13.011: Compression algorithm (CGA)
This mandatory ASCII field shall specify the algorithm used to compress greyscale images. See Appendix 39-7 for the compression codes.
7.1.12. Field 13.012: Bits per pixel (BPX)
This mandatory ASCII field shall contain the number of bits used to represent a pixel. This field shall contain an entry of "8" for normal greyscale values of "0" to "255". Any entry in this field greater than "8" shall represent a greyscale pixel with increased precision.
7.1.13. Field 13.013: Finger/palm position (FGP)
This mandatory tagged-field shall contain one or more of the possible finger or palm positions that may match the latent image. The decimal code number corresponding to the known or most probable finger position shall be taken from Table 5 or the most probable palm position from Table 10 and entered as a one- or two-character ASCII subfield. Additional finger and/or palm positions may be referenced by entering the alternate position codes as subfields separated by the "RS" separator character. The code "0", for "Unknown Finger", shall be used to reference every finger position from one through ten. The code "20", for "Unknown Palm", shall be used to reference every listed palmprint position.
7.1.14. Field 13.014-019: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
7.1.15. Field 13.020: Comment (COM)
This optional field may be used to insert comments or other ASCII text information with the latent image data.
7.1.16. Field 13.021-199: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
7.1.17. Fields 13.200-998: User-defined fields (UDF)
These fields are user-definable fields and will be used for future requirements. Their size and content shall be defined by the user and be in accordance with the receiving agency. If present they shall contain ASCII textual information.
7.1.18. Field 13.999: Image data (DAT)
This field shall contain all data from a captured latent image. It shall always be assigned field number 999 and shall be the last physical field in the record. For example, "13.999:" is followed by image data in a binary representation.
Each pixel of uncompressed greyscale data shall normally be quantised to eight bits (256 grey levels) contained in a single byte. If the entry in BPX Field 13.012 is greater or less than "8", the number of bytes required to contain a pixel will be different. If compression is used, the pixel data shall be compressed in accordance with the compression technique specified in the GCA field.
7.2. End of Type-13 variable-resolution latent image record
For the sake of consistency, immediately following the last byte of data from Field 13.999 an "FS" separator shall be used to separate it from the next logical record. This separator shall be included in the length field of the Type-13 record.
8. Type-15 variable-resolution palmprint image record
The Type-15 tagged-field logical record shall contain and be used to exchange palmprint image data together with fixed and user-defined textual information fields pertinent to the digitised image. Information regarding the scanning resolution used, the image size and other parameters or comments required to process the image are recorded as tagged-fields within the record. Palmprint images transmitted to other agencies will be processed by the recipient agencies to extract the desired feature information required for matching purposes.
The image data shall be acquired directly from a subject using a live-scan device, or from a palmprint card or other media that contains the subject's palmprints.
Any method used to acquire the palmprint images shall be capable of capturing a set of images for each hand. This set shall include the writer's palm as a single scanned image, and the entire area of the full palm extending from the wrist bracelet to the tips of the fingers as one or two scanned images. If two images are used to represent the full palm, the lower image shall extend from the wrist bracelet to the top of the interdigital area (third finger joint) and shall include the thenar, and hypothenar areas of the palm. The upper image shall extend from the bottom of the interdigital area to the upper tips of the fingers. This provides an adequate amount of overlap between the two images that are both located over the interdigital area of the palm. By matching the ridge structure and details contained in this common area, an examiner can confidently state that both images came from the same palm.
As a palmprint transaction may be used for different purposes, it may contain one or more unique image areas recorded from the palm or hand. A complete palmprint record set for one individual will normally include the writer's palm and the full palm image(s) from each hand. Since a tagged-field logical image record may contain only one binary field, a single Type-15 record will be required for each writer's palm and one or two Type-15 records for each full palm. Therefore, four to six Type-15 records will be required to represent the subject's palmprints in a normal palmprint transaction.
8.1. Fields for the Type-15 logical record
The following paragraphs describe the data contained in each of the fields for the Type-15 logical record.
Within a Type-15 logical record, entries shall be provided in numbered fields. It is required that the first two fields of the record are ordered, and the field containing the image data shall be the last physical field in the record. For each field of the Type-15 record, Table 8 lists the "condition code" as being mandatory "M" or optional "O", the field number, the field name, character type, field size, and occurrence limits. Based on a three digit field number, the maximum byte count size for the field is given in the last column. As more digits are used for the field number, the maximum byte count will also increase. The two entries in the "field size per occurrence" include all character separators used in the field. The "maximum byte count" includes the field number, the information, and all the character separators including the "GS" character.
8.1.1. Field 15.001: Logical record length (LEN)
This mandatory ASCII field shall contain the total count of the number of bytes in the Type-15 logical record. Field 15.001 shall specify the length of the record including every character of every field contained in the record and the information separators.
8.1.2. Field 15.002: Image designation character (IDC)
This mandatory ASCII field shall be used to identify the palmprint image contained in the record. This IDC shall match the IDC found in the file content (CNT) field of the Type-1 record.
8.1.3. Field 15.003: Impression type (IMP)
This mandatory one-byte ASCII field shall indicate the manner by which the palmprint image information was obtained. The appropriate code selected from Table 9 shall be entered in this field.
8.1.4. Field 15.004: Source agency/ORI (SRC)
This mandatory ASCII field shall contain the identification of the administration or organisation that originally captured the facial image contained in the record. Normally, the Originating Agency Identifier (ORI) of the agency that captured the image will be contained in this field. It consists of two information items in the following format: CC/agency.
The first information item contains the Interpol Country Code, two alpha-numeric characters long. The second item, agency, is a free text identification of the agency, up to a maximum of 32 alpha-numeric characters.
8.1.5. Field 15.005: Palmprint capture date (PCD)
This mandatory ASCII field shall contain the date that the palmprint image was captured. The date shall appear as eight digits in the format CCYYMMDD. The CCYY characters shall represent the year the image was captured; the MM characters shall be the tens and unit values of the month; and the DD characters shall be the tens and units values of the day in the month. For example, the entry 20000229 represents 29 February 2000. The complete date shall be a legitimate date.
8.1.6. Field 15.006: Horizontal line length (HLL)
This mandatory ASCII field shall contain the number of pixels contained on a single horizontal line of the transmitted image.
8.1.7. Field 15.007: Vertical line length (VLL)
This mandatory ASCII field shall contain the number of horizontal lines contained in the transmitted image.
8.1.8. Field 15.008: Scale units (SLC)
This mandatory ASCII field shall specify the units used to describe the image sampling frequency (pixel density). A "1" in this field indicates pixels per inch, or a "2" indicates pixels per centimetre. A "0" in this field indicates no scale is given. In this case, the quotient of HPS/VPS gives the pixel aspect ratio.
8.1.9. Field 15.009: Horizontal pixel scale (HPS)
This mandatory ASCII field shall specify the integer pixel density used in the horizontal direction providing the SLC contains a "1" or a "2". Other-wise, it indicates the horizontal component of the pixel aspect ratio.
8.1.10. Field 15.010: Vertical pixel scale (VPS)
This mandatory ASCII field shall specify the integer pixel density used in the vertical direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the vertical component of the pixel aspect ratio.
Table 8
Type-15 variable-resolution palmprint record layout
|
Ident |
Cond. code |
Field number |
Field name |
Char type |
Field size per occurrence |
Occur count |
Max byte count |
||
|
min. |
max. |
min |
max |
|
|||||
|
LEN |
M |
15.001 |
LOGICAL RECORD LENGTH |
N |
4 |
8 |
1 |
1 |
15 |
|
IDC |
M |
15.002 |
IMAGE DESIGNATION CHARACTER |
N |
2 |
5 |
1 |
1 |
12 |
|
IMP |
M |
15.003 |
IMPRESSION TYPE |
N |
2 |
2 |
1 |
1 |
9 |
|
SRC |
M |
15.004 |
SOURCE AGENCY/ORI |
AN |
6 |
35 |
1 |
1 |
42 |
|
PCD |
M |
15.005 |
PALMPRINT CAPTURE DATE |
N |
9 |
9 |
1 |
1 |
16 |
|
HLL |
M |
15.006 |
HORIZONTAL LINE LENGTH |
N |
4 |
5 |
1 |
1 |
12 |
|
VLL |
M |
15.007 |
VERTICAL LINE LENGTH |
N |
4 |
5 |
1 |
1 |
12 |
|
SLC |
M |
15.008 |
SCALE UNITS |
N |
2 |
2 |
1 |
1 |
9 |
|
HPS |
M |
15.009 |
HORIZONTAL PIXEL SCALE |
N |
2 |
5 |
1 |
1 |
12 |
|
VPS |
M |
15.010 |
VERTICAL PIXEL SCALE |
N |
2 |
5 |
1 |
1 |
12 |
|
CGA |
M |
15.011 |
COMPRESSION ALGORITHM |
AN |
5 |
7 |
1 |
1 |
14 |
|
BPX |
M |
15.012 |
BITS PER PIXEL |
N |
2 |
3 |
1 |
1 |
10 |
|
PLP |
M |
15.013 |
PALMPRINT POSITION |
N |
2 |
3 |
1 |
1 |
10 |
|
RSV |
|
15.014 |
RESERVED FOR FUTURE INCLUSION |
— |
— |
— |
— |
— |
— |
|
15.019 |
|||||||||
|
COM |
O |
15.020 |
COMMENT |
AN |
2 |
128 |
0 |
1 |
128 |
|
RSV |
|
15.021 |
RESERVED FOR FUTURE INCLUSION |
— |
— |
— |
— |
— |
— |
|
15.199 |
|||||||||
|
UDF |
O |
15.200 |
USER-DEFINED FIELDS |
— |
— |
— |
— |
— |
— |
|
15.998 |
|||||||||
|
DAT |
M |
15.999 |
IMAGE DATA |
B |
2 |
— |
1 |
1 |
— |
Table 9
Palm Impression Type
|
Description |
Code |
|
Live-scan palm |
10 |
|
Nonlive-scan palm |
11 |
|
Latent palm impression |
12 |
|
Latent palm tracing |
13 |
|
Latent palm photo |
14 |
|
Latent palm lift |
15 |
8.1.11. Field 15.011: Compression algorithm (CGA)
This mandatory ASCII field shall specify the algorithm used to compress greyscale images. An entry of "NONE" in this field indicates that the data contained in this record are uncompressed. For those images that are to be compressed, this field shall contain the preferred method for the compression of tenprint fingerprint images. Valid compression codes are defined in Appendix 39-7.
8.1.12. Field 15.012: Bits per pixel (BPX)
This mandatory ASCII field shall contain the number of bits used to represent a pixel. This field shall contain an entry of "8" for normal greyscale values of "0" to "255". Any entry in this field greater than or less than "8" shall represent a greyscale pixel with increased or decreased precision respectively.
Table 10
Palm Codes, Areas and Sizes
|
Palm Position |
Palm code |
Image area (mm2) |
Width (mm) |
Height (mm) |
|
Unknown Palm |
20 |
28387 |
139,7 |
203,2 |
|
Right Full Palm |
21 |
28387 |
139,7 |
203,2 |
|
Right Writer s Palm |
22 |
5645 |
44,5 |
127,0 |
|
Left Full Palm |
23 |
28387 |
139,7 |
203,2 |
|
Left Writer s Palm |
24 |
5645 |
44,5 |
127,0 |
|
Right Lower Palm |
25 |
19516 |
139,7 |
139,7 |
|
Right Upper Palm |
26 |
19516 |
139,7 |
139,7 |
|
Left Lower Palm |
27 |
19516 |
139,7 |
139,7 |
|
Left Upper Palm |
28 |
19516 |
139,7 |
139,7 |
|
Right Other |
29 |
28387 |
139,7 |
203,2 |
|
Left Other |
30 |
28387 |
139,7 |
203,2 |
8.1.13. Field 15.013: Palmprint position (PLP)
This mandatory tagged-field shall contain the palmprint position that matches the palmprint image. The decimal code number corresponding to the known or most probable palmprint position shall be taken from Table 10 and entered as a two-character ASCII subfield. Table 10 also lists the maximum image areas and dimensions for each of the possible palmprint positions.
8.1.14. Field 15.014-019: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
8.1.15. Field 15.020: Comment (COM)
This optional field may be used to insert comments or other ASCII text information with the palmprint image data.
8.1.16. Field 15.021-199: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
8.1.17. Fields 15.200-998: User-defined fields (UDF)
These fields are user-definable fields and will be used for future requirements. Their size and content shall be defined by the user and be in accordance with the receiving agency. If present, they shall contain ASCII textual information.
8.1.18. Field 15.999: Image data (DAT)
This field shall contain all of the data from a captured palmprint image. It shall always be assigned field number 999 and shall be the last physical field in the record. For example, "15.999:" is followed by image data in a binary representation. Each pixel of uncompressed greyscale data shall normally be quantised to eight bits (256 grey levels) contained in a single byte. If the entry in BPX Field 15.012 is greater or less than 8, the number of bytes required to contain a pixel will be different. If compression is used, the pixel data shall be compressed in accordance with the compression technique specified in the CGA field.
8.2. End of Type-15 variable-resolution palmprint image record
For the sake of consistency, immediately following the last byte of data from Field 15.999 an "FS" separator shall be used to separate it from the next logical record. This separator shall be included in the length field of the Type-15 record.
8.3. Additional Type-15 variable-resolution palmprint image records
Additional Type-15 records may be included in the file. For each additional palmprint image, a complete Type-15 logical record together with the "FS" separator is required.
Table 11
Maximum numbers of candidates accepted for verification per transmission
|
Type of AFIS Search |
TP/TP |
LT/TP |
LP/PP |
TP/UL |
LT/UL |
PP/ULP |
LP/ULP |
|
Maximum Number of Candidates |
1 |
10 |
5 |
5 |
5 |
5 |
5 |
Search types:
9. Appendices to Chapter 2 (exchange of dactyloscopic data)
9.1. Appendix 39-1: ASCII Separator Codes
|
ASCII |
Position (1) |
Description |
|
LF |
1/10 |
Separates error codes in Field 2.074 |
|
FS |
1/12 |
Separates logical records of a file |
|
GS |
1/13 |
Separates fields of a logical record |
|
RS |
1/14 |
Separates the subfields of a record field |
|
US |
1/15 |
Separates individual information items of the field or subfield |
|
(1)
This is the position as defined in the ASCII standard. |
||
9.2. Appendix 39-2: Calculation of Alpha-Numeric Check Character
For TCN and TCR (Fields 1.09 and 1.10):
The number corresponding to the check character is generated using the following formula:
Where YY and SSSSSSSS are the numerical values of the last two digits of the year and the serial number respectively.
The check character is then generated from the look-up table given below.
For CRO (Field 2.010)
The number corresponding to the check character is generated using the following formula:
Where YY and NNNNNN are the numerical values of the last two digits of the year and the serial number respectively.
The check character is then generated from the look-up table given below.
|
Check Character Look-up Table |
||
|
1-A |
9-J |
17-T |
|
2-B |
10-K |
18-U |
|
3-C |
11-L |
19-V |
|
4-D |
12-M |
20-W |
|
5-E |
13-N |
21-X |
|
6-F |
14-P |
22-Y |
|
7-G |
15-Q |
0-Z |
|
8-H |
16-R |
|
9.3. Appendix 39-3: Character Codes
|
7-bit ANSI code for information interchange |
||||||||||
|
ASCII Character Set |
||||||||||
|
+ |
0 |
1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
9 |
|
30 |
|
|
|
! |
’ |
# |
$ |
% |
& |
‘ |
|
40 |
( |
) |
* |
+ |
, |
- |
. |
/ |
0 |
1 |
|
50 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
9 |
: |
; |
|
60 |
< |
= |
> |
? |
@ |
A |
B |
C |
D |
E |
|
70 |
F |
G |
H |
I |
J |
K |
L |
M |
N |
O |
|
80 |
P |
Q |
R |
S |
T |
U |
V |
W |
X |
Y |
|
90 |
Z |
[ |
\ |
] |
^ |
_ |
' |
a |
b |
c |
|
100 |
d |
e |
f |
g |
h |
i |
j |
k |
l |
m |
|
110 |
n |
o |
p |
q |
r |
s |
t |
u |
v |
w |
|
120 |
x |
y |
z |
{}{ |
| |
}} |
~ |
|
|
|
9.4. Appendix 39-4: Transaction Summary
|
Type 1 Record (mandatory) |
|||||
|
Identifier |
Field number |
Field name |
CPS/PMS |
SRE |
ERR |
|
LEN |
1.001 |
Logical Record Length |
M |
M |
M |
|
VER |
1.002 |
Version Number |
M |
M |
M |
|
CNT |
1.003 |
File Content |
M |
M |
M |
|
TOT |
1.004 |
Type of Transaction |
M |
M |
M |
|
DAT |
1.005 |
Date |
M |
M |
M |
|
PRY |
1.006 |
Priority |
M |
M |
M |
|
DAI |
1.007 |
Destination Agency |
M |
M |
M |
|
ORI |
1.008 |
Originating Agency |
M |
M |
M |
|
TCN |
1.009 |
Transaction Control Number |
M |
M |
M |
|
TCR |
1.010 |
Transaction Control Reference |
C |
M |
M |
|
NSR |
1.011 |
Native Scanning Resolution |
M |
M |
M |
|
NTR |
1.012 |
Nominal Transmitting Resolution |
M |
M |
M |
|
DOM |
1.013 |
Domain name |
M |
M |
M |
|
GMT |
1.014 |
Greenwich mean time |
M |
M |
M |
Under the Condition Column:
O = Optional; M = Mandatory; C = Conditional if transaction is a response to the origin agency
|
Type 2 Record (mandatory) |
||||||
|
Identifier |
Field number |
Field name |
CPS/PMS |
MPS/MMS |
SRE |
ERR |
|
LEN |
2.001 |
Logical Record Length |
M |
M |
M |
M |
|
IDC |
2.002 |
Image Designation Character |
M |
M |
M |
M |
|
SYS |
2.003 |
System Information |
M |
M |
M |
M |
|
CNO |
2.007 |
Case Number |
— |
M |
C |
— |
|
SQN |
2.008 |
Sequence Number |
— |
C |
C |
— |
|
MID |
2.009 |
Latent Identifier |
— |
C |
C |
— |
|
CRN |
2.010 |
Criminal Reference Number |
M |
— |
C |
— |
|
MN1 |
2.012 |
Miscellaneous Identification Number |
— |
— |
C |
C |
|
MN2 |
2.013 |
Miscellaneous Identification Number |
— |
— |
C |
C |
|
MN3 |
2.014 |
Miscellaneous Identification Number |
— |
— |
C |
C |
|
MN4 |
2.015 |
Miscellaneous Identification Number |
— |
— |
C |
C |
|
INF |
2.063 |
Additional Information |
O |
O |
O |
O |
|
RLS |
2.064 |
Respondents List |
— |
— |
M |
— |
|
ERM |
2.074 |
Status/Error Message Field |
— |
— |
— |
M |
|
ENC |
2.320 |
Expected Number of Candidates |
M |
M |
— |
— |
Under the Condition Column:
O = Optional; M = Mandatory; C = Conditional if data is available
|
* |
= |
if the transmission of the data is in accordance with domestic law (not covered by Articles 533 and 534 of this Agreement) |
9.5. Appendix 39-5: Type-1 Record Definitions
|
Identifier |
Condition |
Field number |
Field name |
Character type |
Example data |
|
LEN |
M |
1.001 |
Logical Record Length |
N |
1.001:230{}{GS}} |
|
VER |
M |
1.002 |
Version Number |
N |
1.002:0300{}{GS}} |
|
CNT |
M |
1.003 |
File Content |
N |
1.003:1{}{US}}15{}{RS}}2{}{US}}00{}{RS}}4{}{US}}01{}{RS}}4{}{US}}02{}{RS}}4{}{US}}03{}{RS}}4{}{US}}04{}{RS}}4{}{US}}05{}{RS}}4{}{US}}06{}{RS}}4{}{US}}07{}{RS}}4{}{US}}08{}{RS}}4{}{US}}09{}{RS}}4{}{US}}10{}{RS}}4{}{US}}11{}{RS}}4{}{US}}12{}{RS}}4{}{US}}13{}{RS}}4{}{US}}14{}{GS}} |
|
TOT |
M |
1.004 |
Type of Transaction |
A |
1.004:CPS{}{GS}} |
|
DAT |
M |
1.005 |
Date |
N |
1.005:20050101{}{GS}} |
|
PRY |
M |
1.006 |
Priority |
N |
1.006:4{}{GS}} |
|
DAI |
M |
1.007 |
Destination Agency |
1* |
1.007:DE/BKA{}{GS}} |
|
ORI |
M |
1.008 |
Originating Agency |
1* |
1.008:NL/NAFIS{}{GS}} |
|
TCN |
M |
1.009 |
Transaction Control Number |
AN |
1.009:0200000004F{}{GS}} |
|
TCR |
C |
1.010 |
Transaction Control Reference |
AN |
1.010:0200000004F{}{GS}} |
|
NSR |
M |
1.011 |
Native Scanning Resolution |
AN |
1.011:19.68{}{GS}} |
|
NTR |
M |
1.012 |
Nominal Transmitting Resolution |
AN |
1.012:19,68{}{GS}} |
|
DOM |
M |
1.013 |
Domain Name |
AN |
1.013: INT-I{}{US}}4,22{}{GS}} |
|
GMT |
M |
1.014 |
Greenwich Mean Time |
AN |
1.014:20050101125959Z |
Under the Condition Column: O = Optional, M = Mandatory, C = Conditional
Under the Character Type Column: A = Alpha, N = Numeric, B = Binary
1* allowed characters for agency name are ["0..9", "A..Z", "a..z", "_", ".", " ", "-"]
9.6. Appendix 39-6: Type-2 Record Definitions
Table A.6.1
CPS- and PMS-Transaction
|
Identifier |
Condition |
Field number |
Field name |
Character type |
Example data |
|
LEN |
M |
2.001 |
Logical Record Length |
N |
2.001:909{}{GS}} |
|
IDC |
M |
2.002 |
Image Designation Character |
N |
2.002:00{}{GS}} |
|
SYS |
M |
2.003 |
System Information |
N |
2.003:0422{}{GS}} |
|
CRN |
M |
2.010 |
Criminal Reference Number |
AN |
2.010:DE/E999999999{}{GS}} |
|
INF |
O |
2.063 |
Additional Information |
1* |
2.063:Additional Information 123{}{GS}} |
|
ENC |
M |
2.320 |
Expected Number of Candidates |
N |
2.320:1{}{GS}} |
Table A.6.2
SRE-Transaction
|
Identifier |
Condition |
Field number |
Field name |
Character type |
Example data |
|
LEN |
M |
2.001 |
Logical Record Length |
N |
2.001:909{}{GS}} |
|
IDC |
M |
2.002 |
Image Designation Character |
N |
2.002:00{}{GS}} |
|
SYS |
M |
2.003 |
System Information |
N |
2.003:0422{}{GS}} |
|
CRN |
C |
2.010 |
Criminal Reference Number |
AN |
2.010:NL/2222222222{}{GS}} |
|
MN1 |
C |
2.012 |
Miscellaneous Identification Number |
AN |
2.012:E999999999{}{GS}} |
|
MN2 |
C |
2.013 |
Miscellaneous Identification Number |
AN |
2.013:E999999999{}{GS}} |
|
MN3 |
C |
2.014 |
Miscellaneous Identification Number |
N |
2.014:0001{}{GS}} |
|
MN4 |
C |
2.015 |
Miscellaneous Identification Number |
A |
2.015:A{}{GS}} |
|
INF |
O |
2.063 |
Additional Information |
1* |
2.063:Additional Information 123{}{GS}} |
|
RLS |
M |
2.064 |
Respondents List |
AN |
2.064:CPS{}{RS}}I{}{RS}}001/001{}{RS}}999999{}{GS}} |
Table A.6.3
ERR-Transaction
|
Identifier |
Condition |
Field number |
Field name |
Character type |
Example data |
|
LEN |
M |
2.001 |
Logical Record Length |
N |
2.001:909{}{GS}} |
|
IDC |
M |
2.002 |
Image Designation Character |
N |
2.002:00{}{GS}} |
|
SYS |
M |
2.003 |
System Information |
N |
2.003:0422{}{GS}} |
|
MN1 |
M |
2.012 |
Miscellaneous Identification Number |
AN |
2.012:E999999999{}{GS}} |
|
MN2 |
C |
2.013 |
Miscellaneous Identification Number |
AN |
2.013:E999999999{}{GS}} |
|
MN3 |
C |
2.014 |
Miscellaneous Identification Number |
N |
2.014:0001{}{GS}} |
|
MN4 |
C |
2.015 |
Miscellaneous Identification Number |
A |
2.015:A{}{GS}} |
|
INF |
O |
2.063 |
Additional Information |
1* |
2.063:Additional Information 123{}{GS}} |
|
ERM |
M |
2.074 |
Status/Error Message Field |
AN |
2.074: 201: IDC - 1 FIELD 1.009 WRONG CONTROL CHARACTER {}{LF}} 115: IDC 0 FIELD 2.003 INVALID SYSTEM INFORMATION {}{GS}} |
Table A.6.4
MPS- and MMS-Transaction
|
Identifier |
Condition |
Field number |
Field name |
Character type |
Example data |
|
LEN |
M |
2.001 |
Logical Record Length |
N |
2.001:909{}{GS}} |
|
IDC |
M |
2.002 |
Image Designation Character |
N |
2.002:00{}{GS}} |
|
SYS |
M |
2.003 |
System Information |
N |
2.003:0422{}{GS}} |
|
CNO |
M |
2.007 |
Case Number |
AN |
2.007:E999999999{}{GS}} |
|
SQN |
C |
2.008 |
Sequence Number |
N |
2.008:0001{}{GS}} |
|
MID |
C |
2.009 |
Latent Identifier |
A |
2.009:A{}{GS}} |
|
INF |
O |
2.063 |
Additional Information |
1* |
2.063:Additional Information 123{}{GS}} |
|
ENC |
M |
2.320 |
Expected Number of Candidates |
N |
2.320:1{}{GS}} |
Under the Condition Column: O = Optional, M = Mandatory, C = Conditional
Under the Character Type Column: A = Alpha, N = Numeric, B = Binary
1* allowed characters are ["0..9", "A..Z", "a..z", "_", ".", " ", "-", ","]
9.7. Appendix 39-7: Greyscale Compression Codes
Compression Codes
|
Compression |
Value |
Remarks |
|
Wavelet Scalar Quantisation Greyscale Fingerprint Image Compression Specification IAFIS-IC-0010(V3), dated 19 December 1997 |
WSQ |
Algorithm to be used for the compression of greyscale images in Type-4, Type-7 and Type-13 to Type-15 records. Shall not be used for resolutions > 500 dpi. |
|
JPEG 2000 [ISO 15444/ITU T.800] |
J2K |
To be used for lossy and losslessly compression of greyscale images in Type-13 to Type-15 records. Strongly recommended for resolutions > 500 dpi |
9.8. Appendix 39-8: Mail specification
To improve the internal workflow the mail subject of a PRUEM transaction has to be filled with the country code (CC) of the State that send the message and the Type of Transaction (TOT Field 1.004).
Format: CC/type of transaction
Example: "DE/CPS"
The mail body can be empty.
CHAPTER 3
EXCHANGE OF VEHICLE REGISTRATION DATA
1. Common data-set for automated search of vehicle registration data
1.1. Definitions
The definitions of mandatory and optional data elements set out in Article 14(4) of Chapter 0 are as follows:
1.2. Vehicle/owner/holder search
1.2.1. Triggers for the search
There are two different ways to search for the information as defined in the next paragraph:
By means of these search criteria, information related to one and sometimes more vehicles will be returned. If information for only one vehicle has to be returned, all the items are returned in one response. If more than one vehicle is found, the requested State itself can determine which items will be returned; all items or only the items to refine the search (e.g. because of privacy reasons or because of performance reasons).
The items necessary to refine the search are pictured in paragraph 1.2.2.1. In paragraph 1.2.2.2 the complete information set is described.
When the search is done by Chassis Number, Reference Date and Time, the search can be done in one or all of the participating States.
When the search is done by License Number, Reference Data and Time, the search has to be done in one specific State.
Normally the actual Date and Time is used to make a search, but it is possible to conduct a search with a Reference Date and Time in the past. When a search is made with a Reference Date and Time in the past and historical information is not available in the register of the specific State because no such information is registered at all, the actual information can be returned with an indication that the information is actual information.
1.2.2. Data set
1.2.2.1. Items to be returned necessary for the refinement of the search
|
Item |
M/O (1) |
Remarks |
Prüm Y/N (2) |
|
Data relating to vehicles |
|
|
|
|
Licence number |
M |
|
Y |
|
Chassis number/VIN |
M |
|
Y |
|
Country of registration |
M |
|
Y |
|
Make |
M |
(D.1 (3)) e.g. Ford, Opel, Renault, etc. |
Y |
|
Commercial type of the vehicle |
M |
(D.3) e.g. Focus, Astra, Megane |
Y |
|
EU Category Code |
M |
(J) mopeds, motorbikes, cars, etc. |
Y |
|
(1)
M = mandatory when available in national register, O = optional.
(2)
All the attributes specifically allocated by the States are indicated with Y.
(3)
Harmonised document abbreviation, see Council Directive 1999/37/EC of 29 April 1999. |
|||
1.2.2.2. Complete data set
|
Item |
M/O (1) |
Remarks |
Prüm Y/N |
|
Data relating to holders of the vehicle |
|
(C.1 (2)) The data refer to the holder of the specific registration certificate. |
|
|
Registration holders' (company) name |
M |
(C.1.1.) separate fields will be used for surname, infixes, titles, etc., and the name in printable format will be communicated |
Y |
|
First name |
M |
(C.1.2) separate fields for first name(s) and initials will be used, and the name in printable format will be communicated |
Y |
|
Address |
M |
(C.1.3) separate fields will be used for Street, House number and Annex, Zip code, Place of residence, Country of residence, etc., and the Address in printable format will be communicated |
Y |
|
Gender |
M |
Male, female |
Y |
|
Date of birth |
M |
|
Y |
|
Legal entity |
M |
individual, association, company, firm, etc. |
Y |
|
Place of Birth |
O |
|
Y |
|
ID Number |
O |
An identifier that uniquely identifies the person or the company. |
N |
|
Type of ID Number |
O |
The type of ID Number (e.g. passport number). |
N |
|
Start date holdership |
O |
Start date of the holdership of the car. This date will often be the same as printed under (I) on the registration certificate of the vehicle. |
N |
|
End date holdership |
O |
End data of the holdership of the car. |
N |
|
Type of holder |
O |
If there is no owner of the vehicle (C.2) the reference to the fact that the holder of the registration certificate: — is the vehicle owner, — is not the vehicle owner, — is not identified by the registration certificate as being the vehicle owner. |
N |
|
Data relating to owners of the vehicle |
|
(C.2) |
|
|
Owners' (company) name |
M |
(C.2.1) |
Y |
|
First name |
M |
(C.2.2) |
Y |
|
Address |
M |
(C.2.3) |
Y |
|
Gender |
M |
male, female |
Y |
|
Date of birth |
M |
|
Y |
|
Legal entity |
M |
individual, association, company, firm, etc. |
Y |
|
Place of Birth |
O |
|
Y |
|
ID Number |
O |
An identifier that uniquely identifies the person or the company. |
N |
|
Type of ID Number |
O |
The type of ID Number (e.g. passport number). |
N |
|
Start date ownership |
O |
Start date of the ownership of the car. |
N |
|
End date ownership |
O |
End data of the ownership of the car. |
N |
|
Data relating to vehicles |
|
|
|
|
Licence number |
M |
|
Y |
|
Chassis number/VIN |
M |
|
Y |
|
Country of registration |
M |
|
Y |
|
Make |
M |
(D.1) e.g. Ford, Opel, Renault, etc. |
Y |
|
Commercial type of the vehicle |
M |
(D.3) e.g. Focus, Astra, Megane. |
Y |
|
Nature of the vehicle/EU Category Code |
M |
(J) mopeds, motorbikes, cars, etc. |
Y |
|
Date of first registration |
M |
(B) Date of first registration of the vehicle somewhere in the world. |
Y |
|
Start date (actual) registration |
M |
(I) Date of the registration to which the specific certificate of the vehicle refers. |
Y |
|
End date registration |
M |
End data of the registration to which the specific certificate of the vehicle refers. It is possible this date indicates the period of validity as printed on the document if not unlimited (document abbreviation = H). |
Y |
|
Status |
M |
Scrapped, stolen, exported, etc. |
Y |
|
Start date status |
M |
|
Y |
|
End date status |
O |
|
N |
|
kW |
O |
(P.2) |
Y |
|
Capacity |
O |
(P.1) |
Y |
|
Type of licence number |
O |
Regular, transito, etc. |
Y |
|
Vehicle document id 1 |
O |
The first unique document ID as printed on the vehicle document. |
Y |
|
Vehicle document id 2 (3) |
O |
A second document ID as printed on the vehicle document. |
Y |
|
Data relating to insurances |
|
|
|
|
Insurance company name |
O |
|
Y |
|
Begin date insurance |
O |
|
Y |
|
End date insurance |
O |
|
Y |
|
Address |
O |
|
Y |
|
Insurance number |
O |
|
Y |
|
ID number |
O |
An identifier that uniquely identifies the company. |
N |
|
Type of ID number |
O |
The type of ID number (e.g. number of the Chamber of Commerce) |
N |
|
(1)
M = mandatory when available in national register, O = optional.
(2)
Harmonised document abbreviation, see Council Directive 1999/37/EC of 29 April 1999.
(3)
In Luxembourg two separate vehicle registration document ID's are used. |
|||
2. Data Security
2.1. Overview
The Eucaris software application handles secure communication to the other States and communicates to the back-end legacy systems of States using XML. States exchange messages by directly sending them to the recipient. The data centre of a State is connected to the TESTA network.
The XML-messages sent over the network are encrypted. The technique to encrypt these messages is SSL. The messages sent to the back-end are plain text XML-messages since the connection between the application and the back-end shall be in a protected environment.
A client application is provided which can be used within a State to query their own register or other States' registers. The clients will be identified by means of user-id/password or a client certificate. The connection to a user may be encrypted, but this is the responsibility of each individual State.
2.2. Security Features related to message exchange
The security design is based on a combination of HTTPS and XML signature. This alternative uses XML-signature to sign all messages sent so the server and can authenticate the sender of the message by checking the signature. 1-sided SSL (only a server certificate) is used to protect the confidentiality and integrity of the message in transit and provides protection against deletion/replay and insertion attacks. Instead of bespoke software development to implement 2-sided SSL, XML-signature is implemented. Using XML-signature is closer to the web services roadmap than 2-sided SSL and therefore more strategic.
The XML-signature can be implemented in several ways but the chosen approach is to use XML Signature as part of the Web Services Security (WSS). WSS specifies how to use XML-signature. Since WSS builds upon the SOAP standard, it is logical to adhere to the SOAP standard as much as possible.
2.3. Security features not related to message exchange
2.3.1. Authentication of users
The users of the Eucaris web application authenticate themselves using a username and password. Since standard Windows authentication is used, States can enhance the level of authentication of users if needed by using client certificates.
2.3.2. User roles
The Eucaris software application supports different user roles. Each cluster of services has its own authorisation. E.g. (exclusive) users of the "'Treaty of Eucaris' — functionality" may not use the "'Prüm' — functionality". Administrator services are separated from the regular end-user roles.
2.3.3. Logging and tracing of message exchange
Logging of all message types is facilitated by the Eucaris software application. An administrator function allows the national administrator to determine which messages are logged: requests from end-users, incoming requests from other States, provided information from the national registers, etc.
The application can be configured to use an internal database for this logging, or an external (Oracle) database. The decision on what messages have to be logged clearly depends on logging facilities elsewhere in the legacy systems and connected client applications.
The header of each message contains information on the requesting State, the requesting organisation within that State and the user involved. Also the reason of the request is indicated.
By means of the combined logging in the requesting and responding State complete tracing of any message exchange is possible (e.g. on request of a citizen involved).
Logging is configured through the Eucaris web client (menu Administration, Logging configuration). The logging functionality is performed by the Core System. When logging is enabled, the complete message (header and body) is stored in one logging record. Per defined service, and per message type that passes along the Core System, the logging level can be set.
Logging Levels
The following logging levels are possible:
Message Types
Information exchange between States consists of several messages, of which a schematic representation is given in Figure 5 below.
The possible message types (in Figure 5 shown for the Eucaris Core System of State X) are the following:
Request to Core System_Request message by Client;
Request to Other State_Request message by Core System of this State;
Request to Core System of this State_Request message by Core System of other State;
Request to Legacy Register_Request message by Core System;
Request to Core System_Request message by Legacy Register;
Response from Core System_Request message by Client;
Response from Other State_Request message by Core System of this State;
Response from Core System of this State_Request message by other State;
Response from Legacy Register_Request message by Core System;
Response from Core System_Request message by Legacy Register.
The following information exchanges are shown in Figure 5:
Figure 5
Message types for logging
2.3.4. Hardware Security Module
A Hardware Security Module is not used.
A Hardware Security Module (HSM) provides good protection for the key used to sign messages and to identify servers. This adds to the overall level of security but an HSM is expensive to buy/maintain and there are no requirements to decide for a FIPS 140-2 level 2 or level 3 HSM. Since a closed network is used that mitigates threats effectively, it is decided not to use an HSM initially. If an HSM is necessary e.g. to obtain accreditation, it can be added to the architecture.
3. Technical conditions of the data exchange
3.1. General description of the Eucaris application
3.1.1. Overview
The Eucaris application connects all participating States in a mesh network where each State communicates directly to another State. There is no central component needed for the communication to be established. The Eucaris application handles secure communication to the other States and communicates to the back-end legacy systems of States using XML. The following picture visualises this architecture.
States exchange messages by directly sending them to the recipient. The data centre of a State is connected to the network used for the message exchange (TESTA). To access the TESTA network, States connect to TESTA via their national gate. A firewall shall be used to connect to the network and a router connects the Eucaris application to the firewall. Depending on the alternative chosen to protect the messages, a certificate is used either by the router or by the Eucaris application.
A client application is provided which can be used within a State to query its own register or other States' registers. The client application connects to Eucaris. The clients will be identified by means of user-id/password or a client certificate. The connection to a user in an external organisation (e.g. police) may be encrypted but this is the responsibility of each individual State.
3.1.2. Scope of the system
The scope of the Eucaris system is limited to the processes involved in the exchange of information between the Registration Authorities in the States and a basic presentation of this information. Procedures and automated processes in which the information is to be used, are outside the scope of the system.
States can choose either to use the Eucaris client functionality or to set up their own customised client application. The table below describes which aspects of the Eucaris system are mandatory to use and/or prescribed and which are optional to use and/or free to determine by the States.
|
Eucaris aspects |
M/O (1) |
Remark |
|
Network concept |
M |
The concept is an "any-to-any" communication. |
|
Physical network |
M |
TESTA |
|
Core application |
M |
The core application of Eucaris has to be used to connect to the other States. The following functionality is offered by the core: — Encrypting and signing of the messages; — Checking of the identity of the sender; — Authorisation of States and local users; — Routing of messages; — Queuing of asynchronous messages if the recipient service is temporally unavailable; — Multiple country inquiry functionality; — Logging of the exchange of messages; — Storage of incoming messages |
|
Client application |
O |
In addition to the core application the Eucaris II client application can be used by a State. When applicable, the core and client application are modified under auspices of the Eucaris organisation. |
|
Security concept |
M |
The concept is based on XML-signing by means of client certificates and SSL-encryption by means of service certificates. |
|
Message specifications |
M |
Every State has to comply with the message specifications as set by the Eucaris organisation and this Chapter. The specifications can only be changed by the Eucaris organisation in consultation with the States. |
|
Operation and Support |
M |
The acceptance of new States or a new functionality is under auspices of the Eucaris organisation. Monitoring and help desk functions are managed centrally by an appointed State. |
|
(1)
M = mandatory to use or to comply with O = optional to use or to comply with. |
||
3.2. Functional and Non-Functional Requirements
3.2.1. Generic functionality
In this section the main generic functions have been described in general terms.
|
No |
Description |
|
1. |
The system allows the Registration Authorities of the States to exchange request and response messages in an interactive way. |
|
2. |
The system contains a client application, enabling end-users to send their requests and presenting the response information for manual processing |
|
3. |
The system facilitates "broadcasting", allowing a State to send a request to all other States. The incoming responses are consolidated by the core application in one response message to the client application (this functionality is called a "Multiple Country Inquiry"). |
|
4. |
The system is able to deal with different types of messages. User roles, authorisation, routing, signing and logging are all defined per specific service. |
|
5. |
The system allows the States to exchange batches of messages or messages containing a large number of requests or replies. These messages are dealt with in an asynchronous way. |
|
6. |
The system queues asynchronous messages if the recipient State is temporarily unavailable and guarantees the deliverance as soon as the recipient is up again. |
|
7. |
The system stores incoming asynchronous messages until they can be processed. |
|
8. |
The system only gives access to Eucaris applications of other States, not to individual organisations within those other States, i.e. each Registration Authority acts as the single gateway between its national end-users and the corresponding Authorities in the other States. |
|
9. |
It is possible to define users of different States on one Eucaris server and to authorise them following the rights of that State. |
|
10. |
Information on the requesting State, organisation and end user are included in the messages. |
|
11. |
The system facilitates logging of the exchange of messages between the different States and between the core application and the national registration systems. |
|
12. |
The system allows a specific secretary, which is an organisation or State explicitly appointed for this task, to gather logged information on messages sent/received by all the participating States, in order to produce statistical reports. |
|
13. |
Each State indicates itself what logged information is made available for the secretary and what information is "private". |
|
14. |
The system allows the National Administrators of each State to extract statistics of use. |
|
15. |
The system enables addition of new States through simple administrative tasks. |
3.2.2. Usability
|
No |
Description |
|
16. |
The system provides an interface for automated processing of messages by back-end systems/legacy and enables the integration of the user interface in those systems (customised user-interface). |
|
17. |
The system is easy to learn, self-explanatory and contains help-text. |
|
18. |
The system is documented to assist States in integration, operational activities and future maintenance (e.g. reference guides, functional/technical documentation, operational guide, …). |
|
19. |
The user interface is multi-lingual and offers facilities for the end-user to select a preferred language. |
|
20. |
The user interface contains facilities for a Local Administrator to translate both screen-items and coded information to the national language. |
3.2.3. Reliability
|
No |
Description |
|
21. |
The system is designed as a robust and dependable operational system which is tolerant to operator errors and which will recover cleanly from power cuts or other disasters. It shall be possible to restart the system with no or minimal loss of data. |
|
22. |
The system shall give stable and reproducible results. |
|
23. |
The system has been designed to function reliably. It is possible to implement the system in a configuration that guarantees an availability of 98 % (by redundancy, the use of back-up servers, etc.) in each bilateral communication. |
|
24. |
It is possible to use part of the system, even during failure of some components (if State C is down, States A and B are still able to communicate). The number of single points of failure in the information chain should be minimised. |
|
25. |
The recovery time after a severe failure should be less than one day. It should be possible to minimise down-time by using remote support, e.g. by a central service desk. |
3.2.4. Performance
|
No |
Description |
|
26. |
The system can be used 24x7. This time-window (24x7) is then also required from the States' legacy systems. |
|
27. |
The system responds rapidly to user requests irrespective of any background tasks. This is also required from the Parties legacy systems to ensure acceptable response time. An overall response time of 10 seconds maximum for a single request is acceptable. |
|
28. |
The system has been designed as a multi-user system and in such a way that background tasks can continue while the user performs foreground tasks. |
|
29. |
The system has been designed to be scaleable in order to support the potential increase of number of messages when new functionality is added or new organisations or States are added. |
3.2.5. Security
|
No |
Description |
|
30. |
The system is suited (e.g. in its security measures) for the exchange of messages containing privacy-sensitive personal data (e.g. car owner/holders), classified as EU restricted. |
|
31. |
The system is maintained in such a way that unauthorised access to the data is prevented. |
|
32. |
The system contains a service for the management of the rights and permissions of national end-users. |
|
33. |
States are able to check the identity of the sender (at State level), by means of XML-signing. |
|
34. |
States shall explicitly authorise other States to request specific information. |
|
35. |
The system provides at application level a full security and encryption policy compatible with the level of security required in such situations. Exclusiveness and integrity of the information is guaranteed by the use of XML-signing and encryption by means of SSL-tunnelling. |
|
36. |
All exchange of messages can be traced by means of logging. |
|
37. |
Protection is provided against deletion attacks (a third party deletes a message) and replay or insertion attacks (a third party replays or inserts a message). |
|
38. |
The system makes use of certificates of a Trusted Third Party (TTP). |
|
39. |
The system is able to handle different certificates per State, depending on the type of message or service. |
|
40. |
The security measures at application level are sufficient to allow the use of non-accredited networks. |
|
41. |
The system is able to use novice security techniques such as an XML-firewall. |
3.2.6. Adaptability
|
No |
Description |
|
42. |
The system is extensible with new messages and new functionality. The costs of adaptations are minimal. Due to the centralised development of application components. |
|
43. |
States are able to define new message types for bilateral use. Not all States are required to support all message types. |
3.2.7. Support and Maintenance
|
No |
Description |
|
44. |
The system provides monitoring facilities for a central service-desk and/or operators concerning the network and servers in the different States. |
|
45. |
The system provides facilities for remote support by a central service-desk. |
|
46. |
The system provides facilities for problem analysis. |
|
47. |
The system can be expanded to new States. |
|
48. |
The application can easily be installed by staff with a minimum of IT-qualifications and experience. The installation procedure shall be as much as possible automated. |
|
49. |
The system provides a permanent testing and acceptance environment. |
|
50. |
The annual costs of maintenance and support has been minimised by adherence to market standards and by creating the application in such a way that as little support as possible from a central service-desk is required. |
3.2.8. Design requirements
|
No |
Description |
|
51. |
The system is designed and documented for an operational lifetime of many years. |
|
52. |
The system has been designed in such a way that it is independent of the network provider. |
|
53. |
The system is compliant with the existing HW/SW in the States by interacting with those registration systems using open standard web service technology (XML, XSD, SOAP, WSDL, HTTP(s), Web services, WSS, X.509, etc.). |
3.2.9. Applicable standards
|
No |
Description |
|
54. |
The system is compliant with data protection issues as stated in Regulation (EC) No 45/2001 (Articles 21, 22 and 23) and Directive 95/46/EC. |
|
55. |
The system complies with the IDA Standards. |
|
56. |
The system supports UTF8. |
CHAPTER 4
EVALUATION PROCEDURE REFERRED TO IN ARTICLE 540
Article 1
Questionnaire
Article 2
Pilot run
Article 3
Evaluation visit
Article 4
Evaluations carried out under Council Decisions 2008/615/JHA and 2008/616/JHA
When carrying out the evaluation procedure as referred to in Article 540 of this Agreement and this Chapter, the Council, through the relevant Council Working Group, will take into account the results of the evaluation procedures, carried out in the context of the adoption of Council Implementing Decisions (EU) 2019/968 ( 158 ) and (EU) 2020/1188 ( 159 ). The relevant Council Working Group will decide on the necessity of carrying out the pilot run referred to in Article 540(1) of this Agreement, in Article 23(2) of Chapter 0 of this Annex, and in Article 2 of this Chapter.
Article 5
Report to the Council
An overall evaluation report, summarising the results of the questionnaires, the evaluation visit and, where applicable, the pilot run, shall be presented to the Council for its decision pursuant to Article 540 of this Agreement.
ANNEX 40
PASSENGER NAME RECORD DATA
Passenger name record data elements (as far as collected by air carriers):
PNR record locator;
Date of reservation/issue of ticket;
Date or dates of intended travel;
Name or names;
Address, telephone number and electronic contact information of the passenger, the persons who made the flight reservation for the passenger, persons through whom an air passenger may be contacted and persons who are to be informed in the event of an emergency;
All available payment/billing information (covering information relating solely to the payment methods for, and billing of, the air ticket, to the exclusion of any other information not directly relating to the flight);
Complete travel itinerary for specific PNR;
Frequent flyer information (the designator of the airline or vendor that administers the program, frequent flyer traveller number, membership level, tier description and alliance code);
Travel agency/travel agent;
Travel status of passenger, including confirmations, check-in status, no-show or go-show information;
Split/divided PNR information;
Other Supplementary Information (OSI), Special Service Information (SSI) and Special Service Request (SSR) information;
Ticketing field information, including ticket number, date of ticket issuance and one-way tickets, automated ticket fare quote fields;
Seat information, including seat number;
Code share information;
All baggage information;
The names of other passengers on the PNR and number of passengers on the PNR travelling together;
Any advance passenger information (API) data collected (type, number, country of issuance and expiry date of any identity document, nationality, family name, given name, gender, date of birth, airline, flight number, departure date, arrival date, departure port, arrival port, departure time and arrival time);
All historical changes to the PNR listed in points 1 to 18.
ANNEX 41
FORMS OF CRIME FOR WHICH EUROPOL IS COMPETENT
ANNEX 42
FORMS OF SERIOUS CRIME FOR WHICH EUROJUST IS COMPETENT
ANNEX 43
ARREST WARRANT
This warrant has been issued by a competent judicial authority. I request that the person mentioned below be arrested and surrendered for the purposes of conducting a criminal prosecution or executing a custodial sentence or detention order. ( 160 )
|
(a) |
Information regarding the identity of the requested person: |
|
|
|
Name: |
|
|
|
Forename(s): |
|
|
|
Maiden name, where applicable: |
|
|
|
Aliases, where applicable: |
|
|
|
Sex: |
|
|
|
Nationality: |
|
|
|
Date of birth: |
|
|
|
Place of birth: |
|
|
|
Residence and/or known address: |
|
|
|
Language(s) which the requested person understands (if known): |
|
|
|
Distinctive marks/description of the requested person: |
|
|
|
Photo and fingerprints of the requested person, if they are available and can be transmitted, or contact details of the person to be contacted in order to obtain such information or a DNA profile (where this evidence can be supplied but has not been included) |
|
|
(b) |
Decision on which the warrant is based: |
|
|
1. |
Arrest warrant or judicial decision having the same effect: |
|
|
|
Type: |
|
|
2. |
Enforceable judgement: |
|
|
|
Reference: |
|
|
(c) |
Indications on the length of the sentence: |
|
|
1. |
Maximum length of the custodial sentence or detention order which may be imposed for the offence(s): |
|
|
2. |
Length of the custodial sentence or detention order imposed: |
|
|
|
Remaining sentence to be served: |
|
|
(d) |
Indicate if the person appeared in person at the trial resulting in the decision: |
|
1. |
□ Yes, the person appeared in person at the trial resulting in the decision. |
|
2. |
□ No, the person did not appear in person at the trial resulting in the decision. |
|
3. |
If you have ticked the box under point 2, please confirm the existence of one of the following, if applicable: |
|
|
□ 3.1a. the person was summoned in person on … (day/month/year) and thereby informed of the scheduled date and place of the trial which resulted in the decision and was informed that a decision may be handed down if he or she does not appear for the trial; |
|
|
OR □3.1b. the person was not summoned in person but by other means actually received official information of the scheduled date and place of the trial which resulted in the decision, in such a manner that it was unequivocally established that he or she was aware of the scheduled trial, and was informed that a decision may be handed down if he or she does not appear for the trial; |
|
|
OR □3.2. being aware of the scheduled trial, the person had given a mandate to a legal counsellor, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that counsellor at the trial; |
|
|
OR □3.3. the person was served with the decision on … (day/month/year) and was expressly informed about the right to a retrial or appeal, in which he or she has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed, and |
|
|
□ the person expressly stated that he or she does not contest this decision; |
|
|
OR □ the person did not request a retrial or appeal within the applicable timeframe; |
|
|
OR □3.4. the person was not personally served with the decision, but — the person will be personally served with this decision without delay after the surrender; and — when served with the decision, the person will be expressly informed of his or her right to a retrial or appeal, in which he or she has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed; and — the person will be informed of the timeframe within which he or she has to request a retrial or appeal, which will be …… days. |
|
4. |
If you have ticked the box under point 3.1b, 3.2 or 3.3 above, please provide information about how the relevant condition has been met: … |
|
(e) |
Offences: |
||
|
|
This warrant relates to in total: |
|
offences |
|
|
Description of the circumstances in which the offence(s) was (were) committed, including the time, place and degree of participation in the offence(s) by the requested person: |
||
|
|
|
||
|
|
Nature and legal classification of the offence(s) and the applicable statutory provision/code: |
||
|
|
|
||
|
|
|
||
|
I. |
The following applies only in case both the issuing and the executing State have made a notification under Article 599(4) of the Agreement: if applicable, tick one or more of the following offences, as defined by the law of the issuing State, punishable in the issuing State by a custodial sentence or detention order for a maximum period of at least three years: □ participation in a criminal organisation, □ terrorism as defined in Annex 45 to the Agreement, □ trafficking in human beings, □ sexual exploitation of children and child pornography, □ illicit trafficking in narcotic drugs and psychotropic substances, □ illicit trafficking in weapons, munitions and explosives, □ corruption, including bribery, □ fraud, including that affecting the financial interests of the United Kingdom, of a Member State or of the Union, □ laundering of the proceeds of crime, □ counterfeiting of currency, □ computer-related crime, □ environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties, □ facilitation of unauthorised entry and residence, □ murder, grievous bodily injury, □ illicit trade in human organs and tissue, □ kidnapping, illegal restraint and hostage-taking, □ racism and xenophobia, □ organised or armed robbery, □ illicit trafficking in cultural goods, including antiques and works of art, □ swindling, □ racketeering and extortion, □ counterfeiting and piracy of products, □ forgery of administrative documents and trafficking therein, □ forgery of means of payment, □ illicit trafficking in hormonal substances and other growth promoters, □ illicit trafficking in nuclear or radioactive materials, □ trafficking in stolen vehicles, □ rape, □ arson, □ crimes within the jurisdiction of the International Criminal Court, □ unlawful seizure of aircraft, ships or spacecraft, □ sabotage. |
||
|
II. |
Full descriptions of offence(s) not covered by Section I above: |
||
|
(f) |
Other circumstances relevant to the case (optional information): (NB: This could cover remarks on extraterritoriality, interruption of periods of time limitation and other consequences of the offence) |
|
|
|
|
(g) |
This warrant pertains also to the seizure and handing over of property which may be required as evidence: This warrant pertains also to the seizure and handing over of property acquired by the requested person as a result of the offence: Description of the property (and location) (if known): |
|
|
|
|
(h) |
The offence(s) on the basis of which this warrant has been issued is (are) punishable by/has(have) led to a custodial life sentence or lifetime detention order: |
|
|
|
|
|
the issuing State will upon request by the executing State give an assurance that it will: |
|
|
|
|
|
|
|
|
□ review the penalty or measure imposed – on request or at least after 20 years, and/or □ encourage the application of measures of clemency to which the person is entitled to apply for under the law or practice of the issuing State, aiming at a non-execution of such penalty or measure. |
|
(i) |
The judicial authority which issued the warrant: |
|
|
|
Official name: |
|
|
|
Name of its representative: (1) |
|
|
|
Post held (title/grade): |
|
|
|
File reference: |
|
|
|
Address: |
|
|
|
Tel. No.: (country code) (area/city code) |
|
|
|
Fax No. (country code) (area/city code) |
|
|
|
E-mail: |
|
|
|
Contact details of the person to contact to make necessary practical arrangements for the surrender: |
|
|
|
Where a central authority has been made responsible for the transmission and administrative reception of arrest warrants: |
|
|
|
Name of the central authority: |
|
|
|
Contact person, if applicable (title/grade and name): |
|
|
|
Address: |
|
|
|
Tel. No.: (country code) (area/city code) |
|
|
|
Fax No. (country code) (area/city code) |
|
|
|
E-mail: |
|
|
|
Signature of the issuing judicial authority and/or its representative: |
|
|
|
Name: |
|
|
|
Post held (title/grade): |
|
|
|
Date: |
|
|
|
Official stamp (if available): |
|
|
(1)
In the different language versions a reference to the "holder" of the judicial authority will be included. |
||
ANNEX 44
EXCHANGE OF CRIMINAL RECORD INFORMATION – TECHNICAL AND PROCEDURAL SPECIFICATIONS
CHAPTER 1
GENERAL PROVISIONS
Article 1
Objective
The objective of this Annex is to lay down the necessary procedural and technical provisions for the implementation of Title IX of Part Three of this Agreement.
Article 2
Communications network
Article 3
Interconnection software
Article 4
Information to be transmitted in notifications, requests and replies
All notifications referred to in Article 646 of this Agreement shall include the following obligatory information:
information on the convicted person (full name, date of birth, place of birth (town and State), gender, nationality and – if applicable – previous name(s));
information on the nature of the conviction (date of conviction, name of the court, date on which the decision became final);
information on the offence giving rise to the conviction (date of the offence underlying the conviction and name or legal classification of the offence as well as reference to the applicable legal provisions); and
information on the contents of the conviction (notably the sentence as well as any supplementary penalties, security measures and subsequent decisions modifying the enforcement of the sentence).
The following optional information shall be transmitted in notifications if that information has been entered in the criminal record (points (a) to (d)) or is available to the central authority (points (e) to (h)):
the convicted person's parents' names;
the reference number of the conviction;
the place of the offence;
disqualifications arising from the conviction;
the convicted person's identity number, or the type and number of the person's identification document;
fingerprints, which have been taken from that person;
if applicable, pseudonym and/or alias(es);
facial image.
In addition, any other information concerning convictions entered in the criminal record may be transmitted.
Article 5
Format of transmission of information
The following information shall be provided by the States to the Specialised Committee on Law Enforcement and Judicial Cooperation, with a view in particular to disseminating this information to other States:
the list of national offences in each of the categories referred to in the table of offences in Chapter 3 of this Annex. The list shall include the name or legal classification of the offence and reference to the applicable legal provisions. It may also include a short description of the constitutive elements of the offence;
the list of types of sentences, possible supplementary penalties and security measures and possible subsequent decisions modifying the enforcement of the sentence as defined in national law, in each of the categories referred to in the table of penalties and measures in Chapter 3 of this Annex. It may also include a short description of the specific penalty or measure.
Article 6
Continuity of transmission
If the electronic mode of transmission of information is temporarily not available, the States shall transmit information by any means capable of producing a written record under conditions allowing the central authority of the requested State to establish the authenticity thereof, for the entire period of such unavailability.
Article 7
Statistics and reporting
Article 8
Technical specifications
The States shall observe common technical specifications on the electronic exchange of information extracted from the criminal record as provided by eu-LISA in the implementation of this Agreement and shall adapt their systems as appropriate without undue delay.
CHAPTER 2
FORMS
Request for information extracted from the criminal record
Information on the requesting State:
|
State: |
|
Central authority(ies): |
|
Contact person: |
|
Telephone (with STD code): |
|
Fax (with STD code): |
|
E-mail address: |
|
Correspondence address: |
|
File reference, if known: |
Information on the identity of the person concerned by the request( 1 ):
|
Full name (forenames and all surnames) |
|
Previous names: |
|
Pseudonym and/or alias, if any: |
|
Gender: M□ F□ |
|
Nationality: |
|
Date of birth (in figures: dd/mm/yyyy): |
|
Place of birth (town and State): |
|
Father's name: |
|
Mother's name: |
|
Residence or known address: |
|
Person's identity number or type and number of the person's identification document: |
|
Fingerprints: |
|
Facial image: |
|
Other available identification information: |
Purpose of the request:
Please tick the appropriate box
|
(1) |
□ |
criminal proceedings (please identify the authority before which the proceedings are pending and, if available, the case reference number) … … |
|
(2) |
□ |
request outside the context of criminal proceedings (please identify the authority before which the proceedings are pending and, if available, the case reference number, while ticking the relevant box): |
|
|
|
(i)□ from a judicial authority … … |
|
|
|
(ii)□ from a competent administrative authority … … |
|
|
|
(iii)□ from the person concerned for information on own criminal record … … |
Purpose for which the information is requested:
Requesting authority:
|
□ |
the person concerned does not consent for this information to be divulged (if the person concerned was asked for his or her consent in accordance with the law of the requesting State). |
|
Contact person for any further information needed: |
|
Name: |
|
Telephone: |
|
E-mail address: |
|
Other information (e.g. urgency of the request): |
Reply to the request
Information relating to the person concerned
Please tick the appropriate box
|
The undersigned authority confirms that: |
|
|
□ |
there is no information on convictions in the criminal record of the person concerned |
|
□ |
there is information on convictions entered in the criminal record of the person concerned; a list of convictions is attached |
|
□ |
there is other information entered in the criminal record of the person concerned; such information is attached (optional) |
|
□ |
there is information on convictions entered in the criminal record of the person concerned but the convicting State intimated that the information about these convictions may not be retransmitted for any purposes other than that of criminal proceedings. The request for more information may be sent directly to … (please indicate the convicting State) |
|
□ |
in accordance with the national law of the requested State, requests made for any purposes other than that of criminal proceedings may not be dealt with. |
|
Contact person for any further information needed: |
|
Name: |
|
Telephone: |
|
E-mail address: |
|
Other information (limitations of use of the data concerning requests outside the context of criminal proceedings): |
|
Please indicate the number of pages attached to the reply form: |
|
Done at |
|
on |
|
Signature and official stamp (if appropriate): |
|
Name and position/organisation: |
If appropriate, please attach a list of convictions and send the complete package to the requesting State. It is not necessary to translate the form or the list into the language of the requesting State.
_______________
(1) To facilitate the identification of the person as much information as possible is to be provided.
CHAPTER 3
STANDARISED FORMAT OF TRANSMISSION OF INFORMATION
Common table of offences categories, with a table of parameters, referred to in Article 5(1) and (2) of Chapter 1
|
Code |
Categories and sub-categories of offences |
|
0100 00 open category |
Crimes within the jurisdiction of the International Criminal Court |
|
0101 00 |
Genocide |
|
0102 00 |
Crimes against humanity |
|
0103 00 |
War crimes |
|
0200 00 open category |
Participation in a criminal organisation |
|
0201 00 |
Directing a criminal organisation |
|
0202 00 |
Knowingly taking part in the criminal activities of a criminal organisation |
|
0203 00 |
Knowingly taking part in the non-criminal activities of a criminal organisation |
|
0300 00 open category |
Terrorism |
|
0301 00 |
Directing a terrorist group |
|
0302 00 |
Knowingly participating in the activities of a terrorist group |
|
0303 00 |
Financing of terrorism |
|
0304 00 |
Public provocation to commit a terrorist offence |
|
0305 00 |
Recruitment or training for terrorism |
|
0400 00 open category |
Trafficking in human beings |
|
0401 00 |
Trafficking in human beings for the purposes of labour or services exploitation |
|
0402 00 |
Trafficking in human beings for the purposes of the exploitation of the prostitution of others or other forms of sexual exploitation |
|
0403 00 |
Trafficking in human beings for the purposes of organ or human tissue removal |
|
0404 00 |
Trafficking in human beings for the purposes of slavery, practices similar to slavery or servitude |
|
0405 00 |
Trafficking in human beings for the purposes of labour or services exploitation of a minor |
|
0406 00 |
Trafficking in human beings for the purposes of the exploitation of the prostitution of minors or other forms of their sexual exploitation |
|
0407 00 |
Trafficking in human beings for the purposes of organ or human tissue removal of a minor |
|
0408 00 |
Trafficking in human beings for the purposes of slavery, practices similar to slavery or servitude of a minor |
|
0500 00 open category |
Illicit trafficking (1) and other offences related to weapons, firearms, their parts and components, ammunition and explosives |
|
0501 00 |
Illicit manufacturing of weapons, firearms, their parts and components, ammunition and explosives |
|
0502 00 |
Illicit trafficking of weapons, firearms, their parts and components ammunition and explosives at national level (2) |
|
0503 00 |
Illicit exportation or importation of weapons, firearms, their parts and components, ammunition and explosives |
|
0504 00 |
Unauthorised possession or use of weapons, firearms, their parts and components, ammunition and explosives |
|
0600 00 open category |
Environmental crime |
|
0601 00 |
Destroying or damaging protected fauna and flora species |
|
0602 00 |
Unlawful discharges of polluting substances or ionising radiation into air, soil or water |
|
0603 00 |
Offences related to waste, including hazardous waste |
|
0604 00 |
Offences related to illicit trafficking(1) in protected fauna and flora species or parts thereof |
|
0605 00 |
Unintentional environmental offences |
|
0700 00 open category |
Offences related to drugs or precursors, and other offences against public health |
|
0701 00 |
Offences related to illicit trafficking (3) in narcotic drugs, psychotropic substances and precursors not exclusively for own personal consumption |
|
0702 00 |
Illicit consumption of drugs and their acquisition, possession, manufacture or production exclusively for own personal consumption |
|
0703 00 |
Aiding or inciting others to use narcotic drugs or psychotropic substances illicitly |
|
0704 00 |
Manufacture or production of narcotic drugs not exclusively for personal consumption |
|
0800 00 open category |
Crimes against the person |
|
0801 00 |
Intentional killing |
|
0802 00 |
Aggravated cases of intentional killing (4) |
|
0803 00 |
Unintentional killing |
|
0804 00 |
Intentional killing of a new-born by his/her mother |
|
0805 00 |
Illegal abortion |
|
0806 00 |
Illegal euthanasia |
|
0807 00 |
Offences related to committing suicide |
|
0808 00 |
Violence causing death |
|
0809 00 |
Causing grievous bodily injury, disfigurement or permanent disability |
|
0810 00 |
Unintentionally causing grievous bodily injury, disfigurement or permanent disability |
|
0811 00 |
Causing minor bodily injury |
|
0812 00 |
Unintentionally causing minor bodily injury |
|
0813 00 |
Exposing to danger of loss of life or grievous bodily injury |
|
0814 00 |
Torture |
|
0815 00 |
Failure to offer aid or assistance |
|
0816 00 |
Offences related to organ or tissue removal without authorisation or consent |
|
0817 00 |
Offences related to illicit trafficking(3) in human organs and tissue |
|
0818 00 |
Domestic violence or threat |
|
0900 00 open category |
Offences against personal liberty, dignity and other protected interests, including racism and xenophobia |
|
0901 00 |
Kidnapping, kidnapping for ransom, illegal restraint |
|
0902 00 |
Unlawful arrest or deprivation of liberty by public authority |
|
0903 00 |
Hostage-taking |
|
0904 00 |
Unlawful seizure of an aircraft or ship |
|
0905 00 |
Insults, slander, defamation, contempt |
|
0906 00 |
Threats |
|
0907 00 |
Duress, pressure, stalking, harassment or aggression of a psychological or emotional nature |
|
0908 00 |
Extortion |
|
0909 00 |
Aggravated extortion |
|
0910 00 |
Illegal entry into private property |
|
0911 00 |
Invasion of privacy other than illegal entry into private property |
|
0912 00 |
Offences against protection of personal data |
|
0913 00 |
Illegal interception of data or communication |
|
0914 00 |
Discrimination on grounds of gender, race, sexual orientation, religion or ethnic origin |
|
0915 00 |
Public incitement to racial discrimination |
|
0916 00 |
Public incitement to racial hatred |
|
0917 00 |
Blackmail |
|
1000 00 open category |
Sexual offences |
|
1001 00 |
Rape |
|
1002 00 |
Aggravated rape (5) other than rape of a minor |
|
1003 00 |
Sexual assault |
|
1004 00 |
Procuring for prostitution or sexual act |
|
1005 00 |
Indecent exposure |
|
1006 00 |
Sexual harassment |
|
1007 00 |
Soliciting by a prostitute |
|
1008 00 |
Sexual exploitation of children |
|
1009 00 |
Offences related to child pornography or indecent images of minors |
|
1010 00 |
Rape of a minor |
|
1011 00 |
Sexual assault of a minor |
|
1100 00 open category |
Offences against family law |
|
1101 00 |
Illicit sexual relations between close family members |
|
1102 00 |
Polygamy |
|
1103 00 |
Evading the alimony or maintenance obligation |
|
1104 00 |
Neglect or desertion of a minor or a disabled person |
|
1105 00 |
Failure to comply with an order to produce a minor or removal of a minor |
|
1200 00 open category |
Offences against the State, public order, course of justice or public officials |
|
1201 00 |
Espionage |
|
1202 00 |
High treason |
|
1203 00 |
Offences related to elections and referendum |
|
1204 00 |
Attempt against life or health of the Head of State |
|
1205 00 |
Insult of the State, Nation or State symbols |
|
1206 00 |
Insult or resistance to a representative of public authority |
|
1207 00 |
Extortion, duress, pressure towards a representative of public authority |
|
1208 00 |
Assault or threat on a representative of public authority |
|
1209 00 |
Public order offences, breach of the public peace |
|
1210 00 |
Violence during sports events |
|
1211 00 |
Theft of public or administrative documents |
|
1212 00 |
Obstructing or perverting the course of justice, making false allegations in the course of criminal or judicial proceedings, perjury |
|
1213 00 |
Unlawful impersonation of a person or an authority |
|
1214 00 |
Escape from lawful custody |
|
1300 00 open category |
Offences against public property or public interests |
|
1301 00 |
Public, social security or family benefit fraud |
|
1302 00 |
Fraud affecting European benefits or allowances |
|
1303 00 |
Offences related to illegal gambling |
|
1304 00 |
Obstructing of public tender procedures |
|
1305 00 |
Active or passive corruption of a civil servant, a person holding public office or public authority |
|
1306 00 |
Embezzlement, misappropriation or other diversion of property by a public official |
|
1307 00 |
Abuse of a function by a public official |
|
1400 00 open category |
Tax and customs offences |
|
1401 00 |
Tax offences |
|
1402 00 |
Customs offences |
|
1500 00 open category |
Economic and trade related offences |
|
1501 00 |
Bankruptcy or fraudulent insolvency |
|
1502 00 |
Breach of accounting regulation, embezzlement, concealment of assets or unlawful increase in a company's liabilities |
|
1503 00 |
Violation of competition rules |
|
1504 00 |
Laundering of proceeds from crime |
|
1505 00 |
Active or passive corruption in the private sector |
|
1506 00 |
Revealing a secret or breaching an obligation of secrecy |
|
1507 00 |
"Insider trading" |
|
1600 00 open category |
Offences against property or causing damage to goods |
|
1601 00 |
Unlawful appropriation |
|
1602 00 |
Unlawful appropriation or diversion of energy |
|
1603 00 |
Fraud, including swindling |
|
1604 00 |
Dealing in stolen goods |
|
1605 00 |
Illicit trafficking (6) in cultural goods, including antiques and works of art |
|
1606 00 |
Intentional damage or destruction of property |
|
1607 00 |
Unintentional damage or destruction of property |
|
1608 00 |
Sabotage |
|
1609 00 |
Offences against industrial or intellectual property |
|
1610 00 |
Arson |
|
1611 00 |
Arson causing death or injury to persons |
|
1612 00 |
Forest arson |
|
1700 00 open category |
Theft offences |
|
1701 00 |
Theft |
|
1702 00 |
Theft after unlawful entry into property |
|
1703 00 |
Theft, using violence or weapons, or using threat of violence or weapons against person |
|
1704 00 |
Forms of aggravated theft which do not involve use of violence or weapons, or use of threat of violence or weapons, against persons. |
|
1800 00 open category |
Offences against information systems and other computer-related crime |
|
1801 00 |
Illegal access to information systems |
|
1802 00 |
Illegal system interference |
|
1803 00 |
Illegal data interference |
|
1804 00 |
Production, possession, dissemination of or trafficking in computer devices or data enabling commitment of computer-related offences |
|
1900 00 open category |
Forgery of means of payment |
|
1901 00 |
Counterfeiting or forging currency |
|
1902 00 |
Counterfeiting of non-cash means of payment |
|
1903 00 |
Counterfeiting or forging public fiduciary documents |
|
1904 00 |
Putting into circulation/using counterfeited or forged currency, non-cash means of payment or public fiduciary documents |
|
1905 00 |
Possession of a device for the counterfeiting or forgery of currency or public fiduciary documents |
|
2000 00 open category |
Falsification of documents |
|
2001 00 |
Falsification of a public or administrative document by a private individual |
|
2002 00 |
Falsification of a document by a civil servant or a public authority |
|
2003 00 |
Supply or acquisition of a forged public or administrative document; supply or acquisition of a forged document by a civil servant or a public authority |
|
2004 00 |
Using forged public or administrative documents |
|
2005 00 |
Possession of a device for the falsification of public or administrative documents |
|
2006 00 |
Forgery of private documents by a private individual |
|
2100 00 open category |
Offences against traffic regulations |
|
2101 00 |
Dangerous driving |
|
2102 00 |
Driving under the influence of alcohol or narcotic drugs |
|
2103 00 |
Driving without a licence or while disqualified |
|
2104 00 |
Failure to stop after a road accident |
|
2105 00 |
Avoiding a road check |
|
2106 00 |
Offences related to road transport |
|
2200 00 open category |
Offences against labour law |
|
2201 00 |
Unlawful employment |
|
2202 00 |
Offences relating to remuneration, including social security contributions |
|
2203 00 |
Offences relating to working conditions, health and safety at work |
|
2204 00 |
Offences relating to access to or exercise of a professional activity |
|
2205 00 |
Offences relating to working hours and rest time |
|
2300 00 open category |
Offences against migration law |
|
2301 00 |
Unauthorised entry or residence |
|
2302 00 |
Facilitation of unauthorised entry and residence |
|
2400 00 open category |
Offences against military obligations |
|
2500 00 open category |
Offences related to hormonal substances and other growth promoters |
|
2501 00 |
Illicit importation, exportation or supply of hormonal substances and other grown promoters |
|
2600 00 open category |
Offences related to nuclear materials or other hazardous radioactive substances |
|
2601 00 |
Illicit importation, exportation, supply or acquisition of nuclear or radioactive materials |
|
2700 00 open category |
Other offences |
|
2701 00 |
Other intentional offences |
|
2702 00 |
Other unintentional offences |
|
(1)
Unless otherwise specified in this category, "trafficking" means import, export, acquisition, sale, delivery, movement or transfer.
(2)
For the purposes of this sub-category trafficking includes acquisition, sale, delivery, movement or transfer.
(3)
For the purposes of this sub-category trafficking includes import, export, acquisition, sale, delivery, movement or transfer.
(4)
For example: particularly grave circumstances.
(5)
For example rape with particular cruelty.
(6)
Trafficking includes import, export, acquisition, sale, delivery, movement or transfer. |
|
|
Parameters |
||
|
Level of completion: |
Completed act |
C |
|
Attempt or preparation |
A |
|
|
Non-transmitted element |
Ø |
|
|
Level of participation: |
Perpetrator |
M |
|
Aider and abettor or instigator/organiser, conspirator |
H |
|
|
Non-transmitted element |
Ø |
|
|
Exemption from criminal responsibility: |
Insanity or diminished responsibility |
S |
|
Recidivism |
R |
|
Common table of penalties and measures categories, with a table of parameters, referred to in Article 5(3) and (4) of Chapter 1
|
Code |
Categories and sub-categories of penalties and measures |
|
1000 open category |
Deprivation of freedom |
|
1001 |
Imprisonment |
|
1002 |
Life imprisonment |
|
2000 open category |
Restriction of personal freedom |
|
2001 |
Prohibition from frequenting some places |
|
2002 |
Restriction to travel abroad |
|
2003 |
Prohibition to stay in some places |
|
2004 |
Prohibition from entry to a mass event |
|
2005 |
Prohibition to enter in contact with certain persons through whatever means |
|
2006 |
Placement under electronic surveillance (1) |
|
2007 |
Obligation to report at specified times to a specific authority |
|
2008 |
Obligation to stay/reside in a certain place |
|
2009 |
Obligation to be at the place of residence on the set time |
|
2010 |
Obligation to comply with the probation measures ordered by the court, including the obligation to remain under supervision |
|
3000 open category |
Prohibition of a specific right or capacity |
|
3001 |
Disqualification from function |
|
3002 |
Loss/suspension of capacity to hold or to be appointed to public office |
|
3003 |
Loss/suspension of the right to vote or to be elected |
|
3004 |
Incapacity to contract with public administration |
|
3005 |
Ineligibility to obtain public subsidies |
|
3006 |
Cancellation of the driving licence (2) |
|
3007 |
Suspension of driving licence |
|
3008 |
Prohibition to drive certain vehicles |
|
3009 |
Loss/suspension of the parental authority |
|
3010 |
Loss/suspension of right to be an expert in court proceedings/witness under oath/juror |
|
3011 |
Loss/suspension of right to be a legal guardian (3) |
|
3012 |
Loss/suspension of right of decoration or title |
|
3013 |
Prohibition to exercise professional, commercial or social activity |
|
3014 |
Prohibition from working or activity with minors |
|
3015 |
Obligation to close an establishment |
|
3016 |
Prohibition to hold or to carry weapons |
|
3017 |
Withdrawal of a hunting/fishing license |
|
3018 |
Prohibition to issue cheques or to use payment/credit cards |
|
3019 |
Prohibition to keep animals |
|
3020 |
Prohibition to possess or use certain items other than weapons |
|
3021 |
Prohibition to play certain games/sports |
|
4000 open category |
Prohibition or expulsion from territory |
|
4001 |
Prohibition from national territory |
|
4002 |
Expulsion from national territory |
|
5000 open category |
Personal obligation |
|
5001 |
Submission to medical treatment or other forms of therapy |
|
5002 |
Submission to a social-educational programme |
|
5003 |
Obligation to be under the care/control of the family |
|
5004 |
Educational measures |
|
5005 |
Socio-judicial probation |
|
5006 |
Obligation of training/working |
|
5007 |
Obligation to provide judicial authorities with specific information |
|
5008 |
Obligation to publish the judgment |
|
5009 |
Obligation to compensate for the prejudice caused by the offence |
|
6000 open category |
Penalty on personal property |
|
6001 |
Confiscation |
|
6002 |
Demolition |
|
6003 |
Restoration |
|
7000 open category |
Placing in an institution |
|
7001 |
Placing in a psychiatric institution |
|
7002 |
Placing in a detoxification institution |
|
7003 |
Placing in an educational institution |
|
8000 open category |
Financial penalty |
|
8001 |
Fine |
|
8002 |
Day-fine (4) |
|
8003 |
Fine for the benefit of a special recipient (5) |
|
9000 open category |
Working penalty |
|
9001 |
Community service or work |
|
9002 |
Community service or work accompanied with other restrictive measures |
|
10000 open category |
Military penalty |
|
10001 |
Loss of military rank (6) |
|
10002 |
Expulsion from professional military service |
|
10003 |
Military imprisonment |
|
11000 open category |
Exemption/deferment of sentence/penalty, warning |
|
12000 open category |
Other penalties and measures |
|
(1)
Fixed or mobile placement.
(2)
Reapplication in order to obtain a new driving licence is necessary.
(3)
Legal guardian for a person who is legally incompetent or for a minor.
(4)
Fine expressed in daily units.
(5)
E.g.: for an institution, association, foundation or a victim.
(6)
Military demotion. |
|
|
Parameters (to be specified where applicable) |
|
|
ø |
Penalty |
|
m |
Measure |
|
a |
Suspended penalty/measure |
|
b |
Partially suspended penalty/measure |
|
c |
Suspended penalty/measure with probation/supervision |
|
d |
Partially suspended penalty/measure with probation/supervision |
|
e |
Conversion of penalty/measure |
|
f |
Alternative penalty/measure imposed as principal penalty |
|
g |
Alternative penalty/measure imposed initially in case of non-respect of the principal penalty |
|
h |
Revocation of suspended penalty/measure |
|
i |
Subsequent formation of an overall penalty |
|
j |
Interruption of enforcement/postponement of the penalty/measure (1) |
|
k |
Remission of the penalty |
|
l |
Remission of the suspended penalty |
|
n |
End of penalty |
|
o |
Pardon |
|
p |
Amnesty |
|
q |
Release on parole (liberation of a person before end of the sentence under certain conditions) |
|
r |
Rehabilitation (with or without the deletion of penalty from criminal records) |
|
s |
Penalty or measure specific to minors |
|
t |
Non-criminal ruling (2) |
|
(1)
Does not lead to avoidance of enforcement of penalty.
(2)
This parameter will be indicated only when such information is provided in reply to the request received by the State of nationality of the person concerned. |
|
ANNEX 45
DEFINITION OF TERRORISM
1. Scope
For the purposes of Title IX of Part Three, point (b) of Article 599(3), Article 599(4), point (c) of Article 602(2) and point (a) of Article 670(2) of this Agreement, Annex 43 and Annex 46,"terrorism" means the offences as defined in paragraphs 3 to 14 of this Annex.
2. Definitions of terrorist group and structured group
2.1 "Terrorist group" means a structured group of more than two persons, established for a period of time and acting in concert to commit terrorist offences.
2.2 "Structured group" means a group that is not randomly formed for the immediate commission of an offence and that does not need to have formally defined roles for its members, continuity of its membership or a developed structure.
3. Terrorist offences
3.1 Intentional acts, as defined as offences under domestic law, which, given their nature or context may seriously damage a country or an international organisation where committed with one of the aims listed in paragraph 3.2:
attacks upon a person's life which may cause death;
attacks upon the physical integrity of a person;
kidnapping or hostage-taking;
causing extensive destruction to a government or public facility, a transport system, an infrastructure facility, including an information system, a fixed platform located on the continental shelf, a public place or private property likely to endanger human life or result in major economic loss;
seizure of aircraft, ships or other means of public or goods transport;
manufacture, possession, acquisition, transport, supply or use of explosives or weapons, including chemical, biological, radiological or nuclear weapons, as well as research into, and development of, chemical, biological, radiological or nuclear weapons;
release of dangerous substances, or causing fires, floods or explosions, the effect of which is to endanger human life;
interfering with or disrupting the supply of water, power or any other fundamental natural resource, the effect of which is to endanger human life;
seriously hindering or interrupting the functioning of an information system by inputting computer data, by transmitting, damaging, deleting, deteriorating, altering or suppressing such data, or by rendering such data inaccessible, intentionally and without right, in cases where:
a significant number of information systems have been affected through the use of a tool designed or adapted primarily for that purpose;
the offence causes serious damage;
the offence is committed against a critical infrastructure information system;
deleting, damaging, deteriorating, altering or suppressing computer data on an information system, or rendering such data inaccessible, intentionally and without right, in cases where the offence is committed against a critical infrastructure information system;
threatening to commit any of the acts listed in points (a) to (j).
3.2 The aims referred to in paragraph 3.1 are:
seriously intimidating a population;
unduly compelling a government or an international organisation to perform or abstain from performing any act;
seriously destabilising or destroying the fundamental political, constitutional, economic or social structures of a country or an international organisation.
4. Offences relating to a terrorist group
The following intentional acts:
directing a terrorist group;
participating in the activities of a terrorist group, including by supplying information or material resources, or by funding its activities in any way, with knowledge of the fact that such participation will contribute to the criminal activities of the terrorist group.
5. Public provocation to commit a terrorist offence
The distribution, or otherwise making available by any means, whether online or offline, of a message to the public, with the intent to incite the commission of one of the offences listed in points (a) to (j) of paragraph 3.1 where such conduct, directly or indirectly, such as by the glorification of terrorist acts, advocates the commission of terrorist offences, thereby causing a danger that one or more such offences may be committed when committed intentionally.
6. Recruitment for terrorism
Soliciting another person to commit or contribute to the commission of one of the offences listed in points (a) to (j) of paragraph 3.1, or in paragraph 4 when committed intentionally.
7. Providing training for terrorism
Providing instruction on the making or use of explosives, firearms or other weapons or noxious or hazardous substances, or on other specific methods or techniques, for the purpose of committing, or contributing to the commission of, one of the offences listed in points (a) to (j) of paragraph 3.1, knowing that the skills provided are intended to be used for this purpose when committed intentionally.
8. Receiving training for terrorism
Receiving instruction on the making or use of explosives, firearms or other weapons or noxious or hazardous substances, or on other specific methods or techniques, for the purpose of committing, or contributing to the commission of, one of the offences listed in points (a) to (j) of paragraph 3.1 when committed intentionally.
9. Travelling for the purpose of terrorism
9.1 Travelling to a country other than that State for the purpose of committing, or contributing to the commission of, a terrorist offence as referred to in paragraph 3, for the purpose of the participation in the activities of a terrorist group with knowledge of the fact that such participation will contribute to the criminal activities of such a group as referred to in paragraph 4, or for the purpose of providing or receiving training for terrorism as referred to in paragraphs 7 and 8 when committed intentionally.
9.2 In addition, the following conduct when committed intentionally:
travelling to that State for the purpose of committing, or contributing to the commission of, a terrorist offence as referred to in paragraph 3, for the purpose of the participation in the activities of a terrorist group with knowledge of the fact that such participation will contribute to the criminal activities of such a group as referred to in paragraph 4, or for the purpose of providing or receiving training for terrorism as referred to in paragraphs 7 and 8; or
preparatory acts undertaken by a person entering that State with the intention to commit, or contribute to the commission of, a terrorist offence as referred to in paragraph 3.1.
10. Organising or otherwise facilitating travelling for the purpose of terrorism
Any act of organisation or facilitation that assists any person in travelling for the purpose of terrorism, as referred to in paragraph 9.1 and point (a) of paragraph 9.2, knowing that the assistance thus rendered is for that purpose when committed intentionally.
11. Terrorist financing
11.1 Providing or collecting funds, by any means, directly or indirectly, with the intention that they be used, or in the knowledge that they are to be used, in full or in part, to commit, or to contribute to the commission of, any of the offences referred to in paragraphs 3 to 10 when committed intentionally.
11.2 Where the terrorist financing referred to in paragraph 11.1 concerns any of the offences laid down in paragraphs 3, 4 and 9, it shall not be necessary that the funds be in fact used, in full or in part, to commit, or to contribute to the commission of, any of those offences, nor shall it be required that the offender knows for which specific offence or offences the funds are to be used.
12. Other offences related to terrorist activities
The following intentional acts:
aggravated theft with a view to committing one of the offences listed in paragraph 3;
extortion with a view to committing one of the offences listed in paragraph 3;
drawing up or using false administrative documents with a view to committing one of the offences listed points (a) to (j) of paragraph 3.1, point (b) of paragraph 4, and paragraph 9.
13. Relationship to terrorist offences
For an offence referred to in paragraphs 4 to 12 to be considered terrorism as referred to in paragraph 1, it shall not be necessary that a terrorist act be actually committed, nor shall it be necessary, insofar as the offences referred to in paragraphs 5 to 10 and 12 are concerned, to establish a link to another specific offence laid down in this Annex.
14. Aiding and abetting, inciting and attempting
The following acts:
aiding and abetting an offence referred to in paragraphs 3 to 8, 11 and 12;
inciting an offence referred to in paragraphs 3 to 12; and
attempting to commit an offence referred to in paragraphs 3, 6 and 7, paragraph 9.1, point (a) of paragraph 9.2, and paragraphs 11 and 12, with the exception of possession as provided for in point (f) of paragraph 3.1 and the offence referred to in point (k) of paragraph 3.1.
ANNEX 46
FREEZING AND CONFISCATION
Freezing / Provisional Measures Request Form
SECTION A
Requesting State: …
Requested State: …
SECTION B: Urgency
Grounds for urgency and/or requested date of execution:
Time limits for execution of the freezing request are set out in Article 663 of the Agreement. However, if a shorter or specific time limit is necessary, please provide the date and explain the reason for this:
SECTION C: Relevant persons
State all information, as far as known, regarding the identity of the (1) natural or (2) legal person(s) concerned in the freezing request or of the person(s) that owns/own the property that is covered by the freezing request (if more than one person is concerned, please provide the information for each person):
Natural person:
Legal person:
Third parties:
Third parties whose rights in relation to the property that is covered by the freezing request are directly prejudiced by the request (identity and grounds), if applicable:
In case third parties have had the opportunity to claim rights, attach documents demonstrating that this has been the case.
Provide any other information that will assist with the execution of the freezing request:
SECTION D: Relevant Property
State all information, as far as known, regarding the assets subject of the freezing request. Please provide details of all property and individual items where applicable:
If relating to an amount of money:
Grounds for believing that the person has property/income in the requested State
Description and location of the property/source of income of that person
Exact location of the property/source of income of that person
Details of the bank account of that person (if known)
If the freezing request concerns specific item(s) of property (or property of equivalent value to such property):
Grounds for believing that the specific item(s) of property is located in the requested State
Description and location of the specific item(s) of property
Other relevant information
Total amount requested for freezing or execution in the requested State (in figures and words, indicate currency):
SECTION E: Grounds for request or issuing freezing order (if applicable)
Summary of the facts:
Set out the reasons for the freezing request or why the order has been issued, including a summary of the underlying facts and grounds for freezing, a description of the criminal offence(s) charged, under investigation or subject to proceedings, the stage the investigation or proceedings have reached, the reasons for any risk factors and any other relevant information.
Nature and legal classification of the criminal offence(s) in relation to which the freezing request relates or the order was issued and the applicable legal provision(s).
The following applies only in the case(s) where both the requesting and requested State have made a notification under Article 670(2) of the Agreement: if applicable, tick one or more of the following offences, as defined by the law of the requesting State, punishable in the requesting State by a custodial sentence or detention order for a maximum period of at least three years. Where the freezing request or order concerns several criminal offences, please indicate numbers in the list of criminal offences below (corresponding to the criminal offences as described under points 1 and 2 above):
participation in a criminal organisation
terrorism as defined in Annex 45
trafficking in human beings
sexual exploitation of children and child pornography
illicit trafficking in narcotic drugs and psychotropic substances
illicit trafficking in weapons, munitions and explosives
corruption, including bribery
fraud, including that affecting the financial interests of the United Kingdom, a Member State or the Union
laundering of the proceeds of crime
counterfeiting currency
computer-related crime
environmental crime, including illicit trafficking in endangered animal species and endangered plant species and varieties
facilitation of unauthorised entry and residence
murder
grievous bodily injury
illicit trade in human organs and tissue
kidnapping, illegal restraint and hostage-taking
racism and xenophobia
organised or armed robbery
illicit trafficking in cultural goods, including antiques and works of art
swindling
racketeering and extortion
counterfeiting and piracy of products
forgery of administrative documents and trafficking therein
forgery of means of payment
illicit trafficking in hormonal substances and other growth promoters
illicit trafficking in nuclear or radioactive materials
trafficking in stolen vehicles
rape
arson
crimes within the jurisdiction of the International Criminal Court
unlawful seizure of aircraft, ships or spacecraft
sabotage
Any other relevant information (e.g. relation between the property and the criminal offence):
SECTION F: Confidentiality
Need to maintain the information in the request confidential after execution:
Need for specific formalities at the time of execution:
SECTION G: Requests to more than one State
Where a freezing request has been transmitted to more than one State, provide the following information:
A freezing request has been transmitted to the following other State(s) (State and authority):
Please indicate the reasons for transmitting freezing requests to multiple States:
Value of assets, if known, in each requested State:
Please indicate any specific needs:
SECTION H: Relation to earlier freezing requests or orders
If applicable, provide information relevant to identify previous or related freezing requests:
Date of request or issue and transmission of order:
Authority to which it was transmitted:
Reference given by the issuing and executing authorities:
SECTION I: Confiscation
This freezing request is accompanied by a confiscation order issued in the requesting State (reference number of the confiscation order):
Yes, reference number:
No
The property shall remain frozen in the requested State pending the transmission and execution of the confiscation order (estimated date for submission of the confiscation order, if possible):
SECTION J: Legal remedies (if applicable)
Please indicate if a legal remedy can be sought in the requesting State against the issuing of a freezing request/order, and if so please provide further details (description of the legal remedy, including necessary steps to take and deadlines):
SECTION K: Issuing Authority
If there is a freezing order in the requesting state upon which this freezing request is based, please provide the following details:
Type of issuing authority:
judge, court, public prosecutor
another competent authority designated by the requesting State
Contact details:
Signature of the issuing authority and/or its representative certifying the content of the Freezing/Provisional Measures Request Form as accurate and correct:
SECTION L: Validating Authority
Please indicate the type of authority which has validated the Freezing/Provisional Measures Request Form, if applicable:
judge, court, public prosecutor
another competent authority designated by the requesting State
SECTION M: Central Authority
Please indicate the central authority responsible for the administrative transmission and receipt of freezing requests in the requesting State:
SECTION N: Further information
1. Please indicate if the main contact point in the requesting State should be the:
issuing authority
competent authority
central authority
2. If different from above, please provide the contact details of the person(s) to contact for additional information regarding this freezing request:
SECTION O: Annexes
The original or duly authenticated copy of the freezing order must be provided with the Freezing/Provisional Measures Request Form if a freezing order has been issued in the requesting State.
Confiscation Request Form
SECTION A
Requesting State: …
Requested State: …
SECTION B: Confiscation order
Date of issue: …
Date order became final: …
Reference number: …
Total amount of order in figures and words, indicate currency
Amount requested for execution in requested State, or if specific type(s) of property, description and location of property
Please provide details of the court findings in relation to the confiscation order:
property is the proceeds of an offence, or equivalent to the full or part of the value of such proceeds
property constitutes instrumentalities of such an offence
property is liable to extended confiscation
property is subject to confiscation under any other provisions relating to powers of confiscation, including confiscation without a final conviction, under the law of the requesting State following proceedings in relation to a criminal offence
SECTION C: Affected persons
State all information, as far as known, regarding the identity of the (1) natural or (2) legal person(s) affected by the confiscation request (if more than one person is concerned, please provide the information for each person):
Natural person:
Legal person:
Third parties:
Third parties whose rights in relation to the property that is covered by the confiscation request are directly prejudiced by the request (identity and grounds), if known/applicable:
In case third parties have had the opportunity to claim rights, attach documents demonstrating that this has been the case.
Provide any other information that will assist with the execution of the confiscation request:
SECTION D: Affected Property
State all information, as far as known, regarding the assets subject to the confiscation. Please provide details of all property and individual items where applicable:
If relating to amount of money:
Grounds for believing that the person has property/income in the requested State:
Description and location of the property/source of income:
If the request concerns specific item(s) of property:
Grounds for believing that the specific item(s) of property is/are located in the requested State:
Description and location of the specific item(s) of property:
Value of property:
Total amount of request (approximate amount):
Total amount requested for execution in the requested State (approximate amount):
If specific type(s) of property, description and location of property:
SECTION E: Grounds for confiscation
Summary of the facts:
Set out the reasons why a confiscation order has been issued, including a summary of the underlying facts and grounds for confiscation, a description of offences, the reasons for any risk factors and any other relevant information (such as date, place and circumstances of the offence):
Nature and legal classification of the offence(s) in relation to which the confiscation order was issued and the applicable legal provision(s):
The following applies only in the case where both the requesting and requested State have made a notification under Article 670(2) of the Agreement: if applicable, tick one or more of the following offences, as defined by the law of the requesting State, punishable in the requesting State by a custodial sentence or detention order for a maximum period of at least three years. Where the confiscation order concerns several criminal offences, please indicate numbers in the list of criminal offences below (corresponding to the criminal offences as described under points 1 and 2 above):
participation in a criminal organisation
terrorism as defined in Annex 45
trafficking in human beings
sexual exploitation of children and child pornography
illicit trafficking in narcotic drugs and psychotropic substances
illicit trafficking in weapons, munitions and explosives
corruption, including bribery
fraud, including that affecting the financial interests of the United Kingdom, a Member State or the Union
laundering of the proceeds of crime
counterfeiting currency
computer-related crime
environmental crime, including illicit trafficking in endangered animal species and endangered plant species and varieties
facilitation of unauthorised entry and residence
murder
grievous bodily injury
illicit trade in human organs and tissue
kidnapping, illegal restraint and hostage-taking
racism and xenophobia
organised or armed robbery
illicit trafficking in cultural goods, including antiques and works of art
swindling
racketeering and extortion
counterfeiting and piracy of products
forgery of administrative documents and trafficking therein
forgery of means of payment
illicit trafficking in hormonal substances and other growth promoters
illicit trafficking in nuclear or radioactive materials
trafficking in stolen vehicles
rape
arson
crimes within the jurisdiction of the International Criminal Court
unlawful seizure of aircraft, ships or spacecraft
sabotage
Any other relevant information (e.g. relation between the property and the criminal offence):
SECTION F: Confidentiality
Need to maintain the information in the request or part of it confidential
Please indicate any relevant information:
SECTION G: Requests to more than one State
Where a confiscation request has been transmitted to more than one State, provide the following information:
A confiscation request has been transmitted to the following other State(s) (State and authority):
Reasons for transmitting confiscation request to multiple States (select appropriate reasons):
If a request concerns specific items of property:
Different items of property covered by the request are believed to be located in different States
The confiscation request relates to a specific item of property and requires action in more than one State
If the confiscation request concerns an amount of money:
The estimated value of the property which may be confiscated in the requesting State and in any one requested State is not likely to be sufficient to cover the full amount set out in the order
Other specific needs:
Value of assets, if known, in each requested State:
If confiscation of the specific item(s) of property requires action in more than one State, description of the action to be taken in the requested State:
SECTION H: Conversion and transfer of property
1. If the confiscation request concerns a specific item of property, confirm whether the requesting State allows for the confiscation in the requested State to take the form of a requirement to pay a sum of money corresponding to the value of the property:
Yes
No
2. If the confiscation concerns an amount of money, state whether property, other than money obtained from the execution of the confiscation request, may be transferred to the requesting State:
Yes
No
SECTION I: Imprisonment in default or other measures restricting the liberty of a person
Please indicate whether the requesting State allows for the application by the requested State of imprisonment in default or other measures restricting the liberty of a person where it is not possible to execute the confiscation request, either wholly or partially:
Yes
No
SECTION J: Restitution or victim compensation
1. Please indicate, where relevant:
An issuing authority or another competent authority of the requesting State has issued a decision to compensate the victim with, or restitute to the victim, the following sum of money:
An issuing authority or another competent authority of the requesting State has issued a decision to restitute the following property other than money to the victim:
2. Details of the decision to restitute property to, or compensate, the victim:
SECTION K: Legal remedies
Please indicate if a legal remedy has already been sought against the issuing of a confiscation order, and if so please provide further details (description of the legal remedy, including necessary steps to take and deadlines):
SECTION L: Issuing Authority
Please provide details on the authority which issued the confiscation request in the requesting State:
Type of the issuing authority:
judge, court, public prosecutor
another competent authority designated by the requesting State
Contact details:
Signature of the issuing authority and/or its representative certifying the content of the Confiscation Request Form as accurate and correct:
SECTION M: Validating Authority
Please indicate the type of authority which has validated the Confiscation Request Form, if applicable:
judge, court, public prosecutor
another competent authority designated by the issuing State
SECTION N: Central Authority
Please indicate the central authority responsible for the administrative transmission and receipt of the Confiscation Request Form in the requesting State:
SECTION O: Further information
1. Please indicate if the main contact point in the requesting State should be the:
issuing authority
competent authority
central authority
2. If different from above, please provide the contact details of the person(s) to contact for additional information regarding this Confiscation Request Form:
SECTION P: Annexes
The original or duly authenticated copy of the confiscation order must be provided with the Confiscation Request Form.
ANNEX 47
IMPLEMENTATION OF THE FINANCIAL CONDITIONS
1. The Commission shall communicate to the United Kingdom, as soon as possible and at the latest on 16 April of the financial year, the following information for each Union programme, activity, or part thereof, in which the United Kingdom participates:
the amounts in commitment appropriations in the Union budget definitively adopted for the year in question for the budget lines covering participation of the United Kingdom in accordance with the Protocol referred to in Article 710 of this Agreement and, if relevant, the amount of external assigned revenue appropriations that do not result from financial contribution from other donors on these budget lines;
the amount of the participation fee referred to in Article 714(4) of this Agreement;
from year N + 1 of implementation of a programme included in the Protocol referred to in Article 710 of this Agreement, the implementation of commitment appropriations corresponding to budgetary year N and the level of decommitment;
for programmes to which Article 716 of this Agreement applies, for the part of the programmes where such information is necessary to calculate the automatic correction, the level of commitments entered into in favour of United Kingdom entities broken down according to the corresponding year of budgetary appropriations and the related total level of commitments.
On the basis of its Draft Budget, the Commission shall provide an estimate of information under points (a) and (b) as soon as possible, and, at the latest, by 1 September of the financial year.
2. The Commission shall issue, at the latest on 16 April and on 16 July of each financial year, a call for funds to the United Kingdom that corresponds to the contribution of the United Kingdom under this Agreement for each of the programmes, activities, or parts thereof, in which the United Kingdom participates.
3. The United Kingdom shall pay the amount indicated in the call for funds at the latest 60 days after the call for funds is issued. The United Kingdom may make separate payments for each programme and activity.
▼M3 —————
4. The call for funds for a given year shall have the value established by dividing the annual amount calculated in application of Article 714 of this Agreement, including any adjustment under Article 714(8), Article 716 or 717 of this Agreement, by the number of calls for funds for that year pursuant to paragraph 2 of this Annex.
▼M3 —————
►M3 5. ◄ The Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council ( 161 ) ("Financial Regulation") applicable to the general budget of the European Union shall apply to the management of the appropriations.
►M3 6. ◄ In the absence of payment by the United Kingdom by the due date, the Commission shall send a formal letter of reminder.
Any delay in the payment of the contribution shall give rise to the payment of default interest by the United Kingdom on the outstanding amount as from the due date until the day on which that outstanding amount is paid in full.
The interest rate for amounts receivable but not paid on the due date shall be the rate applied by the European Central Bank to its principal refinancing operations, as published in the C series of the Official Journal of the European Union, in force on the first day of the month in which the due date falls, or 0 per cent, whichever is higher, plus three and a half percentage points.
ANNEX 48
RULES OF PROCEDURE FOR DISPUTE SETTLEMENT
I. Definitions
1. For the purposes of Title I of Part Six of this Agreement and of these Rules of Procedure, the following definitions apply:
"administrative staff", in respect of an arbitrator, means individuals under the direction and control of an arbitrator, other than assistants;
"adviser" means an individual retained by a Party to advise or assist that Party in connection with the arbitration proceedings;
"arbitration tribunal" means a tribunal established under Article 740 of this Agreement;
"arbitrator" means a member of the arbitration tribunal;
"assistant" means an individual who, under the terms of appointment and under the direction and control of an arbitrator, conducts research or provides assistance to that arbitrator;
"complaining Party" means any Party that requests the establishment of an arbitration tribunal under Article 739 of this Agreement;
"registry" means an external body with relevant expertise appointed by the Parties to provide administrative support for the proceedings;
"respondent Party" means the Party that is alleged to be in violation of the covered provisions; and
"representative of a Party" means an employee or any individual appointed by a government department, agency or any other public entity of a Party who represents the Party for the purposes of a dispute under this Agreement or any supplementing agreement.
II. Notifications
2. Any request, notice, written submission or other document of:
the arbitration tribunal shall be sent to both Parties at the same time;
a Party, which is addressed to the arbitration tribunal, shall be copied to the other Party at the same time; and
a Party, which is addressed to the other Party, shall be copied to the arbitration tribunal at the same time, as appropriate.
3. Any notification referred to in rule 2 shall be made by e-mail or, where appropriate, any other means of telecommunication that provides a record of the sending thereof. Unless proven otherwise, such notification shall be deemed to be delivered on the date of its sending.
4. All notifications shall be addressed to the Legal Service of the European Commission and to the Legal Adviser of the Foreign, Commonwealth & Development Office of the United Kingdom, respectively.
5. Minor errors of a clerical nature in a request, notice, written submission or other document related to the arbitration tribunal proceedings may be corrected by delivery of a new document clearly indicating the changes.
6. If the last day for delivery of a document falls on a non-working day of the institutions of the Union or of the government of the United Kingdom, the time period for the delivery of the document shall end on the first following working day.
III. Appointment of arbitrators
7. If pursuant to Article 740 of this Agreement, an arbitrator is selected by lot, the co-chair of the Partnership Council of the complaining Party shall promptly inform the co-chair of the respondent Party of the date, time and venue of the lot. The respondent Party may, if it so chooses, be present during the lot. In any event, the lot shall be carried out with the Party or Parties that are present.
8. The co-chair of the complaining Party shall notify, in writing, each individual who has been selected to serve as an arbitrator of his or her appointment. Each individual shall confirm his or her availability to both Parties within five days from the date on which he or she was informed of his or her appointment.
9. The co-chair of the Partnership Council of the complaining Party shall select by lot the arbitrator or chairperson, within five days from the expiry of the time period referred to in Article 740(2) of this Agreement, if any of the sub-lists referred in Article 752(1) of this Agreement:
is not established, amongst those individuals who have been formally proposed by one or both Parties for the establishment of that particular sub-list; or
no longer contains at least five individuals, amongst those individuals who remain on that particular sub-list.
10. The Parties may appoint a registry to assist in the organisation and conduct of specific dispute settlement proceedings on the basis of ad-hoc arrangements or on the basis of arrangements adopted by the Partnership Council pursuant to Article 759 of this Agreement. To that end, the Partnership Council shall consider no later than 180 days after the entry into force of this Agreement whether there are any necessary amendments to these Rules of Procedure.
IV. Organisational Meeting
11. Unless the Parties agree otherwise, they shall meet the arbitration tribunal within seven days of its establishment in order to determine such matters that the Parties or the arbitration tribunal deem to be appropriate, including:
if not determined earlier, the remuneration and expenses to be paid to the arbitrators, which shall in any case be in accordance with WTO standards;
the remuneration to be paid to assistants; the total amount of the remuneration of an assistant or assistants of each arbitrator shall not exceed 50 % of the remuneration of that arbitrator;
the timetable of the proceedings; and
ad-hoc procedures to protect confidential information.
Arbitrators and representatives of the Parties may take part in this meeting via telephone or video conference.
V. Written Submissions
12. The complaining Party shall deliver its written submission no later than 20 days after the date of establishment of the arbitration tribunal. The respondent Party shall deliver its written submission no later than 20 days after the date of delivery of the written submission of the complaining Party.
VI. Operation of the arbitration tribunal
13. The chairperson of the arbitration tribunal shall preside at all its meetings. The arbitration tribunal may delegate to the chairperson the authority to make administrative and procedural decisions.
14. Unless otherwise provided in Title I of Part Six of this Agreement or in these Rules of Procedure, the arbitration tribunal may conduct its activities by any means, including telephone, facsimile transmissions or computer links.
15. Only arbitrators may take part in the deliberations of the arbitration tribunal, but the arbitration tribunal may permit their assistants to be present at its deliberations.
16. The drafting of any ruling, decision and report shall remain the exclusive responsibility of the arbitration tribunal and shall not be delegated.
17. Where a procedural question arises that is not covered by Title I of Part Six of this Agreement and its Annexes, the arbitration tribunal, after consulting the Parties, may adopt an appropriate procedure that is compatible with those provisions.
18. When the arbitration tribunal considers that there is a need to modify any of the time periods for the proceedings other than the time periods set out in Title I of Part Six of this Agreement or to make any other procedural or administrative adjustment, it shall inform the Parties, in writing and after consultation of the Parties, of the reasons for the change or adjustment and of the time period or adjustment needed.
VII. Replacement
19. When a Party considers that an arbitrator does not comply with the requirements of Annex 49 and for that reason should be replaced, that Party shall notify the other Party within 15 days from when it obtained sufficient evidence of the arbitrator's alleged failure to comply with the requirements of that Annex.
20. The Parties shall consult within 15 days of the notification referred to in rule 19. They shall inform the arbitrator of his or her alleged failure and they may request the arbitrator to take steps to ameliorate the failure. They may also, if they so agree, remove the arbitrator and select a new arbitrator in accordance with Article 740 of this Agreement.
21. If the Parties fail to agree on the need to replace the arbitrator, other than the chairperson of the arbitration tribunal, either Party may request that this matter be referred to the chairperson of the arbitration tribunal, whose decision shall be final.
If the chairperson of the arbitration tribunal finds that the arbitrator does not comply with the requirements of Annex 49, the new arbitrator shall be selected in accordance with Article 740 of this Agreement.
22. If the Parties fail to agree on the need to replace the chairperson, either Party may request that this matter be referred to one of the remaining members of the pool of individuals from the sub-list of chairpersons established under Article 752 of this Agreement. His or her name shall be drawn by lot by the co-chair of the Partnership Council from the requesting Party, or the chair's delegate. The decision by the selected person on the need to replace the chairperson shall be final.
If this person finds that the chairperson does not comply with the requirements of Annex 49, the new chairperson shall be selected in accordance with Article 740 of this Agreement.
VIII. Hearings
23. On the basis of the timetable determined pursuant to rule 11, after consulting with the Parties and the other arbitrators, the chairperson of the arbitration tribunal shall notify the Parties of the date, time and venue of the hearing. That information shall be made publicly available by the Party in which the hearing takes place, unless the hearing is closed to the public.
24. Unless the Parties agree otherwise, the hearing shall be held in London if the complaining Party is the Union and in Brussels if the complaining Party is the United Kingdom. The respondent Party shall bear the expenses derived from the logistical administration of the hearing.
25. The arbitration tribunal may convene additional hearings if the Parties so agree.
26. All arbitrators shall be present during the entirety of the hearing.
27. Unless the Parties agree otherwise, the following persons may attend the hearing, irrespective of whether the hearing is open to the public or not:
representatives of a Party;
advisers;
assistants and administrative staff;
interpreters, translators and court reporters of the arbitration tribunal; and
experts, as decided by the arbitration tribunal pursuant to Article 751(2) of this Agreement.
28. No later than five days before the date of a hearing, each Party shall deliver to the arbitration tribunal and to the other Party a list of the names of persons who will make oral arguments or presentations at the hearing on behalf of that Party and of other representatives and advisers who will be attending the hearing.
29. The arbitration tribunal shall conduct the hearing in the following manner, ensuring that the complaining Party and the respondent Party are afforded equal time in both argument and rebuttal argument:
argument of the complaining Party;
argument of the respondent Party.
reply of the complaining Party;
counter-reply of the respondent Party.
30. The arbitration tribunal may direct questions to either Party at any time during the hearing.
31. The arbitration tribunal shall arrange for a transcript of the hearing to be prepared and delivered to the Parties as soon as possible after the hearing. The Parties may comment on the transcript and the arbitration tribunal may consider those comments.
32. Each Party may deliver a supplementary written submission concerning any matter that arises during the hearing within 10 days after the date of the hearing.
IX. Questions in Writing
33. The arbitration tribunal may at any time during the proceedings submit questions in writing to one or both Parties. Any questions submitted to one Party shall be copied to the other Party.
34. Each Party shall provide the other Party with a copy of its responses to the questions submitted by the arbitration tribunal. The other Party shall have an opportunity to provide comments in writing on the Party's responses within five days after the delivery of such copy.
X. Confidentiality
35. Each Party and the arbitration tribunal shall treat as confidential any information submitted by the other Party to the arbitration tribunal that the other Party has designated as confidential. When a Party submits to the arbitration tribunal a written submission which contains confidential information, it shall also provide, within 15 days, a submission without the confidential information which shall be disclosed to the public.
36. Nothing in these Rules of Procedure shall preclude a Party from disclosing statements of its own positions to the public to the extent that, when making reference to information submitted by the other Party, it does not disclose any information designated by the other Party as confidential.
37. The arbitration tribunal shall hold the relevant parts of the session in private when the submission and arguments of a Party contains confidential information. The Parties shall maintain the confidentiality of the arbitration tribunal hearings when the hearings are held in closed session.
XI. Ex parte contacts
38. The arbitration tribunal shall not meet or communicate with a Party in the absence of the other Party.
39. An arbitrator shall not discuss any aspect of the subject matter of the proceedings with a Party or both Parties in the absence of the other arbitrators.
XII. Amicus curiae submissions
40. Unless the Parties agree otherwise within five days of the date of the establishment of the arbitration tribunal, the arbitration tribunal may receive unsolicited written submissions from natural persons of a Party or legal persons established in the territory of a Party that are independent from the governments of the Parties, provided that they:
are received by the arbitration tribunal within 10 days of the date of the establishment of the arbitration tribunal;
are concise and in no case longer than 15 pages, including any annexes, typed at double space;
are directly relevant to a factual or a legal issue under consideration by the arbitration tribunal;
contain a description of the person making the submission, including for a natural person his or her nationality and for a legal person its place of establishment, the nature of its activities, its legal status, general objectives and its source of financing;
specify the nature of the interest that the person has in the arbitration proceedings; and
are drafted in English.
41. The submissions shall be delivered to the Parties for their comments. The Parties may submit comments, within 10 days of the delivery, to the arbitration tribunal.
42. The arbitration tribunal shall list in its report all the submissions it has received pursuant to rule 40. The arbitration tribunal shall not be obliged to address in its report the arguments made in such submissions, however, if it does, it shall also take into account any comments made by the Parties pursuant to rule 41.
XIII. Urgent cases
43. In cases of urgency referred to in Article 744 of this Agreement, the arbitration tribunal, after consulting the Parties, shall adjust, as appropriate, the time periods referred to in these Rules of Procedure. The arbitration tribunal shall notify the Parties of such adjustments.
XIV. Translation and interpretation
44. The language of proceedings before the arbitration tribunal shall be English. Rulings, reports and decisions of the arbitration tribunal shall be issued in English.
45. Each party shall bear its own costs of the translation of any documents submitted to the arbitration tribunal which are not originally drafted in English, as well as any costs relating to interpretation during the hearing related to its representatives or advisers.
XV. Other Procedures
46. The time periods laid down in these Rules of Procedure shall be adjusted in accordance with the special time periods provided for the adoption of a report or decision by the arbitration tribunal in the proceedings provided for in Articles 747 to 750 of this Agreement.
ANNEX 49
CODE OF CONDUCT FOR ARBITRATORS
I. Definitions
1. For the purposes of this Code of Conduct, the following definitions apply:
"administrative staff" means, in respect of an arbitrator, individuals under the direction and control of an arbitrator, other than assistants;
"arbitrator" means a member of an arbitration tribunal;
"assistant" means an individual who, under the terms of appointment of an arbitrator, conducts research or provides assistance to that arbitrator; and
"candidate" means an individual whose name is on a list of arbitrators referred to in Article 752 of this Agreement or who is under consideration for selection as an arbitrator under Article 740 of this Agreement.
II. Governing Principles
2. In order to preserve the integrity and impartiality of the dispute settlement mechanism, each candidate and arbitrator shall:
get acquainted with this Code of Conduct;
be independent and impartial;
avoid direct or indirect conflicts of interest;
avoid impropriety and the appearance of impropriety or bias;
observe high standards of conduct; and
not be influenced by self-interest, outside pressure, political considerations, public clamour, and loyalty to a Party or fear of criticism.
3. An arbitrator shall not, directly or indirectly, incur any obligation or accept any benefit that would in any way interfere, or appear to interfere, with the proper performance of his or her duties.
4. An arbitrator shall not use his or her position on the arbitration tribunal to advance any personal or private interests. An arbitrator shall avoid actions that may create the impression that others are in a special position to influence him or her.
5. An arbitrator shall not allow past or existing financial, business, professional, personal, or social relationships or responsibilities to influence his or her conduct or judgement.
6. An arbitrator shall avoid entering into any relationship or acquiring any financial interest that is likely to affect his or her impartiality or that might reasonably create an appearance of impropriety or bias.
III. Disclosure obligations
7. Prior to the acceptance of his or her appointment as an arbitrator under Article 740 of this Agreement, a candidate requested to serve as an arbitrator shall disclose any interest, relationship or matter that is likely to affect his or her independence or impartiality or that might reasonably create an appearance of impropriety or bias in the proceedings. To that end, a candidate shall make all reasonable efforts to become aware of any such interests, relationships and matters, including financial interests, professional interests, or employment or family interests.
8. The disclosure obligation under paragraph 7 is a continuing duty which requires an arbitrator to disclose any such interests, relationships or matters that may arise during any stage of the proceedings.
9. A candidate or an arbitrator shall communicate to the Partnership Council for consideration by the Parties any matters concerning actual or potential violations of this Code of Conduct at the earliest time he or she becomes aware of them.
IV. Duties of Arbitrators
10. Upon acceptance of his or her appointment, an arbitrator shall be available to perform and shall perform his or her duties thoroughly and expeditiously throughout the proceedings, and with fairness and diligence.
11. An arbitrator shall consider only the issues raised in the proceedings and which are necessary for a decision and shall not delegate that duty to any other person.
12. An arbitrator shall take all appropriate steps to ensure that his or her assistants and administrative staff are aware of, and comply with, the obligations incurred by arbitrators under Parts II, III, IV and VI of this Code of Conduct.
V. Obligations of Former Arbitrators
13. Each former arbitrator shall avoid actions that may create the appearance that he or she was biased in carrying out the duties or derived advantage from the decision of the arbitration tribunal.
14. Each former arbitrator shall comply with the obligations in Part VI of this Code of Conduct.
VI. Confidentiality
15. An arbitrator shall not, at any time, disclose any non-public information concerning the proceedings or acquired during the proceedings for which he or she has been appointed. An arbitrator shall not, in any case, disclose or use such information to gain personal advantage or advantage for others or to adversely affect the interests of others.
16. An arbitrator shall not disclose a decision of the arbitration tribunal or parts thereof prior to its publication in accordance with Title I of Part Six of this Agreement.
17. An arbitrator shall not, at any time, disclose the deliberations of an arbitration tribunal, or any arbitrator's view, nor make any statements on the proceedings for which he or she has been appointed or on the issues in dispute in the proceedings.
VII. Expenses
18. Each arbitrator shall keep a record and render a final account of the time devoted to the proceedings and of his or her expenses, as well as the time and expenses of his or her assistants and administrative staff.
ANNEX 50
REQUEST FOR MUTUAL ASSISTANCE IN CRIMINAL MATTERS
This form shall be used by the competent authorities to which it applies under the Trade and Cooperation Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland.
The information provided must be relevant and not go beyond what is necessary to execute this request, in line with relevant data protection requirements.
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SECTION A Case Reference: … Requesting State: … Requesting Authority: … Requested State: … Requested Authority (if known): … |
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SECTION B: Urgency Please indicate if there is any urgency due to: □ Evidence being concealed or destroyed □ Imminent trial date □ A person in custody □ Period of statute of limitations expiring □ Any other reason Please specify below: … Time limits for execution of the request are laid down in the Trade and Cooperation Agreement Article 640. However, if this request is urgent and / or requires action by/on a specific date, please specify and explain the reason for this: … … |
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SECTION C: Confidentiality □ This request is confidential Please provide additional information where relevant: … … |
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SECTION D: Relation to an earlier or simultaneous request for assistance Please identify any actions undertaken in these or related proceedings to seek this evidence via other routes, where applicable. Please indicate whether this request for mutual assistance supplements an earlier or any simultaneous request/requests for assistance to the Requested State and, if relevant, to another State. □ Previous engagement with law enforcement authorities, prosecutors or other authorities Provide details of any prior contact by the requesting State including the name of the State, the authority contacted, relevant contact details and any case reference numbers: … … … □ Previous related or simultaneous request for mutual assistance or European Investigation Order Provide information relevant to identify the other requests including the name of the State, the authority to which it was transmitted, the date of request, and reference numbers given by the requesting and requested authorities: .… … … □ Other If relevant, provide information related to this other request for assistance: … … … |
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SECTION E: Grounds for the request 1. Classification of the offence(s) To ensure this request is sent to the appropriate body, what is the nature and legal classification of the offence(s) for which the request is made: … … … Please provide the maximum penalty, the statute of limitation and if applicable, the text of the statutory provision/code including the relevant provisions relating to penalties: … … 2. Summary of the facts Description of the conduct giving rise to the offence(s) in respect of which assistance is sought and a summary of underlying facts: … … … For service of procedural documents and judicial decisions, please provide a short summary of the document(s) and/or decision(s) to be served, if it is not available in the language of the requested State: … … For other requests, please describe how the evidence/measure sought can help to investigate and prosecute the offence(s): … … Stage of investigation/proceedings: □ investigation □ prosecution □ trial □ other, specify: … … … Description of risks associated with obtaining this evidence, if applicable: … … … Any other information which the requesting State considers useful to the executing authority in executing the request for assistance, if applicable: … … … 3. Is this offence a Driving Offence referred to in Article 640(6) of the Trade and Cooperation Agreement: □ Yes □ No 4. Type of proceedings for which the request is issued: □ proceedings in respect of offences the punishment of which, at the time of the request for assistance, falls within the jurisdiction of the judicial authorities of the requesting State □ proceedings brought by administrative authorities in respect of acts which are punishable under the national law of the requesting or the requested State by virtue of being infringements of the rules of law, where the decision may give rise to proceedings before a court having jurisdiction in particular in criminal matters. |
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SECTION F: Identity of the natural or legal persons concerned Please only provide information that is relevant and does not go beyond what is necessary for this request. If more than one person is concerned, please provide the information for each person. 1. State all information, as far as known, regarding the identity of the person(s) concerned by the measure: (i) In the case of natural person(s) Name: … First name(s): … Other relevant name(s), if applicable: … Aliases, if applicable: … Sex: … Nationality: … Identity number or social security number: … Type and number of the identity document(s) (ID card, passport), if available: … Date of birth: … Place of birth: … Residence and/or known address; if address not known, state the last known address: … Workplace (including contact details):… Other contact details (email, phone No): …. Language(s) which the person understands:…. Please describe the position the concerned person currently holds in the proceedings: □ Suspected or accused person □ Victim □ Witness □ Expert □ Third Party Other (Please specify): … |
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(ii) In the case of legal person(s) Name: … Form of legal person: … Shortened name, commonly used name or trading name, if applicable: … Registered seat/office: … Registration number: … Address of the legal person: … Other contact details (email, phone No): …. Name of the legal person’s representative: … Please describe the position the concerned person currently holds in the proceedings: □ Suspected or accused person □ Victim □ Witness □ Expert □ Third Party □ Other (Please specify): … 2. Any other relevant information: … … |
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SECTION G: Measure required 1. Please specify the measure required: □ Search and seizure (If ticked section H1 must be completed) □ Provision of documents and/or business records □ Provision of banking materials or information from other financial institutions (If ticked section H2 must be completed) □ Service of procedural documents and judicial decisions with assistance of requested State □ Obtaining information or evidence which is already in the possession of the requested State □ Obtaining information contained in databases held by police or judicial authorities □ Statements and Hearings (If ticked Section F (Identity of the natural or legal persons concerned) and Section I (Formalities and procedures requested for the execution), must be completed): □ witness □ expert □ suspected or accused person □ victim □ third party □ Hearing by videoconference, telephone conference or other audio-visual transmission. (If ticked section H4 must be completed): □ witness □ expert □ suspected or accused person □ victim □ third party □ Obtaining subscriber / entity data (If ticked section H3 must be completed) □ Obtaining traffic / events (including location) data (If ticked section H3 must be completed) □ Obtaining content data (If ticked section H3 must be completed) □ Investigative measure implying the gathering of evidence in real time, continuously and over a certain period of time: □ monitoring of banking or other financial operations □ controlled deliveries □ other (If so please specify):… □ Provisional measure(s) for the purpose of preserving evidence, maintaining an existing situation or protecting endangered legal interests (If ticked section H5 must be completed) □ Temporary transfer of a person held in custody to the requesting State (If ticked section H6 must be completed) □ Temporary transfer of a person held in custody to the requested State (If ticked section H6 must be completed) □ Covert investigation (If ticked section H7 must be completed) □ Other (If so please specify): … … … 2. Please describe the assistance required, and, if known, the locations where the evidence is located/believed to be located and any necessary information needed to carry out this measure. To request any formalities or procedures are observed please see section I: … … … … |
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SECTION H: Additional requirements for certain measures Fill out the sections relevant to the investigative measure(s) requested: |
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SECTION H1: Search and seizure Natural or legal person linked to search. If more than one, please provide the details for each: … … Premises to be searched. Please provide details on how the person is linked to the premises. If more than one, please provide the information for each: … … … What evidence is being sought? Identify the material for which you want to search in as much detail as practicable: … … … Why do you believe that the evidence is likely to be found in the place mentioned above and to be relevant and of substantial value to the investigation: … … … Is there any risk of privileged material being recovered? If so, please provide detail: … … … Will any officials of the requesting State need to be present at the search? (If yes, please provide details in section I): □ Yes □ No Any known information relating to investigations in other states which may impact this search and seizure request: … … … Please provide any other relevant information relating to the search and seizure: … |
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SECTION H2: Provision of information on bank or other financial accounts If more than one account is concerned, please provide the information for each account. Please specify what information is being sought: □ Information on bank accounts that the person holds in respect of which he or she has the power of attorney □ Information on other financial accounts that the person holds or in respect of which he or she has the power of attorney □ Information on banking operations: □ Bank Statements □ Account opening documentation □ Power of Attorney or additional name on account □ Other (If so please specify): … □ Information on other financial operations: □ Account Statements □ Account opening documentation □ Power of Attorney or additional name on account □ Other (If so please specify): … If available, please provide: Name of Account Holder: … Name of bank/financial institution: … IBAN or Account Number and Sort Code: … Time Scale for transactions: … □ Other (If so, please specify): … Please provide additional justification as to why this evidence is likely to be relevant and of substantial value to the investigation, including the link of the account to the crime committed: … … If necessary, please provide any additional information likely to be required to execute this request: … … |
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SECTION H3: Subscriber, traffic, location and content data Type of data requested: □ Subscriber / entity data (e.g. subscription to phone number or IP address), specify: … … □ Traffic / events data, specify: … □ Location data, specify: … □ Content data (e.g. web/mailbox dump or message log, snapshot), specify: … … □ Other, specify: … All requests for subscriber, traffic or location, and content data requires the following information: □ Date (DD/MM/YYYY): … □ Timestamp (hh:mm:ss): … □ Time Zone: … Provide further details to help identify the data requested: □ IP address (and Port number if applicable): … □ Telephone number(s): … □ IMEI number(s): … □ Other (Please specify): … |
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SECTION H4: Video or telephone conference or other audio-visual transmission If hearing by videoconference or telephone conference or other audio-visual transmission is requested: Please indicate the name of the authority that will conduct the hearing (please include name of the person who will conduct the hearing/contact details/language where available): … … Proposed date(s) (DD/MM/YYYY): … Start time of conference (hh:mm:ss): … Time Zone: … Approximate length of hearing: … Technical details: Site name: … Communication system: … Contacts of technician (language): … Pre-test date and time: … Contact details for pre-test operator if known: … Language and interpretation arrangements: … Any other requirements (If so please specify): … … … … □ This request concerns an accused person or the suspect and the hearing is, or forms part of, the trial of that person Reason(s) why it is not desirable or possible for the witness or expert to attend in person: … Please specify if the individual, suspected or accused person has given their consent: □ Yes □ No □ I request that the person’s consent is sought before this request proceeds |
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SECTION H5: Provisional measures If a provisional measure for the purpose of preserving evidence, maintaining an existing situation or protecting endangered legal interests is requested, please indicate whether: □ the item is to be transferred to the requesting State □ the item is to remain in the requested State; please indicate an estimated date: for lifting of provisional measure: … for the submission of a subsequent request concerning the item: … |
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SECTION H6: Transfer of a person held in custody (1) If a temporary transfer to the requesting State of a person held in custody for the purpose of the investigation is requested, please indicate whether the person consented to this measure: |
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□ Yes |
□ No |
□ I request that the person’s consent is sought |
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(2) If a temporary transfer to the requested State of a person held in custody for the purpose of investigation is requested, please indicate whether the person consented to this measure: |
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□ Yes |
□ No |
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If necessary, please provide any additional information: … |
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SECTION H7: Covert Investigations Please indicate the reasons why you consider the covert investigative measure relevant for the purpose of the criminal proceedings: … … … Please provide the following information: (a) Information for the purpose of identifying the subject of the covert investigation: … (b) The desired start date and duration of the covert measure: … (c) Details of vehicles/address of the covert measure: … (d) If necessary, please provide any additional information relevant for execution of this request: … … |
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SECTION I: Formalities and procedures requested for the execution 1. Tick and complete, if applicable □ It is requested that the relevant / competent authority of the requested State comply with the following formalities and procedures (including any rights/ cautions/warnings that need to be communicated to the person): … … 2. Tick and complete, if applicable □ It is requested that one or several officials of the requesting State is present during the execution of the request in support of the competent authorities of the requested State. Name, job title and contact details of the officials: … … Languages that may be used for communication, if different from language indicated in section J: … … Nature of assistance to be provided by official(s) of requesting State, and/or any further relevant details: … … 3. Secure transmission of information and/or evidence Please specify a secure electronic transmission route, if electronic transmission is accepted: … … If electronic transmission is not accepted or would be inappropriate in this case, please advise the method of transmission requested: … … |
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SECTION J: Details of the authority which issued the request 1. Name of authority which issued the request: … Name of representative/contact point: … Address: … Tel. No: (country code) (area/city code) … E-mail: … 2. If different from the above, name of the authority conducting criminal investigation: … Name and title of an official conducting criminal investigation: … … Address: … Tel. No: (country code) (area/city code) … E-mail: … 3. Languages in which it is possible to communicate with the requesting authority: … 4. If different from above, the contact details of the person(s) to contact for additional information or to make practical arrangements for the transfer of evidence: Name/Title/Organisation: … Address: … E-mail: … Contact Phone No: … |
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SECTION K: Signature By signing this form, I certify that: — the content of the request as set out in this form is accurate and correct, — this request has been issued by a competent authority, — the issuing of this request is necessary for the purpose of the proceedings, and — the investigative measures requested could have been ordered under the same conditions in a similar domestic case, and where applicable the necessary authorisation has been obtained. Signature of the requesting authority and/or its representative: Name: … Post held: … Date: … Official stamp (if available): List of enclosures (if applicable): … … |
PROTOCOL ON ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE FIELD OF VALUE ADDED TAX AND ON MUTUAL ASSISTANCE FOR THE RECOVERY OF CLAIMS RELATING TO TAXES AND DUTIES
TITLE I
GENERAL PROVISIONS
Article PVAT.1
Objective
The objective of this Protocol is to establish the framework for administrative cooperation between the Member States and the United Kingdom, in order to enable their authorities to assist each other in ensuring compliance with VAT legislation and in protecting VAT revenue and in recovering claims relating to taxes and duties.
Article PVAT.2
Scope
1. This Protocol lays down rules and procedures for cooperation:
to exchange any information that may help to effect a correct assessment of VAT, monitor the correct application of VAT, and combat VAT fraud; and
for the recovery of:
claims relating to VAT, customs duties and excise duties, levied by or on behalf of a State or its territorial or administrative subdivisions, excluding the local authorities, or on behalf of the Union;
administrative penalties, fines, fees and surcharges relating to the claims referred to in point (i) imposed by the administrative authorities that are competent to levy the taxes or duties concerned or carry out administrative enquiries with regard to them, or confirmed by administrative or judicial bodies at the request of those administrative authorities; and
interest and costs relating to the claims referred to in points (i) and (ii).
2. This Protocol does not affect the application of the rules on administrative cooperation and combating fraud in the field of VAT and assistance for the recovery of claims between Member States.
3. This Protocol does not affect the application of the rules on mutual assistance in criminal matters.
Article PVAT.3
Definitions
For the purpose of this Protocol, the following definitions apply:
"administrative enquiry" means all the controls, checks and other action taken by the States in the performance of their duties with a view to ensuring the proper application of the VAT legislation;
"applicant authority" means a central liaison office or a liaison department of a State which makes a request under Title III;
"automatic exchange" means the systematic communication of predefined information to another State, without prior request;
"by electronic means" means using electronic equipment for the processing (including digital compression) and storage of data, and employing wires, radio transmission, optical technologies or other electromagnetic means;
"CCN/CSI network" means the common platform based on the common communication network ("CCN") and common system interface ("CSI"), developed by the Union to ensure all transmissions by electronic means between competent authorities in the area of taxation;
"central liaison office" means the office designated pursuant to Article PVAT.4(2) with the principal responsibility for contacts for the application of Title II or Title III;
"competent authority" means the authority designated pursuant to Article PVAT.4(1);
"competent official" means any official designated pursuant to Article PVAT.4(4) who can directly exchange information under Title II;
"customs duties" means the duty payable on goods entering or leaving the customs territory of each Party in accordance with the rules set out in the customs legislation of the respective Parties;
"excise duties" means those duties and charges defined as such under the domestic legislation of the State in which the applicant authority is located;
"liaison department" means any office other than the central liaison office designated as such pursuant to Article PVAT.4(3) to request or grant mutual assistance under Title II or Title III;
"person" means any person as defined in point (l) of Article 512 of this Agreement; ( 162 )
"requested authority" means the central liaison office, the liaison department or, as far as cooperation under Title II is concerned, the competent official who receives a request from a requesting or an applicant authority;
"requesting authority" means a central liaison office, a liaison department or a competent official who makes a request for assistance under Title II, on behalf of a competent authority;
"simultaneous control" means the coordinated checking of the tax situation of a taxable person or of two or more related taxable persons organised by two or more States with common or complementary interests;
"Specialised Committee" means the Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties;
"spontaneous exchange" means the non-systematic communication, at any moment and without prior request, of information to another State;
"State" means a Member State or the United Kingdom, as the context requires;
"third country" means a country that is neither a Member State nor the United Kingdom;
"VAT" means value added tax pursuant to Council Directive 2006/112/EC on the common system of value added tax for the Union and means value added tax pursuant to the Value Added Tax Act 1994 for the United Kingdom.
Article PVAT.4
Organisation
1. Each State shall designate a competent authority responsible for the application of this Protocol.
2. Each State shall designate:
one central liaison office with the principal responsibility for the application of Title II of this Protocol; and
one central liaison office with the principal responsibility for the application of Title III of this Protocol.
3. Each competent authority may designate, directly or by delegation:
liaison departments to exchange directly information under Title II of this Protocol;
liaison departments to request or grant mutual assistance under Title III of this Protocol, in relation to their specific territorial or operational competences.
4. Each competent authority may designate, directly or by delegation, competent officials who can directly exchange information on the basis of Title II of this Protocol
5. Each central liaison office shall keep the list of liaison departments and competent officials up-to-date and make it available to the other central liaison offices.
6. Where a liaison department or a competent official sends or receives a request for assistance under this Protocol, it shall inform its central liaison office thereof.
7. Where a central liaison office, a liaison department or a competent official receives a request for mutual assistance requiring action outside its competence, it shall forward the request without delay to the competent central liaison office or liaison department, and shall inform the requesting or applicant authority thereof. In such a case, the period laid down in Article PVAT.8 shall start the day after the request for assistance has been forwarded to the competent central liaison office or the competent liaison department.
8. Each Party shall inform the Specialised Committee of its competent authorities for the purposes of this Protocol within one month of the signature of this Agreement and of any changes regarding those competent authorities without delay. The Specialised Committee shall keep the list of competent authorities updated.
Article PVAT.5
Service level agreement
A service level agreement ensuring the technical quality and quantity of the services for the functioning of the communication and information exchange systems shall be concluded according to a procedure established by the Specialised Committee.
Article PVAT.6
Confidentiality
1. Any information obtained by a State under this Protocol shall be treated as confidential and shall be protected in the same manner as information obtained under its domestic law.
2. Such information may be disclosed to persons or authorities (including courts and administrative or supervisory bodies) concerned with the application of VAT laws and for the purpose of a correct assessment of VAT as well as for the purpose of applying enforcement measures including recovery or precautionary measures with regard to claims referred to in point (b) of Article PVAT.2(1).
3. The information referred to in paragraph 1 may also be used for assessment of other taxes and for assessment and enforcement, including recovery or precautionary measures, with regard to claims relating to compulsory social security contributions. If the information exchanged reveals or helps to prove the existence of breaches of the tax law, it may also be used for imposing administrative or criminal sanctions. Only the persons or authorities mentioned in paragraph 2 may use the information and then only for purposes set out in the preceding sentences of this paragraph. They may disclose it in public court proceedings or in judicial decisions.
4. Notwithstanding paragraphs 1 and 2, the State providing the information shall, on the basis of a reasoned request, permit its use for purposes other than those referred to in Article PVAT.2(1) by the State which receives the information if, under the legislation of the State providing the information, the information may be used for similar purposes. The requested authority shall accept or refuse any such request within one month.
5. Reports, statements and any other documents, or certified true copies or extracts thereof, obtained by a State under the assistance provided by this Protocol may be invoked as evidence in that State on the same basis as similar documents provided by another authority of that State.
6. Information provided by a State to another State may be transmitted by the latter to another State, subject to prior authorisation by the competent authority from which the information originated. The State of origin of the information may oppose such a sharing of information within ten working days of the date on which it received the communication from the State wishing to share the information.
7. The States may transmit information obtained in accordance with this Protocol to third countries subject to the following conditions:
the competent authority from which the information originates has consented to that transmission; and
the transmission is permitted by assistance arrangements between the State transmitting the information and that particular third country.
8. When a State receives information from a third country, the States may exchange that information, in so far as permitted by the assistance arrangements with that particular third country.
9. Each State shall immediately notify the other States concerned regarding any breach of confidentiality, and any sanctions and remedial actions consequently imposed.
10. Persons duly accredited by the Security Accreditation Authority of the European Commission may have access to this information only in so far as it is necessary for care, maintenance and development of the electronic systems hosted by the Commission and used by the States to implement this Protocol.
TITLE II
ADMINISTRATIVE COOPERATION AND COMBATING VAT FRAUD
CHAPTER ONE
EXCHANGE OF INFORMATION ON REQUEST
Article PVAT.7
Exchange of information and administrative enquiries
1. At the request of the requesting authority, the requested authority shall communicate the information referred to in point (a) of Article PVAT.2(1), including any information relating to a specific case or cases.
2. For the purpose of forwarding the information referred to in paragraph 1, the requested authority shall arrange for the conduct of any administrative enquiries necessary to obtain such information.
3. The request referred to in paragraph 1 may contain a reasoned request for a specific administrative enquiry. The requested authority shall undertake the administrative enquiry in consultation with the requesting authority where necessary. If the requested authority takes the view that no administrative enquiry is necessary, it shall immediately inform the requesting authority of the reasons thereof.
4. Where the requested authority refuses to undertake an administrative enquiry into amounts that were declared or amounts that should have been declared by a taxable person established in the State of the requested authority in connection with supplies of goods or services and imports of goods which are made by that taxable person and which are taxable in the State of the requesting authority, the requested authority shall at least provide to the requesting authority the dates and values of any relevant supplies and imports made by the taxable person in the State of the requesting authority over the previous two years, unless the requested authority does not hold and is not required to hold this information under domestic legislation.
5. In order to obtain the information sought or to conduct the administrative enquiry requested, the requested authority or the administrative authority to which it has recourse shall proceed as though acting on its own account or at the request of another authority in its own State.
6. At the request of the requesting authority, the requested authority shall communicate to it any pertinent information it obtains or has in its possession as well as the results of administrative enquiries, in the form of reports, statements and any other documents, or certified true copies or extracts thereof.
7. Original documents shall be provided only where this is not contrary to the provisions in force in the State of the requested authority.
Article PVAT.8
Time limit for providing information
1. The requested authority shall provide the information referred to in Article PVAT.7 as quickly as possible and no later than 90 days following the date of receipt of the request. However, where the requested authority is already in possession of that information, the time limit shall be reduced to a maximum period of 30 days.
2. In certain special categories of cases, time limits which are different from those provided for in paragraph 1 may be agreed between the requested and the requesting authorities.
3. Where the requested authority is unable to respond to the request within the time limits referred to in paragraphs 1 and 2, it shall forthwith inform the requesting authority in writing of the reasons for its failure to do so, and when it considers it would be likely to be able to respond.
CHAPTER TWO
EXCHANGE OF INFORMATION WITHOUT PRIOR REQUEST
Article PVAT.9
Types of exchange of information
The exchange of information without prior request shall either be spontaneous exchanges, as provided for in Article PVAT.10, or automatic exchanges, as provided for in Article PVAT.11.
Article PVAT.10
Spontaneous exchange of information
The competent authority of a State shall, without prior request, forward to the competent authority of another State the information referred to in point (a) of Article PVAT.2(1) which has not been forwarded under the automatic exchange referred to in Article PVAT.11 and of which it is aware of in the following cases:
where taxation is deemed to take place in another State and information is necessary for the effectiveness of the control system of that State;
where a State has grounds to believe that a breach of VAT legislation has been committed or is likely to have been committed in the other State;
where there is a risk of tax loss in the other State.
Article PVAT.11
Automatic exchange of information
1. The categories of information subject to automatic exchange shall be determined by the Specialised Committee in accordance with Article PVAT.39.
2. A State may abstain from taking part in the automatic exchange of one or more categories of information referred to in paragraph 1 where the collection of information for such exchange would require the imposition of new obligations on persons liable for VAT or would impose a disproportionate administrative burden on that State.
3. Each State shall notify the Specialised Committee in writing of its decision taken in accordance with the previous paragraph.
CHAPTER THREE
OTHER FORMS OF COOPERATION
Article PVAT.12
Administrative notification
1. The requested authority shall, at the request of the requesting authority and in accordance with the rules governing the notification of similar instruments and decisions in the State of the requested authority, notify the addressee of all instruments and decisions which have been sent from the requesting authorities and concern the application of VAT legislation in the State of the requesting authority.
2. Requests for notification, mentioning the subject of the instrument or decision to be notified, shall indicate the name, address and any other relevant information for identifying the addressee.
3. The requested authority shall inform the requesting authority immediately of its response to the request for notification and notify it, in particular, of the date of notification of the decision or instrument to the addressee.
Article PVAT.13
Presence in administrative offices and participation in administrative enquiries
1. By agreement between the requesting authority and the requested authority, and in accordance with the arrangements laid down by the latter, the requested authority may allow officials authorised by the requesting authority to be present in the offices of the requested authority, or any other place where those authorities carry out their duties, with a view to exchanging the information referred to in point (a) of Article PVAT.2(1). Where the requested information is contained in documentation to which the officials of the requested authority have access, the officials of the requesting authority shall be given copies thereof on request.
2. By agreement between the requesting authority and the requested authority, and in accordance with the arrangements laid down by the latter, the requested authority may allow officials authorised by the requesting authority to be present during the administrative enquiries carried out in the territory of the State of the requested authority, with a view to exchanging the information referred to in point (a) of Article PVAT.2(1). Such administrative enquiries shall be carried out exclusively by the officials of the requested authority. The officials of the requesting authority shall not exercise the powers of inspection conferred on officials of the requested authority. They may, however, have access to the same premises and documents as the latter, through the intermediation of the officials of the requested authority and for the sole purpose of carrying out the administrative enquiry.
3. By agreement between the requesting authorities and the requested authority, and in accordance with the arrangements laid down by the latter, officials authorised by the requesting authorities may take part in the administrative enquiries carried out in the territory of the requested State with a view to collecting and exchanging the information referred to in point (a) of Article PVAT.2(1). Such administrative enquiries shall be carried out jointly by the officials of the requesting and requested authorities and shall be conducted under the direction and according to the legislation of the requested State. The officials of the requesting authorities shall have access to the same premises and documents as the officials of the requested authority and, in so far as it is permitted under the legislation of the requested State for its officials, shall be able to interview taxable persons.
Where it is permitted under the legislation of the requested State, the officials of the requesting States shall exercise the same inspection powers as those conferred on officials of the requested State.
The inspection powers of the officials of the requesting authorities shall be exercised for the sole purpose of carrying out the administrative enquiry.
By agreement between the requesting authorities and the requested authority and in accordance with the arrangements laid down by the requested authority, the participating authorities may draft a common enquiry report.
4. The officials of the requesting authority present in another State in accordance with paragraphs 1, 2 and 3 must at all times be able to produce written authority stating their identity and their official capacity.
Article PVAT.14
Simultaneous controls
1. The States may agree to conduct simultaneous controls whenever they consider such controls to be more effective than controls carried out by only one State.
2. A State shall identify independently the taxable persons which it intends to propose for a simultaneous control. The competent authority of that State shall notify the competent authority of the other State concerned of the cases proposed for a simultaneous control. It shall give reasons for its choice, as far as possible, by providing the information which led to its decision. It shall specify the period of time during which such controls should be conducted.
3. A competent authority that receives the proposal for a simultaneous control shall confirm its agreement or communicate its reasoned refusal to the counterpart authority, in principle within two weeks of receipt of the proposal, but within a month of receipt of the proposal at the latest.
4. Each competent authority concerned shall appoint a representative to be responsible for supervising and coordinating the control operation.
CHAPTER FOUR
GENERAL PROVISIONS
Article PVAT.15
Conditions governing the exchange of information
1. The requested authority shall provide a requesting authority with the information referred to in point (a) of Article PVAT.2(1) or carry out an administrative notification referred to in Article PVAT.12, provided that:
the number and nature of the requests for information or administrative notification made by the requesting authority do not impose a disproportionate administrative burden on that requested authority; and
the requesting authority has exhausted the usual sources of information which it could have used in the circumstances to obtain the information requested or measures which it could reasonably have taken to carry out the administrative notification requested, without running the risk of jeopardising the achievement of the desired end.
2. This Protocol shall impose no obligation to have enquiries carried out or to provide information on a particular case if the laws or administrative practices of the State which would have to supply the information do not authorise that State to carry out those enquiries or collect or use that information for its own purposes.
3. A requested authority may refuse to provide information where the requesting authority is unable, for legal reasons, to provide similar information. The requested authority shall inform the Specialised Committee of the grounds for the refusal.
4. The provision of information may be refused where it would lead to the disclosure of a commercial, industrial or professional secret or of a commercial process, or of information whose disclosure would be contrary to public policy.
5. Paragraphs 2, 3 and 4 should in no case be interpreted as authorising the requested authority to refuse to supply information on the sole grounds that this information is held by a bank, other financial institution, nominee or person acting in an agency or fiduciary capacity or because it relates to ownership interests in a legal person.
6. The requested authority shall inform the requesting authority of the grounds for refusing a request for assistance.
Article PVAT.16
Feedback
Where a competent authority provides information pursuant to Article PVAT.7 or PVAT.10, it may request the competent authority which receives the information to give feedback thereon. If such request is made, the competent authority which receives the information shall, without prejudice to the rules on tax secrecy and data protection applicable in its State, send feedback as soon as possible, provided that this does not impose a disproportionate administrative burden on it.
Article PVAT.17
Language
Requests for assistance, including requests for notification and attached documents, shall be made in a language agreed between the requested and requesting authority.
Article PVAT.18
Statistical data
1. By 30 June each year, the Parties shall communicate by electronic means to the Specialised Committee statistical data on the application of this Title.
2. The content and format of the statistical data to be communicated under paragraph 1 shall be determined by the Specialised Committee.
Article PVAT.19
Standard forms and means of communication
1. Any information communicated pursuant to Articles PVAT.7, PVAT.10, PVAT.11, PVAT.12 and PVAT.16 and the statistics communicated pursuant to Article PVAT.18 shall be provided using a standard form referred to in point (d) of Article PVAT.39(2), except in the cases referred to in Article PVAT.6(7) and (8) or in specific cases where the respective competent authorities deem other secure means more appropriate and agree to use those means.
2. The standard forms shall be transmitted, in so far as possible, by electronic means.
3. Where the request has not been lodged completely through the electronic systems, the requested authority shall confirm receipt of the request by electronic means without delay and, in any event, no later than five working days after receipt.
4. Where an authority has received a request or information of which it is not the intended recipient, it shall send a message by electronic means to the sender without delay and, in any event, no later than five working days after receipt.
5. Pending the adoption by the Specialised Committee of the decisions referred to in Article PVAT.39(2), the competent authorities shall make use of the rules set out in the Annex to this Protocol, including the standard forms.
TITLE III
RECOVERY ASSISTANCE
CHAPTER ONE
EXCHANGE OF INFORMATION
Article PVAT.20
Request for information
1. At the request of the applicant authority, the requested authority shall provide any information which is foreseeably relevant to the applicant authority in the recovery of its claims as referred to in point (b) of Article PVAT.2(1). The request for information shall include, where available, the name and any other data relevant to the identification of the persons concerned.
For the purpose of providing that information, the requested authority shall arrange for the carrying-out of any administrative enquiries necessary to obtain it.
2. The requested authority shall not be obliged to supply information:
which it would not be able to obtain for the purpose of recovering similar claims on its own behalf;
which would disclose any commercial, industrial or professional secrets; or
the disclosure of which would be liable to prejudice the security of or be contrary to the public policy of the State of the requested authority.
3. Paragraph 2 shall in no case be construed as permitting a requested authority to decline to supply information solely because this information is held by a bank, other financial institution, nominee or person acting in an agency or a fiduciary capacity or because it relates to ownership interests in a legal person.
4. The requested authority shall inform the applicant authority of the grounds for refusing a request for information.
Article PVAT.21
Exchange of information without prior request
Where a refund of taxes or duties relates to a person established or resident in another State, the State from which the refund is to be made may inform the State of establishment or residence of the pending refund.
Article PVAT.22
Presence in administrative offices and participation in administrative enquiries
1. By agreement between the applicant authority and the requested authority, and in accordance with the arrangements laid down by the latter, officials authorised by the applicant authority may, with a view to promoting mutual assistance provided for in this Title:
be present in the offices where officials of the requested State carry out their duties;
be present during administrative enquiries carried out in the territory of the requested State; and
assist the competent officials of the requested State during court proceedings in that State.
2. In so far as it is permitted under applicable legislation in the requested State, the agreement referred to in point (b) of paragraph 1 may provide that officials of the applicant authority may interview individuals and examine records.
3. Officials authorised by the applicant authority who make use of the possibility offered by paragraphs 1 and 2 must at all times be able to produce written authority stating their identity and their official capacity.
CHAPTER TWO
ASSISTANCE FOR THE NOTIFICATION OF DOCUMENTS
Article PVAT.23
Request for notification of certain documents relating to claims
1. At the request of the applicant authority, the requested authority shall notify to the addressee all documents, including those of a judicial nature, which have been sent from the State of the applicant authority and which relate to a claim as referred to in point (b) of Article PVAT.2(1) or to its recovery.
The request for notification shall be accompanied by a standard form containing at least the following information:
name, address and other data relevant to the identification of the addressee;
the purpose of the notification and the period within which notification should be effected;
a description of the attached document and the nature and amount of the claim concerned; and
name, address and other contact details regarding:
the office responsible with regard to the attached document; and
if different, the office where further information can be obtained concerning the notified document or concerning the possibilities for contesting the payment obligation.
2. The applicant authority shall make a request for notification pursuant to this Article only when it is unable to notify in accordance with the rules governing the notification of the document concerned in its own State or when such notification would give rise to disproportionate difficulties.
3. The requested authority shall forthwith inform the applicant authority of any action taken on its request for notification and in particular of the date of notification of the document to the addressee.
Article PVAT.24
Means of notification
1. The requested authority shall ensure that notification in the requested State is effected in accordance with the applicable national laws, regulations and administrative practices.
2. Paragraph 1 is without prejudice to any other form of notification made by a competent authority of the applicant State in accordance with the rules in force in that State.
A competent authority established in the applicant State may notify any document directly by registered mail or electronically to a person within the territory of another State.
CHAPTER THREE
RECOVERY OR PRECAUTIONARY MEASURES
Article PVAT.25
Request for recovery
1. At the request of the applicant authority, the requested authority shall recover claims which are the subject of an instrument permitting enforcement in the State of the applicant authority.
2. As soon as any relevant information relating to the matter which gave rise to the request for recovery comes to the knowledge of the applicant authority, it shall forward it to the requested authority.
Article PVAT.26
Conditions governing a request for recovery
1. The applicant authority may not make a request for recovery if and as long as the claim or the instrument permitting its enforcement are contested in the State of the applicant authority, except in cases where the third subparagraph of Article PVAT.29(4) applies.
2. Before the applicant authority makes a request for recovery, appropriate recovery procedures available in the State of the applicant authority shall be applied, except in the following situations:
where it is obvious that there are no assets for recovery in that State or that such procedures will not result in the payment of a substantial amount, and the applicant authority has specific information indicating that the person concerned has assets in the State of the requested authority;
where recourse to such procedures in the State of the applicant authority would give rise to disproportionate difficulty.
Article PVAT.27
Instrument permitting enforcement in the State of the requested authority and other accompanying documents
1. Any request for recovery shall be accompanied by a uniform instrument permitting enforcement in the State of the requested authority.
This uniform instrument permitting enforcement shall reflect the substantial contents of the initial instrument permitting enforcement in the State of the applicant authority, and constitute the sole basis for recovery and precautionary measures in the State of the requested authority. No act of recognition, supplementing or replacement shall be required in that State.
The uniform instrument permitting enforcement shall contain at least the following information:
information relevant to the identification of the initial instrument permitting enforcement, a description of the claim, including its nature, the period covered by the claim, any dates of relevance to the enforcement process, and the amount of the claim and its different components such as principal, interest accrued, etc.;
name and other data relevant to the identification of the debtor; and
name, address and other contact details regarding:
the office responsible for the assessment of the claim; and
if different, the office where further information can be obtained concerning the claim or the possibilities for contesting the payment obligation.
2. The request for recovery of a claim may be accompanied by other documents relating to the claim issued by the State of the applicant authority.
Article PVAT.28
Execution of the request for recovery
1. For the purpose of the recovery in the State of the requested authority, any claim in respect of which a request for recovery has been made shall be treated as if it was a claim of that State, except where otherwise provided for in this Protocol. The requested authority shall make use of the powers and procedures provided under the laws, regulations or administrative provisions of that State applying to its claims except where otherwise provided for in this Protocol.
The State of the requested authority shall not be obliged to grant to claims whose recovery is requested preferences accorded to similar claims arising in the State of the requested authority, except where otherwise agreed or provided under the law of that State.
The State of the requested authority shall recover the claim in its own currency.
2. The requested authority shall inform the applicant authority with due diligence of any action it has taken on the request for recovery.
3. From the date on which the recovery request is received, the requested authority shall charge interest for late payment in accordance with the laws, regulations and administrative provisions applicable to its own claims.
4. The requested authority may, where the applicable laws, regulations or administrative provisions so permit, allow the debtor time to pay or authorise payment by instalment and it may charge interest in that respect. It shall inform the applicant authority of any such decision.
5. Without prejudice to Article PVAT.35(1), the requested authority shall remit to the applicant authority the amounts recovered with respect to the claim and the interest referred to in paragraphs 3 and 4 of this Article.
Article PVAT.29
Disputed claims and enforcement measures
1. Disputes concerning the claim, the initial instrument permitting enforcement in the State of the applicant authority or the uniform instrument permitting enforcement in the State of the requested authority and disputes concerning the validity of a notification made by an applicant authority shall fall within the competence of the competent bodies of the State of the applicant authority. If, in the course of the recovery procedure, the claim, the initial instrument permitting enforcement in the State of the applicant authority or the uniform instrument permitting enforcement in the State of the requested authority is contested by an interested party, the requested authority shall inform that party that such an action must be brought by the latter before the competent body of the State of the applicant authority in accordance with the laws in force there.
2. Disputes concerning enforcement measures taken in the State of the requested authority or concerning the validity of a notification made by an authority of the requested State shall be brought before the competent body of that State in accordance with its laws and regulations.
3. Where an action as referred to in paragraph 1 has been brought, the applicant authority shall inform the requested authority thereof and shall indicate the extent to which the claim is not contested.
4. As soon as the requested authority has received the information referred to in paragraph 3, either from the applicant authority or from the interested party, it shall suspend the enforcement procedure, as far as the contested part of the claim is concerned, pending the decision of the body competent in the matter, unless the applicant authority requests otherwise in accordance with the third subparagraph of this paragraph.
At the request of the applicant authority, or where otherwise deemed to be necessary by the requested authority, and without prejudice to Article PVAT.31, the requested authority may take precautionary measures to guarantee recovery in so far as the applicable laws or regulations allow.
The applicant authority may, in accordance with the laws, regulations and administrative practices in force in its State, ask the requested authority to recover a contested claim or the contested part of a claim, in so far as the laws, regulations and administrative practices in force in the State of the requested authority allow. Any such request shall be reasoned. If the result of contestation is subsequently favourable to the debtor, the applicant authority shall be liable for reimbursing any sums recovered, together with any compensation due, in accordance with the laws in force in the State of the requested authority.
If a mutual agreement procedure has been initiated between the State of the applicant authority and the State of requested authority, and the outcome of the procedure may affect the claim in respect of which assistance has been requested, the recovery measures shall be suspended or stopped until that procedure has been terminated, unless it concerns a case of immediate urgency because of fraud or insolvency. If the recovery measures are suspended or stopped, the second subparagraph shall apply.
Article PVAT.30
Amendment or withdrawal of the request for recovery assistance
1. The applicant authority shall inform the requested authority immediately of any subsequent amendment to its request for recovery or of the withdrawal of its request, indicating the reasons for amendment or withdrawal.
2. If the amendment of the request is caused by a decision of the competent body referred to in Article PVAT.29(1), the applicant authority shall communicate this decision together with a revised uniform instrument permitting enforcement in the State of the requested authority. The requested authority shall then proceed with further recovery measures on the basis of the revised instrument.
Recovery or precautionary measures already taken on the basis of the original uniform instrument permitting enforcement in the State of the requested authority may be continued on the basis of the revised instrument, unless the amendment of the request is due to invalidity of the initial instrument permitting enforcement in the State of the applicant authority or the original uniform instrument permitting enforcement in the State of the requested authority.
Articles PVAT.27 and PVAT.29 shall apply in relation to the revised instrument.
Article PVAT.31
Request for precautionary measures
1. At the request of the applicant authority, the requested authority shall take precautionary measures, if allowed by its national law and in accordance with its administrative practices, to ensure recovery where a claim or the instrument permitting enforcement in the State of the applicant authority is contested at the time when the request is made, or where the claim is not yet the subject of an instrument permitting enforcement in the State of the applicant authority, in so far as precautionary measures are possible in a similar situation under the law and administrative practices of the State of the applicant authority.
The document drawn up for permitting precautionary measures in the State of the applicant authority and relating to the claim for which mutual assistance is requested, if any, shall be attached to the request for precautionary measures in the State of the requested authority. This document shall not be subject to any act of recognition, supplementing or replacement in the State of the requested authority.
2. The request for precautionary measures may be accompanied by other documents relating to the claim.
Article PVAT.32
Rules governing the request for precautionary measures
In order to give effect to Article PVAT.31, Article PVAT.25(2), Article PVAT.28(1) and (2), Article PVAT.29 and Article PVAT.30 shall apply mutatis mutandis to requests under Article PVAT.31.
Article PVAT.33
Limits to the requested authority's obligation
1. The requested authority shall not be obliged to grant the assistance provided for in Articles PVAT.25 to PVAT.31 if recovery of the claim would, because of the situation of the debtor, create serious economic or social difficulties in the State of the requested authority, in so far as the laws, regulations and administrative practices in force in that State allow such exception for national claims.
2. The requested authority shall not be obliged to grant the assistance provided for in Articles PVAT.25 to PVAT.31 where the costs or administrative burdens for the requested State would be clearly disproportionate to the monetary benefit to be derived by the applicant State.
3. The requested authority shall not be obliged to grant the assistance provided for in Article PVAT.20 and Articles PVAT.22 to PVAT.31 if the initial request for assistance pursuant to Article PVAT.20, PVAT.22, PVAT.23, PVAT.25 or PVAT.31 is made in respect of claims which are more than 5 years old, dating from the due date of the claim in the State of the applicant authority to the date of the initial request for assistance.
However, in cases where the claim or the initial instrument permitting enforcement in the State of the applicant authority is contested, the 5-year period shall be deemed to begin from the moment when it is established in the State of the applicant authority that the claim or the instrument permitting enforcement may no longer be contested.
Moreover, in cases where a postponement of the payment or payment by instalments arrangement has been granted by the State of the applicant authority, the 5-year period shall be deemed to begin from the moment when the entire extended payment period has come to its end.
However, in those cases the requested authority shall not be obliged to grant assistance in respect of claims which are more than 10 years old, dating from the due date of the claim in the State of the applicant authority.
4. A State shall not be obliged to grant assistance if the total amount for which assistance is requested is less than GBP 5 000 .
5. The requested authority shall inform the applicant authority of the grounds for refusing a request for assistance.
Article PVAT.34
Questions on limitation
1. Questions concerning periods of limitation shall be governed solely by the laws in force in the State of the applicant authority.
2. In relation to the suspension, interruption or prolongation of periods of limitation, any steps taken in the recovery of claims by or on behalf of the requested authority in pursuance of a request for assistance which have the effect of suspending, interrupting or prolonging the period of limitation according to the laws in force in the State of the requested authority shall have the same effect in the State of the applicant authority, on condition that the corresponding effect is provided for under the law of the latter State.
If suspension, interruption or prolongation of the period of limitation is not possible under the laws in force in the State of the requested authority, any steps taken in the recovery of claims by or on behalf of the requested authority in pursuance of a request for assistance which, if they had been carried out by or on behalf of the applicant authority in its own State, would have had the effect of suspending, interrupting or prolonging the period of limitation according to the laws of that State shall be deemed to have been taken in the latter State, in so far as that effect is concerned.
The first and second subparagraphs shall not affect the right of the State of the applicant authority to take measures which have the effect of suspending, interrupting or prolonging the period of limitation in accordance with the laws in force in that State.
3. The applicant authority and the requested authority shall inform each other of any action which interrupts, suspends or prolongs the limitation period of the claim for which the recovery or precautionary measures were requested, or which may have this effect.
Article PVAT.35
Costs
1. In addition to the amounts referred to in Article PVAT.28(5), the requested authority shall seek to recover from the person concerned and retain the costs linked to the recovery that it incurred, in accordance with the laws and regulations of its State. The States shall renounce all claims on each other for the reimbursement of costs arising from any mutual assistance they grant each other pursuant to this Protocol.
2. However, where recovery creates a specific problem, concerns a very large amount in costs or relates to organised crime, the applicant and requested authorities may agree reimbursement arrangements specific to the cases in question.
3. Notwithstanding paragraph 2, the State of the applicant authority shall be liable to the State of the requested authority for any costs and any losses incurred as a result of actions held to be unfounded, as far as either the substance of the claim or the validity of the instrument permitting enforcement and/or precautionary measures issued by the applicant authority are concerned.
CHAPTER FOUR
GENERAL RULES GOVERNING ALL TYPES OF RECOVERY ASSISTANCE REQUESTS
Article PVAT.36
Use of languages
1. All requests for assistance, standard forms for notification and uniform instruments permitting enforcement in the State of the requested authority shall be sent in, or shall be accompanied by a translation into, the official language, or one of the official languages, of the State of the requested authority. The fact that certain parts thereof are written in a language other than the official language, or one of the official languages, of that State, shall not affect their validity or the validity of the procedure, in so far as that other language is one agreed between the States concerned.
2. The documents for which notification is requested pursuant to Article PVAT.23 may be sent to the requested authority in an official language of the State of the applicant authority.
3. Where a request is accompanied by documents other than those referred to in paragraphs 1 and 2, the requested authority may, where necessary, require from the applicant authority a translation of such documents into the official language, or one of the official languages of the State of the requested authority, or into any other language agreed between the States concerned.
Article PVAT.37
Statistical data on recovery assistance
1. By 30 June each year, the Parties shall communicate by electronic means to the Specialised Committee the statistical data on the application of this Title.
2. The content and format of the statistical data to be communicated under paragraph 1 shall be determined by the Specialised Committee.
Article PVAT.38
Standard forms and means of communication for recovery assistance
1. Requests pursuant to Article PVAT.20(1) for information, requests pursuant to Article PVAT.23(1) for notification, requests pursuant to Article PVAT.25(1) for recovery or requests pursuant to Article PVAT.31(1) for precautionary measures, and communication of statistical data pursuant to Article PVAT.37 shall be sent by electronic means, using a standard form, unless this is impracticable for technical reasons. As far as possible, these forms shall also be used for any further communication with regard to the request.
The uniform instrument permitting enforcement in the State of the requested authority, the document permitting precautionary measures in the State of the applicant authority and the other documents referred to in Articles PVAT.27 and PVAT.31 shall also be sent by electronic means, unless this is impracticable for technical reasons.
Where appropriate, the standard forms may be accompanied by reports, statements and any other documents, or certified true copies or extracts thereof, which shall also be sent by electronic means, unless this is impracticable for technical reasons.
Standard forms and communication by electronic means may also be used for the exchange of information pursuant to Article PVAT.21.
2. Paragraph 1 shall not apply to the information and documentation obtained through the presence of officials in administrative offices in another State or through participation in administrative enquiries in another State, in accordance with Article PVAT.22.
3. If communication is not made by electronic means or with use of standard forms, this shall not affect the validity of the information obtained or of the measures taken in the execution of a request for assistance.
4. The electronic communication network and the standard forms adopted for the implementation of this Protocol may also be used for recovery assistance regarding other claims than the claims referred to in point (b) of Article PVAT.2(1), if such recovery assistance is possible under other bilateral or multilateral legally binding instruments on administrative cooperation between the States.
5. Pending the adoption by the Specialised Committee of the decisions referred to in Article PVAT.39(2), the competent authorities shall make use of the rules set out in the Annex to this Protocol, including the standard forms.
6. The State of the requested authority shall use its official currency for the transfer of the recovered amounts to the State of the applicant authority, unless otherwise agreed between the States concerned.
TITLE IV
IMPLEMENTATION AND APPLICATION
Article PVAT.39
Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties
1. The Specialised Committee shall:
hold regular consultations; and
review the operation and effectiveness of this Protocol at least every 5 years.
2. The Specialised Committee shall adopt decisions or recommendations to:
determine the frequency of, the practical arrangements for and the exact categories of information subject to automatic exchange referred to in Article PVAT.11;
review the result of the automatic exchange of information for each category established pursuant to point (a) so as to ensure that this type of exchange takes place only where it is the most efficient means for the exchange of information;
establish new categories of information to be exchanged pursuant to Article PVAT.11, should the automatic exchange be the most efficient means of cooperation;
define the standard forms for the communications pursuant to Articles PVAT.19(1) and PVAT.38(1);
review the availability, collection, and processing of statistical data referred to in Articles PVAT.18 and PVAT.37, so as to ensure that the obligations set out in those Articles do not impose a disproportionate administrative burden on the Parties;
establish what shall be transmitted via the CCN/CSI network or other means;
determine the amount and the modalities of the financial contribution to be made by the United Kingdom to the general budget of the Union in respect of the cost generated by its participation in the European information systems, taking into account the decisions referred to in points (d) and (f);
establish implementing rules on the practical arrangements with regard to the organisation of the contacts between the central liaison offices and liaison departments referred to in Article PVAT.4(2) and (3);
establish the practical arrangements between the central liaison offices for the implementation of Article PVAT.4(5);
establish implementing rules for Title III, including rules on the conversion of the sums to be recovered and the transfer of sums recovered; and
establish the procedure for concluding the service level agreement referred to in Article PVAT.5 and also conclude that service level agreement.
TITLE V
FINAL PROVISIONS
Article PVAT.40
Execution of on-going requests
1. Where requests for information and for administrative enquiries sent in accordance with Regulation (EU) No 904/2010 in relation to the transactions covered by Article 99(1) of the Withdrawal Agreement are not yet closed within four years after the end of the transition period, the requested State shall ensure that those requests are executed in accordance with the rules of this Protocol.
2. Where assistance requests relating to taxes and duties within the scope of Article PVAT.2 of this Protocol sent in accordance with Directive 2010/24/EU in relation to the claims referred to in Article 100(1) of the Withdrawal Agreement are not closed within five years after the end of the transition period, the requested State shall ensure that those assistance requests are executed in accordance with the rules of this Protocol. The standard uniform form for notification or the instrument permitting enforcement in the requested State established in accordance with the legislation referred to in this paragraph shall retain its validity for the purposes of such execution. A revised uniform instrument permitting enforcement in the requested State may be established after the end of that five year period in relation to claims for which assistance was requested before that time. Such revised uniform instruments shall refer to the legal basis used for the initial assistance request.
Article PVAT.41
Relation to other agreements or arrangements
This Protocol shall take precedence over the provisions of any bilateral or multilateral agreements or arrangements on administrative cooperation in the field of VAT, or on recovery assistance relating to the claims covered by this Protocol, which have been concluded between Member States and the United Kingdom, insofar as their provisions are incompatible with those of this Protocol.
ANNEX
TO THE PROTOCOL ON ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE FIELD OF VALUE ADDED TAX AND ON MUTUAL ASSISTANCE FOR THE RECOVERY OF CLAIMS RELATING TO TAXES AND DUTIES
SECTION 1
Pending the adoption by the Specialised Committee of the decisions referred to in Article PVAT.39(2) of this Protocol, the following rules and standard forms apply.
SECTION 2
ORGANISATION OF CONTACTS
2.1. Until further notice, the central liaison offices having the principal responsibility for the application of Title II of this Protocol are:
for the United Kingdom: Her Majesty's Revenue and Customs, UK VAT Central Liaison Office;
for the Member States: the central liaison offices designated for administrative cooperation between the Member States in the area of VAT.
2.2. Until further notice, the central liaison offices having the principal responsibility for the application of Title III of this Protocol are:
for the United Kingdom: Her Majesty's Revenue and Customs, Debt Management;
for the Member States: the central liaison offices designated for recovery assistance between the Member States.
SECTION 3
ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE FIELD OF VALUE ADDED TAX
3.1. Communication
The communication of information under Title II of this Protocol shall be done, as far as possible, by electronic means and via the Common Communication Network (CCN), between the respective mailboxes of the States for the exchange of information on administrative cooperation or the mailboxes for combating fraud in the field of VAT.
3.2. Standard form
For the exchange of information under Title II of this Protocol, the States shall use the following model:
Standard form for requests for information, for spontaneous exchange of information and for feedback between EU Member States and the United Kingdom under the Protocol on administrative cooperation and combating fraud in the area of VAT
Exchange of information reference:
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A) BASIC INFORMATION |
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A1 |
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Requesting State: |
Requested State: |
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Requesting authority: |
Requested authority: |
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A2 |
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Official dealing with the request/exchange in the requesting authority: |
Official dealing with the reply to the request/exchange in the requested authority: |
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Name: |
Name: |
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Email: |
Email: |
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Telephone: |
Telephone: |
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Language: |
Language: |
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A3 |
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Requesting authority national reference: |
Requested authority national reference: |
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Space reserved for the requesting authority: |
Space reserved for the requested authority: |
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A4 |
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Date of transmission of the request/exchange: |
Date of transmission of the reply: |
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A5 |
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No of attachments to the request/exchange: |
No of attachments to the reply: |
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A6 |
A7 |
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○ General request/exchange |
□ I, requested authority, will not be able to reply within the following deadlines: |
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○ Request for information |
○ 3 months |
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○ Spontaneous exchange of information |
○ 1 month for information that is already in my possession |
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□ Feedback on spontaneous exchange of information is requested |
Reason for delay: |
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○ Anti-fraud request/exchange |
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○ Request for information |
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○ Missing Trader Fraud - Registration control/Business activity |
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○ Spontaneous supply of information |
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□ Feedback on spontaneous information is requested |
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□ Expected time of reply: |
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□ The requested authority of the State authorises the transmission of the information to another State (Article PVAT.6(6) of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties) □ Feedback on the reply is requested |
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Pursuant to Article PVAT.6(4) of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the State providing the information shall, on the basis of a reasoned request, permit the use of the information received for purposes other than those referred to in Article 2(1) of that Protocol. |
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B) REQUEST FOR GENERAL INFORMATION |
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Requesting authority |
Requested authority |
Requested authority (1) |
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B1 VAT identification number (if not, tax identification number) |
B1 VAT identification number (if not, tax identification number) ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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VAT number: |
VAT number: |
VAT number: |
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□ VAT number not available |
□ VAT number not available |
□ VAT number not available |
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Tax identification number: |
Tax identification number: |
Tax identification number: |
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B2 Name |
B2 Name ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Name: |
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B3 Trading name |
B3 Trading name ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Trading name: |
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B4 Address |
B4 Address ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Address: |
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B5 The following dates in the format (YYYY/MM/DD): |
B5 The following dates in the format (YYYY/MM/DD): ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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(a) issue of the VAT/tax identification number |
(a) issue of the VAT/tax identification number |
(a) issue of the VAT/tax identification number |
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(b) cancellation of the VAT/tax identification number |
(b) cancellation of the VAT/tax identification number |
(b) cancellation of the VAT/tax identification number |
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(c) Incorporation |
(c) Incorporation |
(c) Incorporation |
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B6 Date of commencement of activity |
B6 Date of commencement of activity ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Date of commencement of activity |
Date of commencement of activity |
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B7 Date of cessation of activity |
B7 Date of cessation of activity ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Date of cessation of activity |
Date of cessation of activity |
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B8 Names of the managers/directors |
B8 Names of the managers/directors ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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B9 Names of the owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business |
B9 Names of the owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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B10 Nature of the activity |
B10 Nature of the activity ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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(a) Legal status of the business |
(a) Legal status of the business |
(a) Legal status of the business |
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(b) Actual principal activity (2) |
(b) Actual principal activity |
(b) Actual principal activity |
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B11 Nature of the transaction |
Nature of the transaction B11 Goods/services involved ○ Please fill in |
Nature of the transaction B11 Goods/services involved |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Period and amount to which the request/exchange relates B12 Supply of goods from one country to another |
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From |
Period |
Period |
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To |
Amount |
Amount |
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Sources: □ VAT information exchange system (VIES) □ Other |
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B13 Supply of services from one country to another |
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From |
Period |
Period |
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To |
Amount |
Amount |
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Sources: □ VIES □ Other |
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C) ADDITIONAL INFORMATION |
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Registration |
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□ C1 The taxable person in the requested State (□)/ the taxable person in the requesting State (□) is currently not identified for VAT purposes. According to the VIES or other sources, supplies have been made after the date of cessation of the activity. Please explain. |
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□ C2 The taxable person in the requested State (□) / the taxable person in the requesting State (□) is not identified for VAT purposes. According to the VIES or other sources, supplies have been made before the date of registration. Please explain. |
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Transactions of goods/services |
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Goods □ C3 According to the VIES or other sources, the taxable person in the requested State made supplies of goods but the taxable person in the requesting State either: ○ did not declare a purchase of the goods; ○ denies receipt of the goods; ○ declared a purchase for a different amount and the declared amount is: Please investigate and explain. |
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□ I attach copies of documents in my possession. |
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□ C4 The purchase declared by the taxable person in the requesting State does not correspond with the information from VIES or other sources. Please investigate and explain. |
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□ C5 Please provide the addresses where the goods were delivered. |
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Addresses: |
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□ C6 The taxable person in the requesting State claims to have made supply to a person in the requested State. Please confirm that the goods were received and whether they were: □ accounted for: ○ Yes ○ No □ declared/paid by a taxable person in the requested State ○ Yes ○ No Name and/or VAT identification number of the taxable person in the requested State. |
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Prior/onward movement of the goods □ C7 From whom were the goods purchased? Please provide names, trading names and VAT numbers in box C41. □ C8 To whom were the goods sold on? Please provide names, trading names and VAT numbers in box C41. |
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Services □ C9 According to the VIES or other sources, the taxable person in the requested State made supplies of services taxable in the requesting State but the taxable person in the requesting State either: ○ did not declare the service; ○ denies having received the service; ○ declared having receiving the service for a different amount and the declared amount is: Please investigate and explain. |
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□ I attach copies of documents in my possession. □ C10 The a purchase declared by the taxable person in the requesting State do not correspond with the information from the VIES or other sources. Please investigate and explain. □ C11 Please provide the addresses where the services were provided. |
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Addresses: |
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□ C12 The taxable person in the requesting State claims to have made supply to a person in the requested State. Please confirm that the services were provided and whether they were: □ accounted for: ○ Yes ○ No □ declared/paid by a taxable person in the requested State ○ Yes ○ No Name and/or VAT identification number of the taxable person in the requested State. |
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Transport of goods □ C13 Please provide the name/VAT identification number and the address of the transporter. |
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Name and/or VAT identification number and address: |
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□ C14 Who ordered and paid the transportation of the goods? |
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Name and/or VAT identification number and address: |
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□ C15 Who is the owner of the means of transport used? |
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Name and/or VAT identification number and address: |
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Invoices □ C16 Please provide the amount invoiced and currency. |
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Payment □ C17 Please provide the amount paid and currency. |
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□ C18 Please provide the name of the bank account holder and the number of the account from which and/or to which the payment was made. |
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From: Name of the account holder: IBAN number or account number: Bank: To: Name of the account holder: IBAN number or account number: Bank: |
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□ C19 Please provide the following details where the payment was made in cash: □ Who handed over the money, to whom, where and when? □ What document (cash receipt, etc.) was issued confirming the payment? □ C20 Is there any evidence of third party payments? If yes, please provide additional information in box C41 ○ Yes ○ No |
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Placing of an order □ C21 Please furnish all available details of the person placing the order, how the order was placed and how the contact was established between the supplier and the customer. |
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Goods covered by special schemes/particular procedures Please tick the appropriate box and enter your question in box C40 □ C22 Triangular transactions. □ C23 Margin scheme. □ C24 Distance sales of goods □ covered by the Union scheme □ covered by the Import scheme □ C25 New means of transport sold to non-taxable persons. □ C26 Exemption under Customs Procedure 42XX / 63XX. □ C27 Gas and electricity. □ C28 Call-off stock arrangements. □ C29 Others: |
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Services covered by particular provisions Please tick the appropriate box and enter your question in box C40 □ C30 Supply of services provided by an intermediary. □ C31 Supply of services connected to immovable property. □ C32 Supplies of passenger transport. □ C33 Supplies of transport of goods. □ C34 Supply of cultural, artistic, sporting, scientific, educational, entertainment and similar services, ancillary transport services and valuations of and work on movable tangible property. □ C35 Supply of restaurant and catering services other than as provided for at C37. □ C36 Supply of transport hire. □ C37 Supply of restaurant and catering services for consumption on board of ships, aircraft or trains. □ C38 Supply of services □ covered by the non-Union scheme □ covered by the Union scheme □ C39 Services for which effective use and enjoyment rules are applied. □ C40 Background information and further questions |
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C41 Free text reply box |
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D) REQUEST FOR DOCUMENTS |
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Please provide copies of the following documents (where applicable see amount and period in part B12 and B13) |
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□ D1 Invoices |
○ Provided |
○ Not available |
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□ D2 Contracts |
○ Provided |
○ Not available |
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□ D3 Orders |
○ Provided |
○ Not available |
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□ D4 Evidence of payments |
○ Provided |
○ Not available |
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□ D5 Transport documentation |
○ Provided |
○ Not available |
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□ D6 Creditor's ledger for the taxable person in the requested State |
○ Provided |
○ Not available |
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□ D7 Debtor's ledger for the taxable person in the requested State |
○ Provided |
○ Not available |
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□ D8 Call-off stock registers From To |
○ Provided |
○ Not available |
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□ D9 One-stop-shop/import one-stop-shop records From To |
○ Provided |
○ Not available |
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□ D10 Bank account statements From To |
○ Provided |
○ Not available |
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□ D11 Others |
○ Provided |
○ Not available |
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E) SPONTANEOUS SUPPLY OF INFORMATION (GENERAL) |
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□ E1 Based on the records of the taxable person in the sending State, it appears that they should be registered in the receiving State. □ E2 According to the records of the taxable person in the sending State, □ goods / □ services were supplied to them by a taxable person in the receiving State, but no information is available via the VIES/Customs or other sources data. □ E3 According to the records of the taxable person in the sending State, VAT is to be paid on goods supplied to the receiving State, but no data was entered into VIES/Customs or other sources data. □ E4 According to the VIES/Customs or other sources data, the taxable person in the receiving State made supplies to a taxable person in the sending State but the latter taxable person either: □ did not declare a purchase of □ goods / receipt of □ services; □ denies the purchase of the □ goods / receipt of □ services. □ E5 According to the records of the taxable person in the sending State, VAT is to be paid on services supplied in the receiving State. □ E6 Background and additional information: □ E7 I attach copies of invoices in my possession. |
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F) MISSING TRADER FRAUD: REGISTRATION CONTROL / BUSINESS ACTIVITY |
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(A) Identification of the business |
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Requesting authority |
Requested authority |
Requested authority (3) |
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F1 VAT identification number (if not, tax identification number) |
F1 VAT identification number (if not, tax identification number) ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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VAT number: |
VAT number: |
VAT number: |
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□ VAT number not available |
□ VAT number not available |
□ VAT number not available |
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Tax identification number: |
Tax identification number: |
Tax identification number: |
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F2 Name |
F2 Name ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Name: |
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F3 Address |
F3 Address ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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Address: |
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F4 The following dates in the format (YYYY/MM/DD): |
F4 The following dates in the format (YYYY/MM/DD): ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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(a) issue of the VAT/tax identification number |
(a) issue of the VAT/tax identification number |
(a) issue of the VAT/tax identification number |
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(b) cancellation of the VAT/tax identification number |
(b) cancellation of the VAT/tax identification number |
(b) cancellation of the VAT/tax identification number |
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(c) Incorporation |
(c) Incorporation |
(c) Incorporation |
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F5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business |
F5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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(a) Name |
(a) Name |
(a) Name |
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(b) Address |
(b) Address |
(b) Address |
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(c) Date of birth |
(c) Date of birth |
(c) Date of birth |
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(d) Nationality |
(d) Nationality |
(d) Nationality |
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F6 Managers/directors |
F6 Managers/directors ○ Please fill in |
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○ Please confirm |
○ I confirm ○ I do not confirm |
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(a) Name |
(a) Name |
(a) Name |
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(b) Address |
(b) Address |
(b) Address |
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(c) Date of birth |
(c) Date of birth |
(c) Date of birth |
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(d) Nationality |
(d) Nationality |
(d) Nationality |
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(B) Information requested |
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□ F7 Are the persons referred to in F5 and F6 (with date of birth if known) contained in any of your databases? |
○ Yes ○ No |
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□ F8 Do those persons referred to in F5 and F6 have a financial criminal record? |
□ The information cannot be given for legal reasons. ○ Yes ○ No |
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□ F9 Do those persons referred to in F5 and F6 have a history of involvement in missing trader fraud or other type of fraud? |
□ The information cannot be given for legal reasons. ○ Yes ○ No |
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□ F10 Are those persons referred to in F5 and F6 either resident at or connected with the address given? |
○ Yes ○ No |
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□ F11 Is the stated address residential/business/temporary accommodation/accountant/other? |
○ Yes ○ No |
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□ F12 What is the business activity? |
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□ F13 Is the business's tax compliance suspect? |
○ Yes ○ No |
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□ F14 What is the reason for the cancellation of the VAT number? |
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□ F15 Please advise of any associated business (4) including their VAT identification numbers and any views as to their credibility. |
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□ F16 Please provide details of known bank accounts of the business in the requested State and any associated businesses. |
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□ F17 Please provide information from recapitulative statements or from Customs declarations on the supplies/purchases of goods/services for the year(s): |
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□ F18 Please provide information from VAT declarations/about payments for the year(s): |
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□ F19 Any additional comments: |
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G) SPONTANEOUS SUPPLY OF INFORMATION (MISSING TRADER FRAUD) |
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Sending authority |
Receiving authority |
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Identification of the business G1 VAT identification number (if not, tax identification number) |
Identification of the business G1 VAT identification number (if not, tax identification number) |
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VAT number: |
VAT number: |
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□ VAT number not available |
□ VAT number not available |
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Tax identification number: |
Tax identification number: |
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G2 Name |
G2 Name |
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G3 Address |
G3 Address |
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G4 The following dates in the format (YYYY/MM/DD): |
G4 The following dates in the format (YYYY/MM/DD): |
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(a) issue of the VAT/tax identification number |
(a) issue of the VAT/tax identification number |
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(b) cancellation of the VAT/tax identification number |
(b) cancellation of the VAT/tax identification number |
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(c) Incorporation |
(c) Incorporation |
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G5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business |
G5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business |
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(a) Name |
(a) Name |
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(b) Address |
(b) Address |
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(c) Date of birth |
(c) Date of birth |
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(d) Nationality |
(d) Nationality |
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G6 Managers, directors |
G6 Managers, directors |
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(a) Name |
(a) Name |
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(b) Address |
(b) Address |
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(c) Date of birth |
(c) Date of birth |
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(d) Nationality |
(d) Nationality |
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Any additional comments |
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H) FEEDBACK (5) |
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Results related to the information provided: |
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1) The information provided: |
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□ Resulted in an additional assessment of VAT or of other taxes. Please provide details on the type and amount of tax assessed: |
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Type of tax: |
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Additional assessment: |
||||
|
Penalty: |
||||
|
□ Resulted in VAT registration. |
||||
|
□ Resulted in VAT deregistration. |
||||
|
□ Resulted in the cancellation of a VAT number from VIES or from VAT registered taxpayer's database. |
||||
|
□ Resulted in the correction of VAT declarations. |
||||
|
□ Led to a desk enquiry. |
||||
|
□ Led to a new audit procedure or was used as part of an on-going audit. |
||||
|
□ Led to a fraud investigation. |
||||
|
□ Resulted in a request for information. |
||||
|
□ Led to a presence in administrative office or to participation in administrative enquiry. |
||||
|
□ Led to Multilateral control (MLC). |
||||
|
□ Resulted in other actions: |
||||
|
□ Did not result in any substantial action. |
||||
|
2) Other comments: |
||||
|
Date of transmission: |
||||
|
(1)
In this third column, the requested authority either fills in the information requested by the requesting authority (box "please fill in" ticked in the second column) or confirms the veracity of the information provided by the requesting authority (box "please confirm" ticked and information provided in the second column).
(2)
Actual principal activity means the real main activity carried out by the business (as opposed to another possibly declared one).
(3)
In this third column, the requested authority either fills in the information requested by the requesting authority (box "please fill in" ticked in the second column) or confirms the veracity of the information provided by the requesting authority (box "please confirm" ticked and information provided in the second column).
(4)
This is any business with common directors or other legal, economic or financial links with the business referred to in Heading A.
(5)
To be provided by the competent authority receiving the information. |
||||
SECTION 4
RECOVERY ASSISTANCE
Article 4.1
Communication
A request sent by electronic means for the application of Title III of this Protocol shall be sent between the CCN mailboxes that are set up for the type of tax or duty to which the request relates, unless the central liaison offices of the applicant and requested States agree that one of the mailboxes can be used for requests concerning different types of taxes or duties.
However, if a request for notification of documents relates to more than one type of tax or duty, the applicant authority shall send that request to a mailbox set up for at least one of the types of claims mentioned in the documents to be notified.
Article 4.2
Implementing rules relating to the uniform instrument permitting enforcement in the requested State
Article 4.3
Conversion of the sums to be recovered
For requests sent to a Member State, the exchange rate to be used for the purposes of the recovery assistance shall be the exchange rate published by the Bank of England on the day before the date on which the request is sent. Where there is no such rate available on that date, the exchange rate used shall be the latest exchange rate published by the Bank of England before the date the request is sent.
Article 4.4
Transfer of recovered amounts
However, if recovery measures applied by the requested authority are contested for a reason not falling within the responsibility of the applicant State, the requested authority may wait to transfer any sums recovered in relation to the applicant State's claim, until the dispute is settled, if the following conditions are simultaneously fulfilled:
the requested authority finds it likely that the outcome of this contestation will be favourable to the party concerned; and
the applicant authority has not declared that it will reimburse the sums already transferred if the outcome of that contestation is favourable to the party concerned.
Article 4.5
Reimbursement of recovered amounts
The requested authority shall notify any action taken in the requested State for reimbursement of sums recovered or for compensation in relation to recovery of contested claims to the applicant authority immediately after the requested authority has been informed of such action.
The requested authority shall as far as possible involve the applicant authority in the procedures for settling the amount to be reimbursed and the compensation due. Upon receipt of a reasoned request from the requested authority, the applicant authority shall transfer the sums reimbursed and the compensation paid within two months of the receipt of that request.
Article 4.6
Standard forms
Model A
Uniform notification form providing information about notified document(s)
(to be transmitted to the addressee of the notification)(1)
This document accompanies document(s) hereby notified by the competent authority of the following State: [name of requested State].
This notification concerns documents of the competent authorities of the following State: [name of applicant State], which asked for notification assistance, in accordance with Article PVAT.23 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom.
A. ADDRESSEE OF THE NOTIFICATION
|
– |
Name |
|
– |
Address (known or assumed) |
|
– |
Other data relevant to the identification of the addressee |
B. PURPOSE OF THE NOTIFICATION
This notification is intended:
|
□ |
to inform the addressee about the document(s) to which this document is attached |
|
□ |
to interrupt the period of limitation with regard to the claim(s) mentioned in the notified document(s). |
|
□ |
to confirm to the addressee, his/her obligation to pay the amounts mentioned under point D. |
Please note that in case of non-payment, the authorities may take enforcement and/or precautionary measures to ensure the recovery of the claim(s). This may cause extra costs charged to the addressee.
You are the addressee of this notification, as you are considered to be:
|
□ |
the principal debtor |
|
□ |
a co-debtor |
|
□ |
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures, under the laws in force in the applicant State |
|
□ |
a person other than the (co-)debtor, holding assets belonging to, or having debts towards, the (co-)debtor or to any other person liable |
|
□ |
a third party which may become affected by enforcement measures concerning other persons |
(The following information will appear if the addressee of the notification is a person other than the (co-)debtor, holding assets belonging to, or having debts towards, the (co-)debtor or to any other person liable, or a third party which may become affected by enforcement measures concerning other persons:
The notified documents concern claims relating to taxes and duties, for which the following person(s) is (are) liable as
|
□ |
the principal debtor: [name and address (known or assumed)] |
|
□ |
a co-debtor: [name and address (known or assumed)] |
|
□ |
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures, under the laws in force in the applicant State: [name and address (known or assumed)]). |
The applicant authority of the applicant State [name of the applicant State] invited the competent authorities of the requested State [name of the requested State] to make this notification before [date]. Please note that this date is not specifically related to any period of limitation.
C. OFFICE(S) RESPONSIBLE FOR THE NOTIFIED DOCUMENT(S)
Office responsible with regard to the attached document(s):
|
– |
Name: |
|
– |
Address: |
|
– |
Other contact details: |
|
– |
Language(s) in which this office can be contacted: |
Further information about □the notified document(s)□ and/or the possibility of contesting the obligations can be obtained
|
□ |
at the abovementioned office responsible with regard to the attached document(s), and/or |
|
|
□ |
from the following office: |
|
|
|
– |
Name: |
|
– |
Address: |
|
|
– |
Other contact details: |
|
|
– |
Language(s) in which this office can be contacted: |
|
D. DESCRIPTION OF THE NOTIFIED DOCUMENT(S)
Document [number]
|
– |
Reference number: |
|
|
– |
Date of establishment: |
|
|
– |
Nature of the notified document: |
|
|
|
□ |
Tax assessment |
|
□ |
Payment order |
|
|
□ |
Decision following an administrative appeal |
|
|
□ |
Other administrative document: |
|
|
□ |
Judgment or order of: |
|
|
□ |
Other judicial document: |
|
|
– |
Name of the claim(s) concerned (in the language of the applicant State): |
|
– |
Nature of the claim(s) concerned: |
|
– |
Amount of the claim(s) concerned: |
|
|
|
□ |
Principal amount: |
|
□ |
Administrative penalties and fines: |
|
|
□ |
Interest up to [date]: |
|
|
□ |
Costs up to [date]: |
|
|
□ |
Fees for certificates and similar documents issued in connection with administrative procedures related to the claim mentioned under point [x]: |
|
|
□ |
Total amount for this (these) claim(s): |
|
|
– |
The amount mentioned under point [x] should be paid: |
|
|
|
□ |
before: |
|
□ |
within [number] days following the date of this notification |
|
|
□ |
without any further delay |
|
|
– |
This payment should be made to: |
|
|
|
– |
Holder of the bank account: |
|
– |
International Bank Account Number (IBAN): |
|
|
– |
Bank Identification Code (BIC): |
|
|
– |
Name of the bank: |
|
|
– |
Reference to be used for the payment: |
|
– |
The addressee can reply to the document(s) that is (are) hereby notified. |
|
|
|
□ |
Last day for replying: |
|
□ |
Time period for replying: |
|
|
– |
Name and address of the authority to whom a reply can be sent: |
|
– |
Possibility of contesting: |
||
|
|
□ |
The period to contest the claim or the notified document(s) has already come to its end. |
|
|
□ |
Last day for contesting the claim: |
||
|
□ |
Time period to contest the claim: [number of days] following |
||
|
|
□ |
the date of this notification. |
|
|
□ |
the establishment of the notified document(s) |
||
|
□ |
another date: |
||
|
– |
Name and address of the authority where a contestation has to be submitted: |
Please note that disputes concerning the claim, the instrument permitting enforcement or any other document originating from the authorities of the applicant State [name of applicant State], fall within the competence of the competent bodies of the applicant State [name of applicant State], in accordance with Article PVAT.29 of the above Protocol between the European Union and the United Kingdom.
Any such dispute is governed by the procedural and language rules applying in the applicant State [name of applicant State].
|
□ |
Please note that the recovery may begin before the end of the period within which the claim may be contested. |
|
– |
Other information: |
______________
(1) The elements in italics are optional.
Model B
Uniform instrument permitting enforcement of claims covered by Article PVAT.27 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom(1)
UNIFORM INSTRUMENT PERMITTING ENFORCEMENT OF CLAIMS
|
– |
Date of issue: |
|
– |
Reference number: |
REVISED UNIFORM INSTRUMENT PERMITTING ENFORCEMENT OF CLAIMS
|
– |
Date of issue of the original uniform instrument: |
|
– |
Date of revision: |
|
– |
Reason for the revision: |
|
□ |
judgment or order of [name of the Court] of [date] |
|
□ |
administrative decision of [date] |
|
– |
Reference number: |
State where this document is issued: [name of applicant State]
Recovery measures taken by the requested State are based on:
|
□ |
a uniform instrument permitting enforcement, in accordance with Article PVAT.27 of the above Protocol. |
|
□ |
a revised uniform instrument permitting enforcement, in accordance with Article PVAT.30 of the above Protocol (to take account of the decision of the competent body referred to in Article PVAT.29(1) of that Protocol). |
This document is the uniform instrument permitting enforcement (including precautionary measures). It concerns the claim(s) mentioned below, which remain(s) unpaid in the applicant State [name of applicant State]. The initial instrument for the enforcement of this/these claim(s) has been notified in so far as required under the national law of the applicant State [name of applicant State].
Disputes concerning the claim(s) fall exclusively within the competence of the competent bodies of the applicant State [name of applicant State], in accordance with Article PVAT.29 of the above Protocol. Any such action shall be brought before them in accordance with the procedural and language rules in force in the applicant State [name of applicant State].
DESCRIPTION OF THE CLAIM(S) AND THE PERSON(S) CONCERNED
Identification of the claim(s) [number]
|
1. |
Reference: |
|
|
2. |
Nature of the claim(s) concerned: |
|
|
3. |
Name of the tax/duty concerned: |
|
|
4. |
Period or date concerned: |
|
|
5. |
Date of establishment of the claim: |
|
|
6. |
Date on which enforcement becomes possible: |
|
|
7. |
Amount of the claim still due: |
|
|
|
□ |
principal amount: |
|
□ |
administrative penalties and fines: |
|
|
□ |
interest till date before the day the request is sent: |
|
|
□ |
costs till date before the day the request is sent: |
|
|
□ |
total amount of this claim: |
8. Date of notification of the initial instrument permitting enforcement in the applicant State: [name of the applicant State]:
|
□ |
Date: |
|
□ |
No date available |
9. Office responsible for the assessment of the claim:
|
– |
Name: |
|
– |
Address: |
|
– |
Other contact details: |
|
– |
Language(s) in which this office can be contacted: |
10. Further information concerning the claim or the possibilities for contesting the payment obligation can be obtained from:
|
□ |
the office indicated above |
|
|
□ |
the following office responsible for the Uniform instrument permitting enforcement: |
|
|
|
– |
Name: |
|
– |
Address: |
|
|
– |
Other contact details: |
|
|
– |
Language(s) in which this office can be contacted: |
|
Identification of the person(s) concerned in the national instrument(s) permitting enforcement
The following person is mentioned in the national instrument(s) permitting enforcement
|
□ |
natural person |
|
|
□ |
other |
|
|
|
– |
Name |
|
– |
Address (known or assumed) |
|
|
– |
Other data relevant to the identification of the addressee |
|
|
□ |
Legal representative |
|
|
|
– |
Name |
|
– |
Address (known or assumed) |
|
|
– |
Other data relevant to the identification of the addressee |
|
Cause of liability:
|
□ |
principal debtor |
|
□ |
a co-debtor |
|
□ |
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws in force in the applicant State |
the following person(s) is (are) also mentioned in the national instrument(s) permitting enforcement:
|
□ |
natural person |
|
|
□ |
other |
|
|
|
– |
Name: |
|
– |
Address (known or assumed): |
|
|
– |
Other data relevant to the identification of the addressee: |
|
|
□ |
Legal representative |
|
|
|
– |
Name: |
|
– |
Address (known or assumed): |
|
|
– |
Other data relevant to the identification of the addressee: |
|
Cause of liability:
|
□ |
principal debtor |
|
□ |
a co-debtor |
|
□ |
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws in force in the applicant State |
Other information
Overall total amount of the claim(s)
|
– |
in the currency of the applicant State: |
|
– |
in the currency of the requested State: |
_____________
(1) The elements in italics are optional.
Model form C – request for information
REQUEST FOR INFORMATION
Based on Article PVAT.20 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RI
Nature of the claim(s):
|
1. STATE OF THE APPLICANT AUTHORITY |
||
|
A. Applicant authority Country: Name: Telephone: Reference of the file: Name of the official dealing with the request: Language skills |
|
B. Office initiating the request Name: Address: Postcode: Town: Telephone: E-mail: Reference of the file: Name of the official dealing with the request: |
|
2. STATE OF THE REQUESTED AUTHORITY |
||
|
A. Requested authority Country: Name: Telephone: Reference of the file: Name of the official dealing with the request: Language skills |
|
B. Office handling the request Name: Address: Postcode: Town: Telephone: E-mail: Reference of the file: Name of the official dealing with the request: |
|
3. INFORMATION RELATING TO THE REQUEST |
|
□ I, applicant authority, ask the requested authority not to inform the person(s) concerned about this request. □ I, applicant authority, confirm that the information to be received will be subject to the secrecy provisions defined in the legal basis quoted above. |
|
4. INFORMATIONRELATING TO THE PERSON CONCERNED |
|
A. Information is requested with regard to: □ For natural persons: First name(s): Surname: Maiden name (name at birth): Date of birth: Place of birth: VAT number: Tax Identification Number: Other identification data: Address of this person: □ known — □ assumed — Street and number: — Details of address: — Postcode and town: — Country: □ Or for legal entities: Company name: Legal status: VAT number: Tax Identification Number: Other identification data: Address of this legal entity: □ known — □ assumed — Street and number: — Details of address: — Postcode and town: — Country: □ Legal representative Name: Address of this legal representative: □ known — □ assumed — Street and number: — Details of address: — Postcode and town: — Country: |
|
B. Liability: the person concerned is: □ the principal debtor □ a co-debtor □ a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws in force in the applicant State; □ a person other than the (co-)debtor, holding assets belonging to, or having debts towards, the (co-)debtor or to any other person liable. □ a third party which may become affected by enforcement measures concerning other persons. |
|
C. Other relevant information concerning the above persons: □ Bank account number(s) — Bank account number (IBAN): — Bank identification code (BIC): — Name of the bank: □ Car information on 20YY/MM/DD — car plate number: — car brand: — colour of the car: □ Estimated or provisional or □ precise amount of the claim(s): □ Other: |
|
5. INFORMATION REQUESTED |
|
□ Information about the identity of the person concerned (for natural persons: full name, date and place of birth; for legal entities: company name and legal status) □ Information about the address □ Information about the income and assets for recovery □ Information about the heirs and/or legal successors □ Other: |
|
6. FOLLOW-UP OF THE REQUEST FOR INFORMATION |
|||||
|
Date |
Nr |
Message |
Applicant authority |
Requested authority |
|
|
date |
1 □ |
I, requested authority, acknowledge receipt of the request. |
|||
|
date □ To be combined with acknowledgment |
2 □ |
I, requested authority, invite the applicant authority to complete the request with the following additional information: |
|||
|
date |
3 □ |
I, requested authority, have not yet received the additional information required and will close your request if I do not receive this information before 20YY/MM/DD. |
|||
|
date |
4 |
I, applicant authority, |
|||
|
|
□ |
a |
provide on request the following additional information: |
||
|
|
□ |
b |
am not able to provide the requested additional information (because:) |
||
|
date |
5 □ |
I, requested authority, acknowledge receipt of the additional information and am now in a position to proceed. |
|||
|
date |
6 |
I, requested authority, do not provide assistance and close the case because: |
|||
|
□ |
a |
I do not have competence for any of the claims to which the request relates. |
|||
|
□ |
b |
the claim is older than foreseen in the Protocol. |
|||
|
□ |
c |
the amount of the claim is below the threshold. |
|||
|
□ |
d |
I am not able to obtain this information for the purpose of recovering similar national claims. |
|||
|
□ |
e |
this would disclose a commercial, industrial or professional secret. |
|||
|
□ |
f |
the disclosure of this information would be liable to prejudice the security or be contrary to the public policy of the State. |
|||
|
|
□ |
g |
the applicant authority did not provide all the required additional information |
||
|
|
□ |
h |
other reason: |
||
|
date |
7 □ |
I, applicant authority, ask to be informed about the present status of my request. |
|||
|
date |
8 |
I, requested authority, cannot provide the information now because: □ I have asked information from other public bodies. □ I have asked information from a third party. □ I am arranging a personal call. □ other reason: |
|||
|
date |
9 |
The requested information cannot be obtained because: |
|||
|
□ |
a |
the person concerned is not known. |
|||
|
□ |
b |
insufficient data for identification of person concerned. |
|||
|
□ |
c |
the person concerned has moved away, address unknown. |
|||
|
□ |
d |
the requested information is not available. |
|||
|
□ |
e |
other reason: |
|||
|
date |
10 □ |
I, requested authority, transmit the following part of the requested information: |
|||
|
date |
11 |
I, requested authority, transmit all (or the final part of) the requested information: |
|||
|
|
□ |
a |
Identity confirmed |
||
|
|
□ |
b |
Address confirmed |
||
|
|
□ |
c |
The following data about the identity of the person concerned have changed (or are added): |
||
|
|
|
|
For natural persons: |
||
|
|
|
|
□ First name(s): |
||
|
|
|
|
□ Surname: |
||
|
|
|
|
□ Maiden name: |
||
|
|
|
|
□ Date of birth: |
||
|
|
|
|
□ Place of birth: |
||
|
|
|
|
For legal entities: |
||
|
|
|
|
□ Legal Status: |
||
|
|
|
|
□ Company name: |
||
|
|
□ |
d |
The following address data have changed (or are added): |
||
|
|
|
|
□ Street and no.: |
||
|
|
|
|
□ Details of address: |
||
|
|
|
|
□ Postcode and town: |
||
|
|
|
|
□ Country: |
||
|
|
|
|
□ Telephone: |
||
|
|
|
|
□ Fax: |
||
|
|
|
|
□ E-mail: |
||
|
|
□ |
e |
Financial situation: |
||
|
|
|
|
□ Bank account(s) known: |
||
|
|
|
|
Bank account number (IBAN): … |
||
|
|
|
|
Bank identification code (BIC): … |
||
|
|
|
|
Name of the bank: … |
||
|
|
|
|
□ Employment details: □ Employee —□ Self-employed — □ Unemployed |
||
|
|
|
|
□ It seems that the person concerned has no means to settle the debt/no assets to cover recovery |
||
|
|
|
|
□ The person concerned is bankrupt/insolvent: |
||
|
|
|
|
— Date of order: |
||
|
|
|
|
— Date of release: |
||
|
|
|
|
— Liquidators details: |
||
|
|
|
|
Name: |
||
|
|
|
|
Street and no: |
||
|
|
|
|
Details of address: |
||
|
|
|
|
Postcode and town: |
||
|
|
|
|
Country: |
||
|
|
|
|
□ It seems that the person concerned has: |
||
|
|
|
|
□ limited means to partially settle the debt |
||
|
|
|
|
□ sufficient means/assets for recovery |
||
|
|
|
|
□ Comments: |
||
|
|
□ |
f |
Debt disputed |
||
|
|
|
|
□ person concerned has been advised to contest the claim in the State of the applicant authority |
||
|
|
|
|
□ references of the dispute, if available: |
||
|
|
|
|
□ further details attached |
||
|
|
□ |
g |
Debtor deceased on YYYY/MM/DD |
||
|
|
□ |
h |
Name and address of heirs/will executor: |
||
|
|
□ |
i |
Other comments: |
||
|
|
□ |
j |
I recommend proceeding with recovery procedures |
||
|
|
□ |
k |
I recommend not proceeding with recovery procedures |
||
|
date |
12 □ |
I, applicant authority, withdraw my request for information. |
|||
|
date |
13 □ |
Other: comment from o applicant authority or o requested authority: |
|||
Model form D – request for notification
REQUEST FOR NOTIFICATION
Based on Article PVAT.23 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RN
Nature of the claim(s):
|
1. STATE OF THE APPLICANT AUTHORITY |
||
|
A. Applicant authority Country: Name: Telephone: Reference of the file: Name of the official dealing with the request: Language skills: |
|
B. Office initiating the request Name: Address: Postcode: Town: Telephone: E-mail: Reference of the file: Name of the official dealing with the request: |
|
2. STATE OF THE REQUESTED AUTHORITY |
||
|
A. Requested authority Country: Name: Telephone: Reference of the file: Name of the official dealing with the request: Language skills: |
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B. Office handling the request Name: Address: Postcode: Town: Telephone: E-mail: Reference of the file: Name of the official dealing with the request: |
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3. INFORMATION RELATING TO THE REQUEST |
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□ Final date for notification of these documents in order to avoid problems with the limitation period (if necessary): 20YY/MM/DD □ Other comments: |
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4. IDENTIFICATION OF THE ADDRESSEE OF THE NOTIFICATION |
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A. The notification should be made to: □ For natural persons: First name(s): Surname: Maiden name (name at birth): Date of birth: Place of birth: VAT number: Tax Identification Number: Other identification data: Address of this person: □ known — □ assumed: Street and number: Details of address: Postcode and town: Country: □ Or for legal entities: Company name: Legal status: VAT number: Tax Identification Number: Other identification data: Address of this legal entity: □ known — □ assumed Street and number: Details of address: Postcode and town: Country: □ Legal representative Name: Address of this legal representative: □ known — □ assumed Street and number: Details of address: Postcode and town: Country: |
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B. Other relevant information concerning the above persons: |
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5 |
PURPOSE OF THE NOTIFICATION: see the attached uniform notification form. |
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6 |
DESCRIPTION OF THE NOTIFIED DOCUMENT(S): see the attached uniform notification form. |
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7. FOLLOW-UP OF THE REQUEST FOR NOTIFICATION |
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Date |
Nr |
Message |
Applicant authority |
Requested authority |
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date |
1 □ |
I, requested authority, acknowledge receipt of the request. |
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date |
2 □ |
I, requested authority, invite the applicant authority to complete the request with the following additional information: |
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date |
3 □ |
I, requested authority, have not yet received the additional information required and will close your request if I do not receive this information before 20YY/MM/DD. |
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date |
4 |
I, applicant authority, |
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□ |
a |
provide on request the following additional information: |
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□ |
b |
I am not able to provide the requested additional information (because: ) |
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date |
5 □ |
I, requested authority, acknowledge receipt of the additional information and am now in a position to proceed. |
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date |
6 □ □ |
I, requested authority, do not provide assistance and close the case because: |
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a |
I do not have competence for any of the taxes to which the request relates. |
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b |
the claim(s) is/are older than foreseen in the Protocol. |
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c |
the amount of the claim(s) is below the threshold. |
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d |
the applicant authority did not provide all the required additional information |
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e |
Other reason: |
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date |
7 □ |
I, applicant authority, ask to be informed about the present status of my request. |
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date |
8 |
I, requested authority, certify: |
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□ |
a |
that the document(s) has (have) been notified to the addressee, with legal effect according to the national legislation of the State of the requested authority, on 20YY/MM/DD. |
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The notification was made in the following manner: |
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□ to the addressee in person |
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□ by mail |
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□ by electronic mail |
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□ by registered mail |
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□ by bailiff |
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□ by another procedure |
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□ |
b |
that the above-mentioned document(s) could not be notified to the person concerned for the following reasons: |
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□ addressee(s) not known |
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□ addressee(s) deceased |
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□ addressee(s) has (have) left the State. New address: |
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□ other: |
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date |
9 □ |
I, applicant authority, withdraw my request for notification. |
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date |
10 □ |
Other: comment from o applicant authority or o requested authority |
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Model form E – request for recovery or precautionary measures
REQUEST FOR □ RECOVERY MEASURES
Based on Article PVAT.25 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
AND/OR □ PRECAUTIONARY MEASURES
Based on Article PVAT.31 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RR(RP)
Nature of the claim(s):
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1. STATE OF THE APPLICANT AUTHORITY |
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A. Applicant authority Country: Name: Telephone: Reference of the file: Name of the official dealing with the request: Language skills: |
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B. Office initiating the request Name: Address: Postcode: Town: Telephone: E-mail: Reference of the file: Name of the official dealing with the request: |
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2. STATE OF THE REQUESTED AUTHORITY |
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A. Requested authority Country: Name: Telephone: Reference of the file: Name of the official dealing with the request: Language skills: |
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B. Office handling the request Name: Address: Postcode: Town: Telephone: E-mail: Reference of the file: Name of the official dealing with the request: |
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3. INFORMATION ABOUT THE REQUEST |
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□ The claim(s) is (are) the subject of an instrument permitting enforcement in the applicant State. □ The claim(s) is (are) not yet subject of an instrument permitting enforcement in the applicant State. □ The claim(s) is (are) not contested. □ The claim(s) may no longer be contested by an administrative appeal/by an appeal to the courts. □ The claim(s) is (are) contested but the laws, regulations and administrative practices in force in the State of the applicant authority allow recovery of a contested claim. □ The total amount of the claims for which assistance is requested, is not less than GBP 5 000 . □ This request relates to claims that fulfil the age requirement applying under the Protocol. □ This request for precautionary measures is based on the reasons described in the attached document(s). □ This request is accompanied by an instrument permitting precautionary measures in the applicant state. □ I request not to inform the debtor/other person concerned prior to the precautionary measures. □ Please contact me if the following specific situation occurs (by using the free text field at the end of the request form: □ I, applicant authority will reimburse the sums already transferred if the outcome of the contestation is favourable to the party concerned. □ Sensitive case: |
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4. PAYMENT INSTRUCTIONS |
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A. Please remit the amount of the claim recovered to: — Bank account number (IBAN): — Bank identification code (BIC): — Name of the bank: — Name of the account holder: — Address of the account holder: — Payment reference to be used at the transfer of the money: |
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B. Payment by instalment is: □ acceptable without further consultation □ only acceptable after consultation (Please use box 7, point 20 for this consultation) □ not acceptable |
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5. INFORMATION ABOUT THE PERSON CONCERNED BY THE REQUEST |
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A |
Recovery/precautionary measures are requested with regard to: |
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□ For natural persons: First name(s): Surname: Maiden name (name at birth): Date of birth: Place of birth: VAT number: Tax Identification Number: Other identification data: Address of this person/legal entity: □ known — □ assumed Street and number: Details of address: Postcode and town: □ Or for legal entities: Legal status: Company name: VAT number: Tax Identification Number: Other identification data: Address of this person/legal entity: □ known — □ assumed Street and number: Details of address: Postcode and town: — other information concerning this person: — □Legal representative — Name: Details of address: □ known — □ assumed Street and number: Postcode and town: Country: |
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B |
Other relevant information concerning this request and/or person |
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1 □ |
The following person(s) is (are) co-debtor(s): [It should be possible to add more than 1 name of such persons] — Identity of this person: —□ For natural persons: Name: Date of birth: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: □ Or for legal entities: Legal status: Company name: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: — other information concerning this (these) co-debtor(s): |
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2 □ |
The following person(s) is (are) holding assets belonging to the person concerned by this request: [It should be possible to add more than 1 name of such persons] — Identity of this person: —□ For natural persons: Name: Date of birth: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: □ Or for legal entities: Legal status: Company name: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: — assets held by this other person: |
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3 □ |
The following person(s) is (are) having debts towards the person concerned by this request: [It should be possible to add more than 1 name of such persons] — Identity of this person: —□ For natural persons: Name: Date of birth: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: □ Or for legal entities: Legal status: Company name: VAT number Tax Identification Number: Street and number: Details of address: Postcode and town: — (future) debts of this other person: |
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4 □ |
There (is) are (an)other person(s) than the person concerned by this request, who (is) are liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws of the applicant State. [It should be possible to add more than 1 name of such persons] — Identity of this person: —□ For natural persons: Name: Date of birth: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: □ Or for legal entities: Legal status: Company name: VAT number: Tax Identification Number: Street and number: Details of address: Postcode and town: — Reason or nature of the liability of this other person: |
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6. DESCRIPTION OF THE CLAIM(S): see the attached uniform instrument permitting enforcement in the requested State. |
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7. FOLLOW-UP OF THE REQUEST |
Applicant authority |
Requested authority |
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|
date |
1 □ |
I, requested authority, acknowledge receipt of the request. |
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date □ To be combined with acknowledgment |
2 □ |
I, requested authority, invite the applicant authority to complete the request with the following additional information: |
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date |
3 □ |
I, requested authority, have not yet received the additional information required and will close your request if I do not receive this information before 20YY/MM/DD. |
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date |
4 |
I, applicant authority, |
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□ |
a |
provide on request the following additional information: |
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□ |
b |
am not able to provide the requested additional information (because: ) |
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|
date |
5 □ |
I, requested authority, acknowledge receipt of the additional information and am now in a position to proceed. |
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date |
6 |
I, requested authority, do not provide assistance and close the case because: |
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|
|
□ |
a |
I do not have competence for the claims to which your request relates. |
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□ |
b |
I do not have competence for the following claim(s) of your request: |
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|
□ |
c |
the claim(s) is/are older than foreseen in the Protocol. |
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|
□ |
d |
the total amount is less than the threshold foreseen in the Protocol. |
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|
□ |
e |
the applicant authority did not provide all the required additional information. |
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|
□ |
f |
Other reason: |
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|
date |
7 □ |
I, applicant authority, ask to be informed about the present status of my request. |
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date |
8 |
I, requested authority, will not take the requested action(s), for the following reasons: |
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|
□ |
a |
my national legislation and practice does not allow recovery measures for claims that are contested. |
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□ |
b |
my national legislation and practice does not allow precautionary measures for claims that are contested. |
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|
9 |
I, requested authority, have conducted the following procedures for recovery and/or precautionary measures: |
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date |
□ |
a |
I established contact with the debtor and requested payment on 20YY/MM/DD. |
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date |
□ |
b |
I am negotiating payment by instalment. |
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date |
□ |
c |
I have commenced enforcement procedures on 20YY/MM/DD. |
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The following actions have been taken: |
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□ |
d |
I have commenced precautionary measures on 20YY/MM/DD. |
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The following actions have been taken: |
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|
□ |
e |
I, requested authority, inform the applicant authority that the measures which I have taken (described under point c and/or d above) have the following effect on the period of limitation: |
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□ suspension |
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□ interruption |
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□ prolongation □ till 20YY/MM/DD – □ with xx years/months/weeks/days |
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I ask the applicant State to inform me if the same effect is not provided for under the laws in force in the applicant State. |
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□ |
f |
I, requested authority, inform the applicant authority that suspension, interruption or prolongation of the period of limitation is not possible under the laws of the requested State. |
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|
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I ask the applicant State to confirm whether the measures which I have taken (described under point c and/or d above) have interrupted, suspended or prolonged the time limit for recovery and, if so, what the new time limit is. |
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|
date |
10 □ |
Procedures are still going on. I, requested authority, will inform applicant authority when changes occur. |
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|
date |
11 □ |
a |
I, applicant authority, confirm that: as a result of the action mentioned under point 9, the time limit has been changed. The new time limit is: … |
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|
□ |
b |
My national laws do not provide for the suspension, interruption or prolongation of the period of limitation. |
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|
12 |
I, requested authority, inform the applicant authority that: |
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|
date |
□ |
a |
the claim has been fully recovered on 20YY/MM/DD |
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|
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— of which the following amount (indicate the currency of the State of the requested authority) relates to the claim as mentioned in the request: |
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— of which the following amount relates to the interest charged under the laws of the State of the requested authority: |
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date |
□ |
b |
the claim has been partly recovered on 20YY/MM/DD, |
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— for the amount of (indicate the currency of the State of the requested authority): |
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— of which the following amount relates to the claim as mentioned in the request: |
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— of which the following amount relates to the interest charged under the laws of the State of the requested authority: |
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□ I will take no further action. |
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□ I will continue recovery procedures. |
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date |
□ |
c |
precautionary measures have been taken. |
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(The requested authority is invited to indicate the nature of these measures:) |
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date |
□ |
d |
the following payment by instalment has been agreed: |
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date |
13 |
I, requested authority, confirm that all or part of the claim could not be recovered/ precautionary measures will not be taken, and the case will be closed because: |
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|
□ |
a |
The person concerned is not known. |
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□ |
b |
The person concerned is known, but moved to: |
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□ |
c |
The person concerned is known, but moved to an unknown address. |
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□ |
d |
The person concerned is deceased on YYYY/MM/DD. |
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□ |
e |
Debtor/co-debtor is insolvent. |
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□ |
f |
Debtor/co-debtor is bankrupt and the claim has been lodged. Date of order: … --- Date of release: … |
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□ |
g |
Debtor/co-debtor is bankrupt / no recovery possible |
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|
□ |
h |
Others: |
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|
date |
14 □ |
I, applicant authority, confirm that the case is closed. |
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|
date |
15 □ |
I, requested authority, inform the applicant authority that I have received notification that an action has been launched contesting the claim or the instrument permitting its enforcement and will suspend enforcement procedures. Further, |
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|
□ |
a |
I have taken precautionary measures to ensure recovery of the claim on …. |
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□ |
b |
I ask the applicant authority to inform me whether I should recover the claim. |
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|
□ |
c |
I inform the applicant authority that the laws, regulations and administrative practices in force in the State in which I am situated do not permit (continued) recovery of the claim as long as it is contested. |
|||
|
date |
16 |
I, applicant authority, having been informed that an action has been launched contesting the claim or the instrument permitting its enforcement, |
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|
□ |
a |
ask the requested authority to suspend any action which it has undertaken. |
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|
□ |
b |
ask the requested authority to take precautionary measures to ensure recovery of the claim. |
|||
|
□ |
c |
ask the requested authority to (continue to) recover the claim. |
|||
|
date |
17 □ |
I, requested authority, inform the applicant authority that the laws, regulations and administrative practices in force in the State in which I am situated do not permit the action requested: □ under point 16(b). □ under point 16(c). |
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|
date |
18 |
I, applicant authority, |
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|
|
□ |
a |
amend the request for recovery/precautionary measures □ in accordance with the decision about the contested claim, [this information about the decision will be put in box 6A] □ because part of the claim was paid directly to the applicant authority; □ for another reason: …. |
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|
□ |
b |
ask the requested authority to resume enforcement procedures since the contestation was not favourable to the debtor (decision of the body competent in this matter of …). |
||
|
date |
19 |
I, applicant authority, withdraw this request for recovery/precautionary measures because: |
|||
|
□ |
a |
the amount was paid directly to the applicant authority. |
|||
|
□ |
b |
the time limit for recovery action has elapsed. |
|||
|
□ |
c |
the claim(s) has (have) been annulled by a national court or by an administrative body. |
|||
|
□ |
d |
the instrument permitting enforcement has been annulled. |
|||
|
□ |
e |
other reason: … |
|||
|
date |
20 □ |
Other: comment from o applicant authority or o requested authority (Please start each comment by indicating the date) |
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PROTOCOL
ON MUTUAL ADMINISTRATIVE ASSISTANCE IN CUSTOMS MATTERS
Article PCUST.1
Definitions
1. For the purposes of this Protocol:
"applicant authority" means a competent administrative authority which has been designated by a Party for this purpose and which makes a request for assistance on the basis of this Protocol;
"operations in breach of customs legislation" means any violation or attempted violation of customs legislation;
"requested authority" means a competent administrative authority which has been designated by a Party for this purpose and which receives a request for assistance on the basis of this Protocol.
2. Unless otherwise provided in this Protocol, the definitions of Chapter 5 of Title I of Heading One of Part Two of this Agreement also apply to this Protocol.
Article PCUST.2
Scope
1. The Parties shall assist each other in the areas within their competence, in the manner and under the conditions laid down in this Protocol, to ensure the correct application of customs legislation, in particular by preventing, investigating and combating operations in breach of that legislation.
2. The provisions on assistance in customs matters provided for in this Protocol apply to any administrative authority of either Party which is competent for the application of this Protocol. That assistance shall neither prejudice the provisions governing mutual assistance in criminal matters nor shall it cover information obtained under powers exercised at the request of a judicial authority, except where communication of such information is authorised by that authority.
3. Assistance in the recovery of duties, taxes or fines is covered by the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
Article PCUST.3
Assistance on request
1. At the request of the applicant authority, the requested authority shall provide the applicant authority with all relevant information which may enable the applicant authority to ensure that customs legislation is correctly applied, including information related to activities noted or planned which are or could be operations in breach of customs legislation.
2. At the request of the applicant authority, the requested authority shall in particular inform it whether:
goods exported from the territory of one of the Parties have been properly imported into the territory of the other Party, specifying, where appropriate, the customs procedure applied to the goods;
goods imported into the territory of one of the Parties have been properly exported from the territory of the other Party, specifying, where appropriate, the customs procedure applied to the goods.
3. At the request of the applicant authority, the requested authority shall take the necessary steps in accordance with its applicable laws and regulations to ensure special surveillance of and to provide the applicant authority with information on:
natural or legal persons in respect of whom there are reasonable grounds for believing that they are or have been involved in operations in breach of customs legislation;
goods that are or may be transported in such a way that there are reasonable grounds for believing that they have been or are intended to be used in operations in breach of customs legislation;
places where stocks of goods have been or may be stored or assembled in such a way that there are reasonable grounds for believing that these goods have been or are intended to be used in operations in breach of customs legislation;
means of transport that are or may be used in such a way that there are reasonable grounds for believing that they are intended to be used in operations in breach of customs legislation; and
premises suspected by the applicant authority of being used to commit breaches of customs legislation.
Article PCUST.4
Spontaneous assistance
Wherever possible, on their own initiative, the Parties shall assist each other in accordance with their laws and regulations by providing information on concluded, planned or ongoing activities which constitute or appear to constitute operations in breach of customs legislation and which may be of interest to the other Party. The information shall focus in particular on:
goods known to be subject to operations in breach of customs legislation;
persons in respect of whom there are reasonable grounds for believing they are or have been involved in operations in breach of customs legislation;
means of transport in respect of which there are reasonable grounds for believing that they have been, are, or may be used in operations in breach of customs legislation; and
new means or methods employed in carrying out operations in breach of customs legislation.
Article PCUST.5
Form and substance of requests for assistance
1. Requests pursuant to this Protocol shall be made in writing either in print or electronic format. They shall be accompanied by the documents necessary to enable compliance with the request. In case of urgency, the requested authority may accept oral requests, but such oral requests shall be confirmed by the applicant authority in writing promptly.
2. Requests pursuant to paragraph 1 shall include the following information:
the applicant authority and requesting official;
the information or type of assistance requested;
the object of and the reason for the request;
the laws and regulations and other legal elements involved;
indications as exact and comprehensive as possible on the goods or persons who are the target of the investigations;
a summary of the relevant facts and of the enquiries already carried out; and
any additional available details to enable the requested authority to comply with the request.
3. Requests shall be submitted in an official language of the requested authority or in a language acceptable to that authority, English always being an acceptable language. This requirement does not apply to any documents that accompany the request under paragraph 1.
4. If a request does not meet the formal requirements set out in this Article, the requested authority may require the correction or the completion of the request; pending such correction or completion, precautionary measures may be ordered.
Article PCUST.6
Execution of requests
1. In order to comply with a request for assistance, the requested authority shall proceed promptly, within the limits of its competence, as though it was acting on its own account or at the request of another authority of that same Party, by supplying information already in its possession, by carrying out appropriate enquiries or by arranging for those enquiries to be carried out. This provision shall also apply to any other authority to which the request has been addressed by the requested authority when the latter cannot act on its own. In providing any such assistance the requested authority shall give appropriate consideration to the urgency of the request.
2. Requests for assistance shall be executed in accordance with the laws and regulations of the requested Party.
Article PCUST.7
Form in which information is to be communicated
1. The requested authority shall communicate results of enquiries conducted pursuant to a request made under this Protocol to the applicant authority in writing, together with relevant documents, certified copies of documents or other items. This information may be provided in electronic format.
2. Original documents shall be transmitted according to each Party's legal constraints, only at the request of the applicant authority, in cases where certified copies would be insufficient. The applicant authority shall return those originals at the earliest opportunity.
3. Under the provisions referred to in paragraph 2, the requested authority shall deliver to the applicant authority any information related to the authenticity of the documents issued or certified by official agencies within its territory in support of a goods declaration.
Article PCUST.8
Presence of officials of one Party in the territory of another
1. Duly authorised officials of a Party may, with the agreement of the other Party and subject to the conditions laid down by the latter, be present in the offices of the requested authority or any other concerned authority referred to in Article PCUST.6(1) to obtain information relating to activities that are or could be operations in breach of customs legislation which the applicant authority needs for the purposes of this Protocol.
2. With the agreement of the requested Party, and subject to the conditions it may specify, duly authorised officials of the other Party may be present at enquiries carried out in the requested Party's territory.
Article PCUST.9
Delivery and notification
1. At the request of the applicant authority, the requested authority shall take all necessary measures in accordance with its applicable laws and regulations in order to deliver any documents or to notify any decisions of the applicant authority that fall within the scope of this Protocol, to an addressee residing or established in the territory of the requested authority.
2. Such requests for the delivery of documents or the notification of decisions shall be made in writing in an official language of the requested authority or in a language acceptable to that authority.
Article PCUST.10
Automatic exchange of information
1. The Parties may, by mutual arrangement in accordance with Article PCUST.15 of this Protocol:
exchange any information covered by this Protocol on an automatic basis;
exchange specific information in advance of the arrival of consignments in the territory of the other Party.
2. The Parties may establish arrangements on the type of information they wish to exchange, the format and the frequency of transmission to implement the exchanges under points (a) and (b) of paragraph 1.
Article PCUST.11
Exceptions to the obligation to provide assistance
1. Assistance under this Protocol may be refused or may be subject to the satisfaction of certain conditions or requirements in cases where a Party is of the opinion that such assistance would:
be likely to prejudice the sovereignty of the United Kingdom or that of a Member State which has been requested to provide assistance under this Protocol;
be likely to prejudice public policy, security or other essential interests; or
violate an industrial, commercial or professional secret.
2. The requested authority may postpone the assistance on the grounds that such assistance will interfere with ongoing investigations, prosecutions or proceedings. In such a case, the requested authority shall consult with the applicant authority to determine if assistance can be given subject to such terms or conditions as the requested authority may require.
3. Where the applicant authority seeks assistance which it would itself be unable to provide if so requested, it shall draw attention to that fact in its request. It shall then be for the requested authority to decide how to respond to such a request.
4. In the cases referred to in paragraphs 1 and 2, the requested authority shall communicate its decision and the reasons for that decision to the applicant authority without delay.
Article PCUST.12
Information exchange and confidentiality
1. The information received under this Protocol shall be used solely for the purposes established in this Protocol.
2. The use of information obtained under this Protocol in administrative or judicial proceedings instituted in respect of operations in breach of customs legislation is considered to be for the purposes of this Protocol. Therefore, the Parties may use information obtained and documents consulted in accordance with the provisions of this Protocol as evidence in their records of evidence, reports and testimonies and in proceedings and charges brought before the courts or tribunals. The requested authority may subject the supply of information or the granting of access to documents to the condition that it is notified of such use.
3. Where one of the Parties wishes to use such information for other purposes, it shall obtain the prior written consent of the authority which provided the information. Such use shall then be subject to any restrictions laid down by that authority.
4. Any information communicated in whatsoever form pursuant to this Protocol shall be considered to be of a confidential or restricted nature, in accordance with the laws and regulations applicable in each Party. That information shall be covered by the obligation of professional secrecy and shall enjoy the protection granted to similar information under the relevant laws and regulations of the receiving Party, unless the Party which provided the information gives its prior consent to the disclosure of such information. The Parties shall communicate to each other information on their applicable laws and regulations.
Article PCUST.13
Experts and witnesses
The requested authority may authorise its officials to appear, within the limitations of the authorisation granted, as experts or witnesses in judicial or administrative proceedings regarding the matters covered by this Protocol, and produce such objects, documents or confidential or certified copies thereof, as may be needed for the proceedings. The request for appearance must indicate specifically before which judicial or administrative authority the official will have to appear, on what matters and by virtue of what title or qualification the official will be questioned.
Article PCUST.14
Assistance expenses
1. Subject to paragraphs 2 and 3, the Parties shall waive any claims on each other for reimbursements of expenses incurred in the execution of this Protocol.
2. Expenses and allowances paid to experts, witnesses, interpreters and translators, other than public service employees, shall be borne as appropriate by the requesting Party.
3. If expenses of a substantial or extraordinary nature are or will be required to execute the request, the Parties shall consult to determine the terms and conditions under which the request is to be executed, as well as the manner in which the costs are to be borne.
Article PCUST.15
Implementation
1. The implementation of this Protocol shall be entrusted on the one hand to the customs authorities of the United Kingdom and on the other hand to the competent services of the European Commission and the customs authorities of the Member States of the Union, as appropriate. They shall decide on all practical measures and arrangements necessary for the implementation of this Protocol, taking into consideration their respective applicable laws and regulations, in particular for the protection of personal data.
2. Each Party shall keep the other Party informed of the detailed implementation measures which it adopts in accordance with the provisions of this Protocol, in particular with respect to the duly authorised services and officials designated as competent to send and receive the communications provided for in this Protocol.
3. In the Union, the provisions of this Protocol shall not affect the communication of any information obtained under this Protocol between the competent services of the European Commission and the customs authorities of the Member States.
Article PCUST.16
Other agreements
The provisions of this Protocol shall take precedence over the provisions of any bilateral agreement on mutual administrative assistance in customs matters which has been or may be concluded between individual Member States of the Union and the United Kingdom insofar as the provisions of those bilateral agreements are incompatible with those of this Protocol.
Article PCUST.17
Consultations
In respect of the interpretation and implementation of this Protocol, the Parties shall consult each other to resolve the matter in the framework of the Trade Specialised Committee on Customs Cooperation and Rules of Origin.
Article PCUST.18
Future developments
With a view to supplementing the levels of mutual assistance provided for in this Protocol, the Trade Specialised Committee on customs cooperation and rules of origin may adopt a decision to expand this Protocol by establishing arrangements on specific sectors or matters in accordance with the Parties' respective customs legislation.
PROTOCOL
ON SOCIAL SECURITY COORDINATION
TITLE I
GENERAL PROVISIONS
Article SSC.1
Definitions
For the purposes of this Protocol, the following definitions apply:
"activity as an employed person" means any activity or equivalent situation treated as such for the purposes of the social security legislation of the State in which such activity or equivalent situation exists;
"activity as a self-employed person" means any activity or equivalent situation treated as such for the purposes of the social security legislation of the State in which such activity or equivalent situation exists;
"assisted reproduction services" means any medical, surgical or obstetric services provided for the purpose of assisting a person to carry a child;
"benefits in kind" means:
for the purposes of Chapter 1 of Title III, benefits in kind provided for under the legislation of a State which are intended to supply, make available, pay directly or reimburse the cost of medical care and products and services ancillary to that care;
for the purposes of Chapter 2 of Title III, all benefits in kind relating to accidents at work and occupational diseases as defined in point (i) and provided for under the States' accidents at work and occupational diseases schemes;
"child-raising period" refers to any period which is credited under the pension legislation of a State or which provides a supplement to a pension explicitly for the reason that a person has raised a child, irrespective of the method used to calculate those periods and whether they accrue during the time of child-raising or are acknowledged retroactively;
"civil servant" means a person considered to be such or treated as such by the State to which the administration employing them is subject;
"competent authority" means, in respect of each State, the Minister, Ministers or other equivalent authority responsible for social security schemes throughout or in any part of the State in question;
"competent institution" means:
the institution with which the person concerned is insured at the time of the application for benefit; or
the institution from which the person concerned is or would be entitled to benefits if that person or a member or members of their family resided in the State in which the institution is situated; or
the institution designated by the competent authority of the State concerned; or
in the case of a scheme relating to an employer's obligations in respect of the benefits set out in Article SSC.3(1), either the employer or the insurer involved or, in default thereof, the body or authority designated by the competent authority of the State concerned;
"competent State" means the State in which the competent institution is situated;
"death grant" means any one-off payment in the event of death, excluding the lump-sum benefits referred to in point (w);
"family benefit" means all benefits in kind or in cash intended to meet family expenses;
"frontier worker" means any person pursuing an activity as an employed or self-employed person in a State and who resides in another State to which that person returns as a rule daily or at least once a week;
"home base" means the place from where the crew member normally starts and ends a duty period or a series of duty periods, and where, under normal conditions, the operator/airline is not responsible for the accommodation of the crew member concerned;
"institution" means, in respect of each State, the body or authority responsible for applying all or part of the legislation;
"institution of the place of residence" and "institution of the place of stay" mean, respectively, the institution which is competent to provide benefits in the place where the person concerned resides and the institution which is competent to provide benefits in the place where the person concerned is staying, in accordance with the legislation administered by that institution or, where no such institution exists, the institution designated by the competent authority of the State concerned;
"insured person", in relation to the social security branches covered by Chapters 1 and 3 of Title III, means any person satisfying the conditions required under the legislation of the State competent under Title II in order to have the right to benefits, taking into account the provisions of this Protocol;
"legislation" means, in respect of each State, laws, regulations and other statutory provisions and all other implementing measures relating to the social security branches covered by Article SSC.3(1), but excludes contractual provisions other than those which serve to implement an insurance obligation arising from the laws and regulations referred to in this point or which have been the subject of a decision by the public authorities which makes them obligatory or extends their scope, provided that the State concerned makes a declaration to that effect, notified to the Specialised Committee on Social Security Coordination. The European Union shall publish such a declaration in the Official Journal of the European Union;
"long-term care benefit" means a benefit in kind or in cash the purpose of which is to address the care needs of a person who, on account of impairment, requires considerable assistance, including but not limited to assistance from another person or persons to carry out essential activities of daily living for an extended period of time in order to support their personal autonomy; this includes benefits granted for the same purpose to a person providing such assistance;
"member of the family" means:
any person defined or recognised as a member of the family or designated as a member of the household by the legislation under which benefits are provided;
with regard to benefits in kind pursuant to Chapter 1 of Title III, any person defined or recognised as a member of the family or designated as a member of the household by the legislation of the State in which that person resides;
if the legislation of a State which is applicable under point (i) does not make a distinction between the members of the family and other persons to whom it is applicable, the spouse, minor children, and dependent children who have reached the age of majority shall be considered members of the family;
if, under the legislation which is applicable under points (i) and (ii), a person is considered a member of the family or member of the household only if that person lives in the same household as the insured person or pensioner, this condition shall be considered satisfied if the person in question is mainly dependent on the insured person or pensioner;
"period of employment" or "period of self-employment" mean periods so defined or recognised by the legislation under which they were completed, and all periods treated as such, where they are regarded by that legislation as equivalent to periods of employment or to periods of self-employment;
"period of insurance" means periods of contribution, employment or self-employment as defined or recognised as periods of insurance by the legislation under which they were completed or considered as completed, and all periods treated as such, where they are regarded by that legislation as equivalent to periods of insurance;
"period of residence" means periods so defined or recognised by the legislation under which they were completed or considered as completed;
"pension" covers not only pensions but also lump-sum benefits which can be substituted for them and payments in the form of reimbursement of contributions and, subject to the provisions of Title III, revaluation increases or supplementary allowances;
"pre-retirement benefit" means all cash benefits, other than an unemployment benefit or an early old-age benefit, provided from a specified age to workers who have reduced, ceased or suspended their remunerative activities until the age at which they qualify for an old-age pension or an early retirement pension, the receipt of which is not conditional upon the person concerned being available to the employment services of the competent State; "early old-age benefit" means a benefit provided before the normal pension entitlement age is reached and which either continues to be provided once the said age is reached or is replaced by another old-age benefit;
"refugee" has the meaning assigned to it in Article 1 of the Convention relating to the Status of Refugees, signed in Geneva on 28 July 1951;
"registered office or place of business" means the registered office or place of business where the essential decisions of the undertaking are adopted and where the functions of its central administration are carried out;
"residence" means the place where a person habitually resides;
"special non-contributory cash benefits" means those non-contributory cash benefits which:
are intended to provide either:
supplementary, substitute or ancillary cover against the risks covered by the branches of social security referred to in Article SSC.3(1), and which guarantee the persons concerned a minimum subsistence income having regard to the economic and social situation in the State concerned; or
solely specific protection for the disabled, closely linked to the said person's social environment in the State concerned, and
where the financing exclusively derives from compulsory taxation intended to cover general public expenditure and the conditions for providing and for calculating the benefits are not dependent on any contribution in respect of the beneficiary. However, benefits provided to supplement a contributory benefit shall not be considered to be contributory benefits for this reason alone;
"special scheme for civil servants" means any social security scheme which is different from the general social security scheme applicable to employed persons in the State concerned and to which all, or certain categories of, civil servants are directly subject;
"stateless person" has the meaning assigned to it in Article 1 of the Convention relating to the Status of Stateless Persons, signed in New York on 28 September 1954;
"stay" means temporary residence.
Article SSC.2
Persons covered
This Protocol applies to persons, including stateless persons and refugees, who are or have been subject to the legislation of one or more States, as well as to the members of their families and their survivors.
Article SSC.3
Matters covered
1. This Protocol applies to the following branches of social security:
sickness benefits;
maternity and equivalent paternity benefits;
invalidity benefits;
old-age benefits;
survivors' benefits;
benefits in respect of accidents at work and occupational diseases;
death grants;
unemployment benefits;
pre-retirement benefits.
2. Unless otherwise provided for in Annex SSC-6, this Protocol applies to general and special social security schemes, whether contributory or non-contributory, and to schemes relating to the obligations of an employer or ship-owner.
3. The provisions of Title III do not, however, affect the legislative provisions of any State concerning a ship-owner's obligations.
4. This Protocol does not apply to:
special non-contributory cash benefits which are listed in Part 1 of Annex SSC-1;
social and medical assistance;
benefits in relation to which a State assumes the liability for damages to persons and provides for compensation, such as those for victims of war and military action or their consequences; victims of crime, assassination or terrorist acts; victims of damage occasioned by agents of the State in the course of their duties; or victims who have suffered a disadvantage for political or religious reasons or for reasons of descent;
long-term care benefits which are listed in Part 2 of Annex SSC-1;
assisted reproduction services;
payments which are connected to a branch of social security listed in paragraph 1 and which are:
paid to meet expenses for heating in cold weather; and
listed in Part 3 of Annex SSC-1;
family benefits.
Article SSC.4
Non-discrimination between Member States
1. Social security coordination arrangements established in this Protocol shall be based on the principle of non-discrimination between the Member States.
2. This Article is without prejudice to any arrangements made between the United Kingdom and Ireland concerning the Common Travel Area.
Article SSC.5
Equality of treatment
1. Unless otherwise provided for in this Protocol, as regards the branches of social security covered by Article SSC.3(1), persons to whom this Protocol applies shall enjoy the same benefits and be subject to the same obligations under the legislation of any State as the nationals thereof.
2. This provision does not apply to the matters referred to in Article SSC.3(4).
Article SSC.6
Equal treatment of benefits, income, facts or events
Unless otherwise provided for in this Protocol, the States shall ensure the application of the principle of equal treatment of benefits, income, facts or events in the following manner:
where, under the legislation of the competent State, the receipt of social security benefits and other income has certain legal effects, the relevant provisions of that legislation shall also apply to the receipt of equivalent benefits acquired under the legislation of another State or to income acquired in another State;
where, under the legislation of the competent State, legal effects are attributed to the occurrence of certain facts or events, that State shall take account of like facts or events that have occurred in any other State as though they had taken place in its own territory.
Article SSC.7
Aggregation of periods
Unless otherwise provided for in this Protocol, the competent institution of a State shall, to the extent necessary, take into account periods of insurance, employment, self-employment or residence completed under the legislation of any other State as though they were periods completed under the legislation which it applies, where its legislation makes conditional upon the completion of periods of insurance, employment, self-employment or residence:
the acquisition, retention, duration or recovery of the right to benefits;
the coverage by legislation; or
the access to or the exemption from compulsory, optional continued or voluntary insurance.
Article SSC.8
Waiving of residence rules
The States shall ensure the application of the principle of exportability of cash benefits in accordance with points (a) and (b):
Cash benefits payable under the legislation of a State or under this Protocol shall not be subject to any reduction, amendment, suspension, withdrawal or confiscation on account of the fact that the beneficiary or the members of their family reside in a State other than that in which the institution responsible for providing benefits is situated.
Point (a) does not apply to the cash benefits covered by points (c) and (h) of Article SSC.3(1).
Article SSC.9
Preventing of overlapping of benefits
Unless otherwise provided, this Protocol shall neither confer nor maintain the right to several benefits of the same kind for one and the same period of compulsory insurance.
TITLE II
DETERMINATION OF THE LEGISLATION APPLICABLE
Article SSC.10
General rules
1. Persons to whom this Protocol applies shall be subject to the legislation of a single State only. Such legislation shall be determined in accordance with this Title.
2. For the purposes of this Title, persons receiving cash benefits because or as a consequence of their activity as an employed or self-employed person shall be considered to be pursuing the said activity. This shall not apply to invalidity, old-age or survivors' pensions or to pensions in respect of accidents at work or occupational diseases or to sickness benefits in cash covering treatment for an unlimited period.
3. Subject to Articles SSC.11, SSC.12 and SSC.13:
a person pursuing an activity as an employed or self-employed person in a State shall be subject to the legislation of that State;
a civil servant shall be subject to the legislation of the State to which the administration employing them is subject;
any other person to whom points (a) and (b) do not apply shall be subject to the legislation of the State of residence, without prejudice to other provisions of this Protocol guaranteeing them benefits under the legislation of one or more other States.
4. For the purposes of this Title, an activity as an employed or self-employed person normally pursued on board a vessel at sea flying the flag of a State shall be deemed to be an activity pursued in the said State. However, a person employed on board a vessel flying the flag of a State and remunerated for such activity by an undertaking or a person whose registered office or place of business is in another State shall be subject to the legislation of the latter State if that person resides in that State. The undertaking or person paying the remuneration shall be considered as the employer for the purposes of the said legislation.
5. An activity as a flight crew or cabin crew member performing air passenger or freight services shall be deemed to be an activity pursued in the State where the home base is located.
Article SSC.11
Detached workers
1. By way of derogation from Article SSC.10(3) and as a transitional measure in relation to the situation that existed before the entry into force of this Agreement, the following rules as regards the applicable legislation apply between the Member States listed in Category A of Annex SSC-8 and the United Kingdom:
a person who pursues an activity as an employed person in a State for an employer which normally carries out its activities there and who is sent by that employer to another State to perform work on that employer's behalf shall continue to be subject to the legislation of the first State, provided that:
the duration of such work does not exceed 24 months; and
that person is not sent to replace another detached worker.
a person who normally pursues an activity as a self-employed person in a State who goes to pursue a similar activity in another State shall continue to be subject to the legislation of the first State, provided that the anticipated duration of such activity does not exceed 24 months.
2. By the date of entry into force of this Agreement, the Union shall notify the United Kingdom which of the following categories each Member State falls under:
Category A: The Member State has notified the Union that it wishes to derogate from Article SSC.10 in accordance with this Article;
Category B: The Member State has notified the Union that it does not wish to derogate from Article SSC.10; or
Category C: The Member State has not indicated whether it wishes to derogate from Article SSC.10.
3. The document referred to in paragraph 2 shall become the content of Annex SSC-8 on the date of entry into force of this Agreement.
4. For Member States which are listed in Category A on the date of entry into force of this Agreement, points (a) and (b) of paragraph 1 shall apply.
5. For Member States which are listed in Category C on the date of entry into force of this Agreement, points (a) and (b) of paragraph 1 shall apply as though that Member State was listed in Category A for one month after the date of entry into force of this Agreement. The Specialised Committee on Social Security Coordination shall move a Member State from Category C to Category A if the Union notifies the Specialised Committee on Social Security Coordination that that Member State wishes to be so moved.
6. A month after the date of entry into force of this Agreement, Categories B and C will cease to exist. The Parties shall publish an updated Annex SSC-8 as soon as possible thereafter. For the purpose of paragraph 1, Annex SSC-8 will be considered as containing only Category A Member States as from the date of that publication.
7. Where a person is in a situation referred to in paragraph 1 involving a Category C Member State before the publication of an updated Annex SSC-8 in accordance with paragraph 6, paragraph 1 shall continue to apply to that person for the duration of their activities under paragraph 1.
8. The Union shall notify the Specialised Committee on Social Security Coordination if a Member State wishes to be removed from Category A of Annex SSC-8 and the Specialised Committee on Social Security Coordination shall, at the request of the Union, remove that Member State from Category A of Annex SSC-8. The Parties shall publish an updated Annex SSC-8 which shall apply as from the first day of the second month following the receipt of the request by the Specialised Committee on Social Security Coordination.
9. Where a person is in a situation referred to in paragraph 1 before the publication of an updated Annex SSC-8 in accordance with paragraph 8, paragraph 1 shall continue to apply to that person for the duration of that person's activities under paragraph 1.
Article SSC.12
Pursuit of activities in two or more States
1. A person who normally pursues an activity as an employed person in one or more Member States as well as in the United Kingdom shall be subject to:
the legislation of the State of residence if that person pursues a substantial part of their activity in that State; or
if that person does not pursue a substantial part of their activity in the State of residence:
the legislation of the State in which the registered office or place of business of the undertaking or employer is situated if that person is employed by one undertaking or employer; or
the legislation of the State in which the registered office or place of business of the undertakings or employers is situated if that person is employed by two or more undertakings or employers which have their registered office or place of business in only one State; or
the legislation of the State in which the registered office or place of business of the undertaking or employer is situated other than the State of residence if that person is employed by two or more undertakings or employers, which have their registered office or place of business in a Member State and the United Kingdom, one of which is the State of residence; or
the legislation of the State of residence if that person is employed by two or more undertakings or employers, at least two of which have their registered office or place of business in different States other than the State of residence.
2. A person who normally pursues an activity as a self-employed person in one or more Member States as well as in the United Kingdom shall be subject to:
the legislation of the State of residence if that person pursues a substantial part of their activity in that State; or
the legislation of the State in which the centre of interest of their activities is situated, if that person does not reside in one of the States in which that person pursues a substantial part of their activity.
3. A person who normally pursues an activity as an employed person and an activity as a self-employed person in two or more States shall be subject to the legislation of the State in which that person pursues an activity as an employed person or, if that person pursues such an activity in two or more States, to the legislation determined in accordance with paragraph 1.
4. A person who is employed as a civil servant by a State and who pursues an activity as an employed person or as a self-employed person in one or more other States shall be subject to the legislation of the State to which the administration employing that person is subject.
5. A person who normally pursues an activity as an employed person in two or more Member States (and not in the United Kingdom) shall be subject to the legislation of the United Kingdom if that person does not pursue a substantial part of that activity in the State of residence and that person:
is employed by one or more undertakings or employers, all of which have their registered office or place of business in the United Kingdom;
resides in a Member State and is employed by two or more undertakings or employers, all of which have their registered office or place of business in the United Kingdom and the Member State of residence;
resides in the United Kingdom and is employed by two or more undertakings or employers, at least two of which have their registered office or place of business in different Member States; or
resides in the United Kingdom and is employed by one or more undertakings or employers, none of which have a registered office or place of business in another State.
6. A person who normally pursues an activity as a self-employed person in two or more Member States (and not in the United Kingdom), without pursuing a substantial part of that activity in the State of residence, shall be subject to the legislation of the United Kingdom if the centre of interest of their activity is situated in the United Kingdom.
7. Paragraph 6 shall not apply in the case of a person who normally pursues an activity as an employed person and as a self-employed person in two or more Member States.
8. Persons referred to in paragraphs 1 to 6 shall be treated, for the purposes of the legislation determined in accordance with these provisions, as though they were pursuing all their activities as employed or self-employed persons and were receiving all their income in the State concerned.
Article SSC.13
Voluntary insurance or optional continued insurance
1. Articles SSC.10, SSC.11 and SSC.12 do not apply to voluntary insurance or to optional continued insurance unless, in respect of one of the branches referred to in Article SSC.3, only a voluntary scheme of insurance exists in a State.
2. Where, by virtue of the legislation of a State, the person concerned is subject to compulsory insurance in that State, that person may not be subject to a voluntary insurance scheme or an optional continued insurance scheme in another State. In all other cases in which, for a given branch, there is a choice between several voluntary insurance schemes or optional continued insurance schemes, the person concerned shall join only the scheme of their choice.
3. However, in respect of invalidity, old-age and survivors' benefits, the person concerned may join the voluntary or optional continued insurance scheme of a State, even if that person is compulsorily subject to the legislation of another State, provided that that person has been subject, at some stage in his or her career, to the legislation of the first State because or as a consequence of an activity as an employed or self-employed person and if such overlapping is explicitly or implicitly allowed under the legislation of the first State.
4. Where the legislation of a State makes admission to voluntary insurance or optional continued insurance conditional upon residence in that State or upon previous activity as an employed or self-employed person, point (b) of Article SSC.6 shall apply only to persons who have been subject, at some earlier stage, to the legislation of that State on the basis of an activity as an employed or self-employed person.
Article SSC.14
Obligations of the employer
1. An employer who has its registered office or place of business outside the competent State shall fulfil all the obligations laid down by the legislation applicable to its employees, notably the obligation to pay the contributions provided for by that legislation, as if it had its registered office or place of business in the competent State.
2. An employer who does not have a place of business in the State whose legislation is applicable and the employee may agree that the latter may fulfil the employer's obligations on its behalf as regards the payment of contributions without prejudice to the employer's underlying obligations. The employer shall send notice of such an arrangement to the competent institution of that State.
TITLE III
SPECIAL PROVISIONS CONCERNING THE VARIOUS CATEGORIES OF BENEFITS
CHAPTER 1
SICKNESS, MATERNITY AND EQUIVALENT PATERNITY BENEFITS
SECTION 1
INSURED PERSONS AND MEMBERS OF THEIR FAMILIES EXCEPT PENSIONERS AND MEMBERS OF THEIR FAMILIES
Article SSC.15
Residence in a State other than the competent State
An insured person or members of their family who reside in a State other than the competent State shall receive in the State of residence benefits in kind provided, on behalf of the competent institution, by the institution of the place of residence, in accordance with the legislation it applies, as though the persons concerned were insured under the said legislation.
Article SSC.16
Stay in the competent State when residence is in another State – special rules for the members of the families of frontier workers
1. Unless otherwise provided for by paragraph 2, the insured person and the members of their family referred to in Article SSC.15 shall also be entitled to benefits in kind while staying in the competent State. The benefits in kind shall be provided by the competent institution and at its own expense, in accordance with the legislation it applies, as though the persons concerned resided in that State.
2. The members of the family of a frontier worker shall be entitled to benefits in kind during their stay in the competent State.
Where the competent State is listed in Annex SSC-2 however, the members of the family of a frontier worker who reside in the same State as the frontier worker shall be entitled to benefits in kind in the competent State only under the conditions laid down in Article SSC.17(1).
Article SSC.17
Stay outside the competent State
1. Unless otherwise provided for by paragraph 2, an insured person and the members of their family staying in a State other than the competent State shall be entitled to benefits in kind, provided on behalf of the competent institution by the institution of the place of stay in accordance with the legislation it applies, as though the persons concerned were insured under that legislation, where:
the benefits in kind become necessary on medical grounds during their stay, in the opinion of the provider of the benefits in kind, taking into account the nature of the benefits and the expected length of the stay;
the person did not travel to that State with the purpose of receiving the benefits in kind, unless the person is a passenger or member of the crew on a vessel or aircraft travelling to that State and the benefits in kind became necessary on medical grounds during the voyage or flight; and
a valid entitlement document is presented in accordance with Article SSCI.22(1) of Annex SSC-7.
2. Appendix SSCI-2 to Annex SSC-7 lists benefits in kind which, in order to be provided during a stay in another State, require for practical reasons a prior agreement between the person concerned and the institution providing the care.
Article SSC.18
Travel with the purpose of receiving benefits in kind – authorisation to receive appropriate treatment outside the State of residence
1. Unless otherwise provided for in this Protocol, an insured person travelling to another State with the purpose of receiving benefits in kind during the stay shall seek authorisation from the competent institution.
2. An insured person who is authorised by the competent institution to go to another State with the purpose of receiving the treatment appropriate to their condition shall receive the benefits in kind provided, on behalf of the competent institution, by the institution of the place of stay, in accordance with the legislation it applies, as though that person were insured under the said legislation. The authorisation shall be accorded where the treatment in question is among the benefits provided for by the legislation in the State where the person concerned resides and where that person cannot be given such treatment within a time limit which is medically justifiable, taking into account their current state of health and the probable course of their illness.
3. Paragraphs 1 and 2 apply mutatis mutandis to the members of the family of an insured person.
4. If the members of the family of an insured person reside in a State other than the State in which the insured person resides, and this State has opted for reimbursement on the basis of fixed amounts, the cost of the benefits in kind referred to in paragraph 2 shall be borne by the institution of the place of residence of the members of the family. In this case, for the purposes of paragraph 1, the institution of the place of residence of the members of the family shall be considered to be the competent institution.
Article SSC.19
Cash benefits
1. An insured person and members of their family residing or staying in a State other than the competent State shall be entitled to cash benefits provided by the competent institution in accordance with the legislation it applies. By agreement between the competent institution and the institution of the place of residence or stay, such benefits may, however, be provided by the institution of the place of residence or stay at the expense of the competent institution in accordance with the legislation of the competent State.
2. The competent institution of a State whose legislation stipulates that the calculation of cash benefits shall be based on average income or on an average contribution basis shall determine such average income or average contribution basis exclusively by reference to the incomes confirmed as having been paid, or contribution bases applied, during the periods completed under the said legislation.
3. The competent institution of a State whose legislation provides that the calculation of cash benefits shall be based on standard income shall take into account exclusively the standard income or, where appropriate, the average of standard incomes for the periods completed under the said legislation.
4. Paragraphs 2 and 3 apply mutatis mutandis to cases where the legislation applied by the competent institution lays down a specific reference period which corresponds in the case in question either wholly or partly to the periods which the person concerned has completed under the legislation of one or more other States.
Article SSC.20
Pension claimants
1. An insured person who, on making a claim for a pension, or during the investigation thereof, ceases to be entitled to benefits in kind under the legislation of the State last competent, shall remain entitled to benefits in kind under the legislation of the State in which that person resides, provided that the pension claimant satisfies the insurance conditions of the legislation of the State referred to in paragraph 2. The right to benefits in kind in the State of residence shall also apply to the members of the family of the pension claimant.
2. The benefits in kind shall be chargeable to the institution of the State which, in the event of a pension being awarded, would become competent under Articles SSC.21, SSC.22 and SSC.23.
SECTION 2
SPECIAL PROVISIONS FOR PENSIONERS AND MEMBERS OF THEIR FAMILIES
Article SSC.21
Right to benefits in kind under the legislation of the State of residence
A person who receives a pension or pensions under the legislation of two or more States, of which one is the State of residence, and who is entitled to benefits in kind under the legislation of that State, shall, with the members of their family, receive such benefits in kind from and at the expense of the institution of the place of residence, as though that person were a pensioner whose pension was payable solely under the legislation of that State.
Article SSC.22
No right to benefits in kind under the legislation of the State of residence
1. A person who:
resides in a State;
receives a pension or pensions under the legislation of one or more States; and
is not entitled to benefits in kind under the legislation of the State of residence,
shall nevertheless receive such benefits for themselves and the members of their family, insofar as the pensioner would be entitled to them under the legislation of the State competent in respect of their pension or at least one of the States competent, if that person resided in that State. The benefits in kind shall be provided at the expense of the institution referred to in paragraph 2 by the institution of the place of residence, as though the person concerned were entitled to a pension and entitled to benefits in kind under the legislation of that State.
2. In the cases covered by paragraph 1, the cost of the benefits in kind shall be borne by the institution as determined in accordance with the following rules:
where the pensioner is treated as if he or she were entitled to benefits in kind under the legislation of one State, the cost of those benefits shall be borne by the competent institution of that State;
where the pensioner is treated as if he or she were entitled to benefits in kind under the legislation of two or more States, the cost of those benefits shall be borne by the competent institution of the State to whose legislation the person has been subject for the longest period of time;
if the application of the rule in point (b) would result in several institutions being responsible for the cost of those benefits, the cost shall be borne by the competent institution of the State to whose legislation the pensioner was last subject.
Article SSC.23
Pensions under the legislation of one or more States other than the State of residence, where there is a right to benefits in kind in the latter State
Where a person receiving a pension or pensions under the legislation of one or more States resides in a State under whose legislation the right to receive benefits in kind is not subject to conditions of insurance, or conditions of activity as an employed or self-employed person, and that person does not receive a pension from the State of residence, the cost of benefits in kind provided to them and to members of their family shall be borne by the institution of one of the States competent in respect of the person's pensions determined in accordance with Article SSC.22(2), to the extent that the person and the members of their family would be entitled to such benefits if they resided in that State.
Article SSC.24
Residence of members of the family in a State other than the one in which the pensioner resides
Where a person:
receives a pension or pensions under the legislation of one or more States; and
resides in a State other than the one in which members of his or her family reside,
those members of that person's family shall be entitled to receive benefits in kind from the institution of the place of their residence in accordance with the legislation it applies insofar as the pensioner is entitled to benefits in kind under the legislation of a State. The costs shall be borne by the competent institution responsible for the costs of the benefits in kind provided to the pensioner in their State of residence.
Article SSC.25
Stay of the pensioner or the members of their family in a State other than the State of residence – stay in the competent State – authorisation for appropriate treatment outside the State of residence
1. Article SSC.17 applies mutatis mutandis to:
a person receiving a pension or pensions under the legislation of one or more States and who is entitled to benefits in kind under the legislation of one of the States which provide their pension(s);
the members of their family,
who are staying in a State other than the one in which they reside.
2. Article SSC.16(1) applies mutatis mutandis to the persons described in paragraph 1 when they stay in the State in which is situated the competent institution responsible for the cost of the benefits in kind provided to the pensioner in his or her State of residence and that State has opted for this and is listed in Annex SSC-3.
3. Article SSC.18 applies mutatis mutandis to a pensioner or members of his or her family who are staying in a State other than the one in which they reside with the purpose of receiving in that State the treatment appropriate to their condition.
4. Unless otherwise provided for by paragraph 5, the cost of the benefits in kind referred to in paragraphs 1 to 3 shall be borne by the competent institution responsible for the cost of benefits in kind provided to the pensioner in their State of residence.
5. The cost of the benefits in kind referred to in paragraph 3 shall be borne by the institution of the place of residence of the pensioner or of the members of their family, if these persons reside in a State which has opted for reimbursement on the basis of fixed amounts. In these cases, for the purposes of paragraph 3, the institution of the place of residence of the pensioner or of the members of their family shall be considered to be the competent institution.
Article SSC.26
Cash benefits for pensioners
1. Cash benefits shall be paid to a person receiving a pension or pensions under the legislation of one or more States by the competent institution of the State in which is situated the competent institution responsible for the cost of benefits in kind provided to the pensioner in their State of residence. Article SSC.19 applies mutatis mutandis.
2. Paragraph 1 also applies to the members of a pensioner's family.
Article SSC.27
Contributions by pensioners
1. The institution of a State which is responsible under the legislation it applies for making deductions in respect of contributions for sickness, maternity and equivalent paternity benefits, may request and recover such deductions, calculated in accordance with the legislation it applies, only to the extent that the cost of the benefits pursuant to Articles SSC.21 to SSC.24 is to be borne by an institution of that State.
2. Where, in the cases referred to in Article SSC.23, the acquisition of sickness, maternity and equivalent paternity benefits is subject to the payment of contributions or similar payments under the legislation of a State in which the pensioner concerned resides, these contributions shall not be payable by virtue of such residence.
SECTION 3
COMMON PROVISIONS
Article SSC.28
General provisions
Articles SSC.21 to SSC.27 do not apply to a pensioner or the members of the pensioner's family who are entitled to benefits under the legislation of a State on the basis of an activity as an employed or self-employed person. In such cases, the person concerned shall be subject, for the purposes of this Chapter, to Articles SSC.15 to SSC.19.
Article SSC.29
Prioritising of the right to benefits in kind – special rule for the right of members of the family to benefits in the State of residence
1. Unless otherwise provided for by paragraphs 2 and 3, where a member of the family has an independent right to benefits in kind based on the legislation of a State or on this Chapter such right shall take priority over a derivative right to benefits in kind for members of the family.
2. Unless otherwise provided for by paragraph 3, where the independent right in the State of residence exists directly and solely on the basis of the residence of the person concerned in that State, a derivative right to benefits in kind shall take priority over the independent right.
3. Notwithstanding paragraphs 1 and 2, benefits in kind shall be provided to the members of the family of an insured person at the expense of the competent institution in the State in which they reside, where:
those members of the family reside in a State under whose legislation the right to benefits in kind is not subject to conditions of insurance or activity as an employed or self-employed person; and
the spouse or the person caring for the children of the insured person pursues an activity as an employed or self-employed person in that State, or receives a pension from that State on the basis of an activity as an employed or self-employed person.
Article SSC.30
Reimbursements between institutions
1. The benefits in kind provided by the institution of a State on behalf of the institution of another State under this Chapter shall give rise to full reimbursement.
2. The reimbursements referred to in paragraph 1 shall be determined and effected in accordance with the arrangements set out in Annex SSC-7, either on production of proof of actual expenditure, or on the basis of fixed amounts for States whose legal or administrative structures are such that the use of reimbursement on the basis of actual expenditure is not appropriate.
3. The States, and their competent authorities, may provide for other methods of reimbursement or waive all reimbursement between the institutions coming under their jurisdiction.
CHAPTER 2
BENEFITS IN RESPECT OF ACCIDENTS AT WORK AND OCCUPATIONAL DISEASES
Article SSC.31
Right to benefits in kind and in cash
1. Without prejudice to any more favourable provisions in paragraphs 2 and 3 of this Article, Article SSC.15 and Articles SSC.16(1), SSC.17(1) and SSC.18(1) also apply to benefits relating to accidents at work or occupational diseases.
2. A person who has sustained an accident at work or has contracted an occupational disease and who resides or stays in a State other than the competent State shall be entitled to the special benefits in kind of the scheme covering accidents at work and occupational diseases provided, on behalf of the competent institution, by the institution of the place of residence or stay in accordance with the legislation which it applies, as though that person were insured under that legislation.
3. The competent institution may not refuse to grant the authorisation provided for in Article SSC.18(1) to a person who has sustained an accident at work or who has contracted an occupational disease and is entitled to benefits chargeable to that institution, where the treatment appropriate to his or her condition cannot be given in the State in which that person resides within a time limit which is medically justifiable, taking into account that person's current state of health and the probable course of the illness.
4. Article SSC.19 also applies to benefits falling within this Chapter.
Article SSC.32
Costs of transport
1. The competent institution of a State whose legislation provides for meeting the costs of transporting a person who has sustained an accident at work or is suffering from an occupational disease, either to their place of residence or to a hospital, shall meet such costs to the corresponding place in the State where the person resides, provided that that institution gives prior authorisation for such transport, duly taking into account the reasons justifying it. Such authorisation shall not be required in the case of a frontier worker.
2. The competent institution of a State whose legislation provides for meeting the costs of transporting the body of a person killed in an accident at work to the place of burial shall, in accordance with the legislation it applies, meet such costs to the corresponding place in the State where the person was residing at the time of the accident.
Article SSC.33
Benefits for an occupational disease where the person suffering from such a disease has been exposed to the same risk in several States
When a person who has contracted an occupational disease has, under the legislation of two or more States, pursued an activity which by its nature is likely to cause the said disease, the benefits that that person or his or her survivors may claim shall be provided exclusively under the legislation of the last of those States whose conditions are satisfied.
Article SSC.34
Aggravation of an occupational disease
In the event of aggravation of an occupational disease for which a person suffering from such a disease has received or is receiving benefits under the legislation of a State, the following rules shall apply:
if the person concerned, while in receipt of benefits, has not pursued, under the legislation of another State, an activity as an employed or self-employed person likely to cause or aggravate the disease in question, the competent institution of the first State shall bear the cost of the benefits under the provisions of the legislation which it applies, taking into account the aggravation;
if the person concerned, while in receipt of benefits, has pursued such an activity under the legislation of another State, the competent institution of the first State shall bear the cost of the benefits under the legislation it applies without taking the aggravation into account. The competent institution of the second State shall grant a supplement to the person concerned, the amount of which shall be equal to the difference between the amount of benefits due after the aggravation and the amount which would have been due prior to the aggravation under the legislation it applies, if the disease in question had occurred under the legislation of that State;
the rules concerning reduction, suspension or withdrawal laid down by the legislation of a State shall not be invoked against persons receiving benefits provided by institutions of two States in accordance with point (b).
Article SSC.35
Rules for taking into account the special features of certain legislation
1. If there is no insurance against accidents at work or occupational diseases in the State in which the person concerned resides or stays, or if such insurance exists but there is no institution responsible for providing benefits in kind, those benefits shall be provided by the institution of the place of residence or stay responsible for providing benefits in kind in the event of sickness.
2. If there is no insurance against accidents at work or occupational diseases in the competent State, the provisions of this Chapter concerning benefits in kind shall nevertheless be applied to a person who is entitled to those benefits in the event of sickness, maternity or equivalent paternity under the legislation of that State if that person sustains an accident at work or suffers from an occupational disease during a residence or stay in another State. Costs shall be borne by the institution that is competent for the benefits in kind under the legislation of the competent State.
3. Article SSC.6 applies to the competent institution in a State as regards the equivalence of accidents at work and occupational diseases which either have occurred or have been confirmed subsequently under the legislation of another State when assessing the degree of incapacity, the right to benefits or the amount thereof, on condition that:
no compensation is due in respect of an accident at work or an occupational disease which had occurred or had been confirmed previously under the legislation it applies; and
no compensation is due in respect of an accident at work or an occupational disease which had occurred or had been confirmed subsequently, under the legislation of the other State under which the accident at work or the occupational disease had occurred or been confirmed.
Article SSC.36
Reimbursements between institutions
1. Article SSC.30 also applies to benefits falling within this Chapter, and reimbursement shall be made on the basis of actual costs.
2. The States, or their competent authorities, may provide for other methods of reimbursement or waive all reimbursement between the institutions under their jurisdiction.
CHAPTER 3
DEATH GRANTS
Article SSC.37
Right to grants where death occurs in, or where the person entitled resides in, a State other than the competent one
1. When an insured person or a member of their family dies in a State other than the competent State, the death shall be deemed to have occurred in the competent State.
2. The competent institution shall be obliged to provide death grants payable under the legislation it applies, even if the person entitled resides in a State other than the competent State.
3. Paragraphs 1 and 2 shall also apply when the death is the result of an accident at work or an occupational disease.
Article SSC.38
Provision of benefits in the event of the death of a pensioner
1. In the event of the death of a pensioner who was entitled to a pension under the legislation of one State, or to pensions under the legislations of two or more States, when that pensioner was residing in a State other than that of the institution responsible for the cost of benefits in kind provided under Articles SSC.22 and SSC.23, the death grants payable under the legislation administered by that institution shall be provided at its own expense as though the pensioner had been residing at the time of their death in the State in which that institution is situated.
2. Paragraph 1 applies mutatis mutandis to the members of the family of a pensioner.
CHAPTER 4
INVALIDITY BENEFITS
Article SSC.39
Calculation of invalidity benefits
Without prejudice to Article SSC.7, where, under the legislation of the State competent under Title II of this Protocol, the amount of invalidity benefits is dependent on the duration of the periods of insurance, employment, self-employment or residence, the competent State is not required to take into account any such periods completed under the legislation of another State for the purposes of calculating the amount of invalidity benefit payable.
Article SSC.40
Special provisions on aggregation of periods
The competent institution of a State whose legislation makes the acquisition, retention or recovery of the right to benefits conditional upon the completion of periods of insurance or residence shall, where necessary, apply Article SSC.46 mutatis mutandis.
Article SSC.41
Aggravation of invalidity
In the case of aggravation of an invalidity for which a person is receiving benefits under the legislation of a State in accordance with this Protocol, the benefit shall continue to be provided in accordance with this Chapter, taking the aggravation into account.
Article SSC.42
Conversion of invalidity benefits into old-age benefits
1. Where provided for in the legislation of the State paying invalidity benefit in accordance with this Protocol, invalidity benefits shall be converted into old-age benefits under the conditions laid down by the legislation under which they are provided and in accordance with Chapter 5 of Title III.
2. Where a person receiving invalidity benefits can establish a claim to old-age benefits under the legislation of one or more other States, in accordance with Article SSC.45, any institution which is responsible for providing invalidity benefits under the legislation of a State shall continue to provide such a person with the invalidity benefits to which he or she is entitled under the legislation it applies until paragraph 1 becomes applicable in respect of that institution, or otherwise for as long as the person concerned satisfies the conditions for such benefits.
Article SSC.43
Special provisions for civil servants
Articles SSC.7, SSC.39, SSC.41, SSC.42 and Article SSC.55(2) and (3) apply mutatis mutandis to persons covered by a special scheme for civil servants.
CHAPTER 5
OLD-AGE AND SURVIVORS' PENSIONS
Article SSC.44
Taking into account child-raising periods
1. Where, under the legislation of the State which is competent under Title II, no child-raising period is taken into account, the institution of the State whose legislation, according to Title II, was applicable to the person concerned on the grounds that he or she was pursuing an activity as an employed or self-employed person at the date when, under that legislation, the child-raising period started to be taken into account for the child concerned, shall remain responsible for taking into account that period as a child-raising period under its own legislation, as if such child-raising took place in its own territory.
2. Paragraph 1 shall not apply if the person concerned is, or becomes, subject to the legislation of another State due to the pursuit of an employed or self-employed activity.
Article SSC.45
General provisions
1. All the competent institutions shall determine entitlement to benefit, under all the legislations of the States to which the person concerned has been subject, when a request for award has been submitted, unless the person concerned expressly requests deferment of the award of old age benefits under the legislation of one or more States.
2. If at a given moment the person concerned does not satisfy, or no longer satisfies, the conditions laid down by all the legislations of the States to which that person has been subject, the institutions applying legislation the conditions of which have been satisfied shall not take into account, when performing the calculation in accordance with point (a) or (b) of Article SSC.47(1), the periods completed under the legislations the conditions of which have not been satisfied, or are no longer satisfied, where this gives rise to a lower amount of benefit.
3. Paragraph 2 shall apply mutatis mutandis when the person concerned has expressly requested deferment of the award of old-age benefits.
4. A new calculation shall be performed automatically as and when the conditions to be fulfilled under the other legislations are satisfied or when a person requests the award of an old-age benefit deferred in accordance with paragraph 1, unless the periods completed under the other legislations have already been taken into account by virtue of paragraph 2 or 3.
Article SSC.46
Special provisions on aggregation of periods
1. Where the legislation of a State makes the granting of certain benefits conditional upon the periods of insurance having been completed only in a specific activity as an employed or self-employed person or in an occupation which is subject to a special scheme for employed or self-employed persons, the competent institution of that State shall take into account periods completed under the legislation of other States only if completed under a corresponding scheme or, failing that, in the same occupation, or where appropriate, in the same activity as an employed or self-employed person.
If, account having been taken of the periods thus completed, the person concerned does not satisfy the conditions for receipt of the benefits of a special scheme, these periods shall be taken into account for the purposes of providing the benefits of the general scheme or, failing that, of the scheme applicable to manual or clerical workers, as the case may be, provided that the person concerned had been affiliated to one or other of those schemes.
2. The periods of insurance completed under a special scheme of a State shall be taken into account for the purposes of providing the benefits of the general scheme or, failing that, of the scheme applicable to manual or clerical workers, as the case may be, of another State, provided that the person concerned had been affiliated to one or other of those schemes, even if those periods have already been taken into account in the latter State under a special scheme.
3. Where the legislation or specific scheme of a State makes the acquisition, retention or recovery of the right to benefits conditional upon the person concerned being insured at the time of the materialisation of the risk, this condition shall be regarded as having been satisfied if that person has been previously insured under the legislation or specific scheme of that State and is, at the time of the materialisation of the risk, insured under the legislation of another State for the same risk or, failing that, if a benefit is due under the legislation of another State for the same risk. The latter condition shall, however, be deemed to be fulfilled in the cases referred to in Article SSC.52.
Article SSC.47
Award of benefits
1. The competent institution shall calculate the amount of the benefit that would be due:
under the legislation it applies, only where the conditions for entitlement to benefits have been satisfied exclusively under national law (independent benefit);
by calculating a theoretical amount and subsequently an actual amount (pro rata benefit), as follows:
the theoretical amount of the benefit is equal to the benefit which the person concerned could claim if all the periods of insurance and/or of residence which have been completed under the legislations of the other States had been completed under the legislation it applies on the date of the award of the benefit. If, under this legislation, the amount does not depend on the duration of the periods completed, that amount shall be regarded as being the theoretical amount;
the competent institution shall then establish the actual amount of the pro rata benefit by applying to the theoretical amount the ratio between the duration of the periods completed before materialisation of the risk under the legislation it applies and the total duration of the periods completed before materialisation of the risk under the legislations of all the States concerned.
2. Where appropriate, the competent institution shall apply, to the amount calculated in accordance with points (a) and (b) of paragraph 1, all the rules relating to reduction, suspension or withdrawal, under the legislation it applies, within the limits provided for by Articles SSC.48, SSC.49 and SSC.50.
3. The person concerned shall be entitled to receive from the competent institution of each State the higher of the amounts calculated in accordance with points (a) and (b) of paragraph 1.
4. Where the calculation pursuant to point (a) of paragraph 1 in one State invariably results in the independent benefit being equal to or higher than the pro rata benefit, calculated in accordance with point (b) of paragraph 1, the competent institution shall waive the pro rata calculation, provided that:
such a situation is set out in Part 1 of Annex SSC-4;
no legislation containing rules against overlapping, as referred to in Articles SSC.49 and SSC.50, is applicable unless the conditions laid down in Article SSC.50(2) are fulfilled; and
Article SSC.52 is not applicable in relation to periods completed under the legislation of another State in the specific circumstances of the case.
5. Notwithstanding paragraphs 1, 2 and 3, the pro rata calculation shall not apply to schemes providing benefits in respect of which periods of time are of no relevance to the calculation, subject to such schemes being listed in Part 2 of Annex SSC-4. In such cases, the person concerned shall be entitled to the benefit calculated in accordance with the legislation of the State concerned.
Article SSC.48
Rules to prevent overlapping
1. Any overlapping of old-age and survivors' benefits calculated or provided on the basis of periods of insurance or residence completed by the same person shall be considered to be overlapping of benefits of the same kind.
2. Overlapping of benefits which cannot be considered to be of the same kind within the meaning of paragraph 1 shall be considered to be overlapping of benefits of a different kind.
3. The following provisions shall be applicable for the purposes of rules to prevent overlapping laid down by the legislation of a State in the case of overlapping of a benefit in respect of old age or survivors with a benefit of the same kind or a benefit of a different kind or with other income:
the competent institution shall take into account the benefits or incomes acquired in another State only where the legislation it applies provides for benefits or income acquired abroad to be taken into account;
the competent institution shall take into account the amount of benefits to be paid by another State before deduction of tax, social security contributions and other individual levies or deductions, unless the legislation it applies provides for the application of rules to prevent overlapping after such deductions, under the conditions and the procedures laid down in Annex SSC-7;
the competent institution shall not take into account the amount of benefits acquired under the legislation of another State on the basis of voluntary insurance or continued optional insurance;
if a single State applies rules to prevent overlapping because the person concerned receives benefits of the same or of a different kind under the legislation of other States or income acquired in other States, the benefit due may be reduced solely by the amount of such benefits or such income.
Article SSC.49
Overlapping of benefits of the same kind
1. Where benefits of the same kind due under the legislation of two or more States overlap, the rules to prevent overlapping laid down by the legislation of a State shall not be applicable to a pro rata benefit.
2. The rules to prevent overlapping shall apply to an independent benefit only if the benefit concerned is:
a benefit the amount of which does not depend on the duration of periods of insurance or residence; or
a benefit the amount of which is determined on the basis of a credited period deemed to have been completed between the date on which the risk materialised and a later date, overlapping with:
a benefit of the same type, except where an agreement has been concluded between two or more States to avoid the same credited period being taken into account more than once; or
a benefit referred to in point (a).
The benefits and agreements referred to in points (a) and (b) are listed in Annex SSC-5.
Article SSC.50
Overlapping of benefits of a different kind
1. If the receipt of benefits of a different kind or other income requires the application of the rules to prevent overlapping provided for by the legislation of the States concerned regarding:
two or more independent benefits, the competent institutions shall divide the amounts of the benefit or benefits or other income, as they have been taken into account, by the number of benefits subject to the said rules;
however, the application of this point cannot deprive the person concerned of their status as a pensioner for the purposes of the other chapters of this Title under the conditions and the procedures laid down in Annex SSC-7;
one or more pro rata benefits, the competent institutions shall take into account the benefit or benefits or other income and all the elements stipulated for applying the rules to prevent overlapping as a function of the ratio between the periods of insurance and/or residence established for the calculation referred to in point (b)(ii) of Article SSC.47(1);
one or more independent benefits and one or more pro-rata benefits, the competent institutions shall apply mutatis mutandis point (a) as regards independent benefits and point (b) as regards pro rata benefits.
2. The competent institution shall not apply the division stipulated in respect of independent benefits, if the legislation it applies provides for account to be taken of benefits of a different kind or other income and all other elements for calculating part of their amount determined as a function of the ratio between periods of insurance and/or residence referred to in point (b)(ii) of Article SSC.47(1).
3. Paragraphs 1 and 2 shall apply mutatis mutandis where the legislation of one or more States provides that a right to a benefit cannot be acquired in the case where the person concerned is in receipt of a benefit of a different kind, payable under the legislation of another State, or of other income.
Article SSC.51
Additional provisions for the calculation of benefits
1. For the calculation of the theoretical and pro rata amounts referred to in point (b) of Article SSC.47(1), the following rules apply:
where the total length of the periods of insurance and/or residence completed before the risk materialised under the legislations of all the States concerned is longer than the maximum period required by the legislation of one of these States for receipt of full benefit, the competent institution of that State shall take into account this maximum period instead of the total length of the periods completed; this method of calculation shall not result in the imposition on that institution of the cost of a benefit greater than the full benefit provided for by the legislation it applies. This provision shall not apply to benefits the amount of which does not depend on the length of insurance;
the procedure for taking into account overlapping periods is laid down in Annex SSC-7;
if the legislation of a State provides that the benefits are to be calculated on the basis of incomes, contributions, bases of contributions, increases, earnings, other amounts or a combination of more than one of them (average, proportional, fixed or credited), the competent institution shall:
determine the basis for calculation of the benefits in accordance only with periods of insurance completed under the legislation it applies;
use, in order to determine the amount to be calculated in accordance with the periods of insurance and/or residence completed under the legislation of the other States, the same elements determined or recorded for the periods of insurance completed under the legislation it applies;
where necessary in accordance with the procedures laid down in Annex SSC-6 for the State concerned;
in the event that point (c) is not applicable because the legislation of a State provides for the benefit to be calculated on the basis of elements other than periods of insurance or residence which are not linked to time, the competent institution shall take into account, in respect of each period of insurance or residence completed under the legislation of any other State, the amount of the capital accrued, the capital which is considered as having been accrued or any other element for the calculation under the legislation it administers divided by the corresponding units of periods in the pension scheme concerned.
2. The provisions of the legislation of a State concerning the revalorisation of the elements taken into account for the calculation of benefits shall apply, as appropriate, to the elements to be taken into account by the competent institution of that State, in accordance with paragraph 1, in respect of the periods of insurance or residence completed under the legislation of other States.
Article SSC.52
Periods of insurance or residence of less than one year
1. Notwithstanding point (b) of Article SSC.47(1), the institution of a State shall not be required to provide benefits in respect of periods completed under the legislation it applies which are taken into account when the risk materialises, if:
the duration of the said periods is less than one year; and
taking only these periods into account no right to benefit is acquired under that legislation.
For the purposes of this Article, "periods" shall mean all periods of insurance, employment, self-employment or residence which either qualify for, or directly increase, the benefit concerned.
2. The competent institution of each of the States concerned shall take into account the periods referred to in paragraph 1, for the purposes of point (b)(i) of Article SSC.47(1).
3. If the effect of applying paragraph 1 would be to relieve all the institutions of the States concerned of their obligations, benefits shall be provided exclusively under the legislation of the last of those States whose conditions are satisfied, as if all the periods of insurance and residence completed and taken into account in accordance with Article SSC.7 and Article SSC.46(1) and (2) had been completed under the legislation of that State.
4. This Article does not apply to schemes listed in Part 2 of Annex SSC-4.
Article SSC.53
Award of a supplement
1. A recipient of benefits to whom this Chapter applies may not, in the State of residence and under whose legislation a benefit is payable to them, be provided with a benefit which is less than the minimum benefit fixed by that legislation for a period of insurance or residence equal to all the periods taken into account for the payment in accordance with this Chapter.
2. The competent institution of that State shall pay them throughout the period of their residence in its territory a supplement equal to the difference between the total of the benefits due under this Chapter and the amount of the minimum benefit.
Article SSC.54
Recalculation and revaluation of benefits
1. If the method for determining benefits or the rules for calculating benefits are altered under the legislation of a State, or if the personal situation of the person concerned undergoes a relevant change which, under that legislation, would lead to an adjustment of the amount of the benefit, a recalculation shall be carried out in accordance with Article SSC.47.
2. On the other hand, if, by reason of an increase in the cost of living or changes in the level of income or other grounds for adjustment, the benefits of the State concerned are altered by a percentage or fixed amount, such percentage or fixed amount shall be applied directly to the benefits determined in accordance with Article SSC.47, without the need for a recalculation.
Article SSC.55
Special provisions for civil servants
1. Articles SSC.7 and SSC.45, Article SSC.46(3) and Articles SSC.47 to SSC.54 apply mutatis mutandis to persons covered by a special scheme for civil servants.
2. However, if the legislation of a competent State makes the acquisition, liquidation, retention or recovery of the right to benefits under a special scheme for civil servants subject to the condition that all periods of insurance be completed under one or more special schemes for civil servants in that State, or be regarded by the legislation of that State as equivalent to such periods, the competent institution of that State shall take into account only the periods which can be recognised under the legislation it applies.
If, account having been taken of the periods thus completed, the person concerned does not satisfy the conditions for the receipt of these benefits, these periods shall be taken into account for the award of benefits under the general scheme or, failing that, the scheme applicable to manual or clerical workers, as the case may be.
3. Where, under the legislation of a State, benefits under a special scheme for civil servants are calculated on the basis of the last salary or salaries received during a reference period, the competent institution of that State shall take into account, for the purposes of the calculation, only those salaries, duly revalued, which were received during the period or periods for which the person concerned was subject to that legislation.
CHAPTER 6
UNEMPLOYMENT BENEFITS
Article SSC.56
Special provisions on aggregation of periods of insurance, employment or self-employment
1. The competent institution of a State whose legislation makes the acquisition, retention, recovery or duration of the right to benefits conditional upon the completion of either periods of insurance, employment or self-employment shall, to the extent necessary, take into account periods of insurance, employment or self-employment completed under the legislation of any other State as though they were completed under the legislation it applies.
However, when the applicable legislation makes the right to benefits conditional on the completion of periods of insurance, the periods of employment or self-employment completed under the legislation of another State shall not be taken into account unless such periods would have been considered to be periods of insurance had they been completed in accordance with the applicable legislation.
2. The application of paragraph 1 of this Article shall be conditional on the person concerned having the most recently completed, in accordance with the legislation under which the benefits are claimed:
periods of insurance, if that legislation requires periods of insurance;
periods of employment, if that legislation requires periods of employment; or
periods of self-employment, if that legislation requires periods of self-employment.
Article SSC.57
Calculation of unemployment benefits
1. Where the calculation of unemployment benefits is based on the amount of the previous salary or professional income of the person concerned, the competent State shall take into account the salary or professional income received by the person concerned based exclusively on their last activity as an employed or self-employed person under the legislation of the competent State.
2. Where the legislation applied by the competent State provides for a specific reference period for the determination of the salary or professional income used to calculate the amount of benefit, and the person concerned was subject to the legislation of another State for all or part of that reference period, the competent State shall only take into account the salary or professional income received during their last activity as an employed or self-employed person under that legislation.
CHAPTER 7
PRE-RETIREMENT BENEFITS
Article SSC.58
Benefits
When the applicable legislation makes the right to pre-retirement benefits conditional on the completion of periods of insurance, of employment or of self-employment, Article SSC.7 shall not apply.
TITLE IV
MISCELLANEOUS PROVISIONS
Article SSC.59
Cooperation
1. The competent authorities of the States shall notify the Specialised Committee on Social Security Coordination of any changes to their legislation as regards the branches of social security covered by Article SSC.3 which are relevant to or may affect the implementation of this Protocol.
2. Unless this Protocol requires such information to be notified to the Specialised Committee on Social Security Coordination, the competent authorities of the States shall communicate to each other measures taken to implement this Protocol that are not notified under paragraph 1 and that are relevant for the implementation of this Protocol.
3. For the purposes of this Protocol, the authorities and institutions of the States shall lend one another their good offices and act as though implementing their own legislation. The administrative assistance given by those authorities and institutions shall, as a rule, be free of charge. However, the Specialised Committee on Social Security Coordination shall establish the nature of reimbursable expenses and the limits above which their reimbursement is due.
4. The authorities and institutions of the States may, for the purposes of this Protocol, communicate directly with one another and with the persons involved or their representatives.
5. The institutions and persons covered by this Protocol shall have a duty of mutual information and cooperation to ensure the correct implementation of this Protocol.
The institutions, in accordance with the principle of good administration, shall respond to all queries within a reasonable period of time and shall in this connection provide the persons concerned with any information required for exercising the rights conferred on them by this Protocol.
The persons concerned must inform the institutions of the competent State and of the State of residence as soon as possible of any change in their personal or family situation which affects their right to benefits under this Protocol.
6. Failure to respect the obligation of information referred to in the third subparagraph of paragraph 5 may result in the application of proportionate measures in accordance with national law. Nevertheless, these measures shall be equivalent to those applicable to similar situations under domestic law and shall not make it impossible or excessively difficult in practice for claimants to exercise the rights conferred on them by this Protocol.
7. In the event of difficulties in the interpretation or application of this Protocol which could jeopardise the rights of a person covered by it, the institution of the competent State or of the State of residence of the person concerned, shall contact the institution(s) of the State(s) concerned. If a solution cannot be found within a reasonable period, a Party may request to hold consultations in the framework of the Specialised Committee on Social Security Coordination.
8. The authorities, institutions and tribunals of one State may not reject applications or other documents submitted to them on the grounds that they are written in an official language of the Union, including in English.
Article SSC.60
Data processing
1. The States shall progressively use new technologies for the exchange, access and processing of the data required to apply this Protocol.
2. Each State shall be responsible for managing its own part of the data-processing services.
3. An electronic document sent or issued by an institution in conformity with this Protocol and Annex SSC-7 may not be rejected by any authority or institution of another State on the grounds that it was received by electronic means, once the receiving institution has declared that it can receive electronic documents. Reproduction and recording of such documents shall be presumed to be a correct and accurate reproduction of the original document or representation of the information it relates to, unless there is proof to the contrary.
4. An electronic document shall be considered valid if the computer system on which the document is recorded contains the safeguards necessary in order to prevent any alteration, disclosure or unauthorised access to the recording. It shall at any time be possible to reproduce the recorded information in an immediately readable form.
Article SSC.61
Exemptions
1. Any exemption from or reduction of taxes, stamp duty, notarial or registration fees provided for under the legislation of one State in respect of certificates or documents required to be produced in application of the legislation of that State shall be extended to similar certificates or documents required to be produced in application of the legislation of another State or of this Protocol.
2. All statements, documents and certificates of any kind whatsoever required to be produced in application of this Protocol shall be exempt from authentication by diplomatic or consular authorities.
Article SSC.62
Claims, declarations or appeals
Any claim, declaration or appeal which should have been submitted, in application of the legislation of one State, within a specified period to an authority, institution or tribunal of that State shall be admissible if it is submitted within the same period to a corresponding authority, institution or tribunal of another State. In such a case, the authority, institution or tribunal receiving the claim, declaration or appeal shall forward it without delay to the competent authority, institution or tribunal of the former State either directly or through the competent authorities of the States concerned. The date on which such claims, declarations or appeals were submitted to the authority, institution or tribunal of the second State shall be considered as the date of their submission to the competent authority, institution or tribunal.
Article SSC.63
Medical examinations
1. Medical examinations provided for by the legislation of one State may be carried out, at the request of the competent institution, in the territory of another State, by the institution of the place of stay or residence of the person entitled to benefits, under the conditions laid down in Annex SSC-7 or agreed between the competent authorities of the States concerned.
2. Medical examinations carried out under the conditions laid down in paragraph 1 shall be considered as having been carried out in the territory of the competent State.
Article SSC.64
Collection of contributions and recovery of benefits
1. Collection of contributions due to an institution of one State and recovery of benefits provided by the institution of one State but not due, may be effected in another State in accordance with the procedures and with the guarantees and privileges applicable to the collection of contributions due to the corresponding institution of the latter and the recovery of benefits provided by it but not due.
2. Enforceable decisions of the judicial and administrative authorities relating to the collection of contributions, interest and any other charges or to the recovery of benefits provided but not due under the legislation of one State shall be recognised and enforced at the request of the competent institution in another State within the limits and in accordance with the procedures laid down by the legislation and any other procedures applicable to similar decisions of the latter. Such decisions shall be declared enforceable in that State insofar as the legislation and any other procedures of that State so require.
3. Claims of an institution of one State shall in enforcement, bankruptcy or settlement proceedings in another State enjoy the same privileges as the legislation that the latter accords to claims of the same kind.
4. The procedure for implementing this Article, including costs reimbursement, shall be governed by Annex SSC-7 or, where necessary and as a complementary measure, by means of agreements between the States.
Article SSC.65
Rights of institutions
1. If a person receives benefits under the legislation of a State in respect of an injury resulting from events occurring in another State, any rights of the institution responsible for providing benefits against a third party liable to provide compensation for the injury shall be governed by the following rules:
where the institution responsible for providing benefits is, under the legislation it applies, subrogated to the rights which the beneficiary has against the third party, such subrogation shall be recognised by each State;
where the institution responsible for providing benefits has a direct right against the third party, each State shall recognise such rights.
2. If a person receives benefits under the legislation of one State in respect of an injury resulting from events occurring in another State, the provisions of the said legislation which determine the cases in which the civil liability of employers or of their employees is to be excluded shall apply with regard to the said person or to the competent institution.
Paragraph 1 shall also apply to any rights of the institution responsible for providing benefits against employers or their employees in cases where their liability is not excluded.
3. Where, in accordance with Article SSC.30(3) or SSC.36(2), two or more States or their competent authorities have concluded an agreement to waive reimbursement between institutions under their jurisdiction, or, where reimbursement does not depend on the amount of benefits actually provided, any rights arising against a liable third party shall be governed by the following rules:
where the institution of the State of residence or stay grants benefits to a person in respect of an injury sustained in its territory, that institution, in accordance with the provisions of the legislation it applies, shall exercise the right to subrogation or direct action against the third party liable to provide compensation for the injury;
for the application of point (a):
the person receiving benefits shall be deemed to be insured with the institution of the place of residence or stay, and
that institution shall be deemed to be the institution responsible for providing benefits;
paragraphs 1 and 2 shall remain applicable in respect of any benefits not covered by the waiver agreement or a reimbursement which does not depend on the amount of benefits actually provided.
Article SSC.66
Implementation of legislation
Special provisions for implementing the legislation of a certain State are referred to in Annex SSC-6 to the Protocol.
TITLE V
FINAL PROVISIONS
Article SSC.67
Protection of individual rights
1. The Parties shall ensure in accordance with their domestic legal orders that the provisions of the Protocol on Social Security Coordination have the force of law, either directly or through domestic legislation giving effect to those provisions, so that legal or natural persons can invoke those provisions before domestic courts, tribunals and administrative authorities.
2. The Parties shall ensure the means for legal and natural persons to effectively protect their rights under this Protocol, such as the possibility to address complaints to administrative bodies or to bring legal action before a competent court or tribunal in an appropriate judicial procedure, in order to seek an adequate and timely remedy.
Article SSC.68
Amendments
The Specialised Committee on Social Security Coordination may amend the Annexes and Appendices to this Protocol.
Article SSC.69
Termination of this Protocol
Without prejudice to Article 779 of this Agreement, each Party may at any moment terminate this Protocol, by written notification through diplomatic channels. In that event, this Protocol shall cease to be in force on the first day of the ninth month following the date of notification.
Article SSC.70
Sunset clause
1. This Protocol shall cease to apply fifteen years after the entry into force of this Agreement.
2. Not less than 12 months before this Protocol ceases to apply in accordance with paragraph 1, either Party shall notify the other Party of its wish to enter into negotiations with a view to concluding an updated Protocol.
Article SSC.71
Post-termination arrangements
When this Protocol ceases to apply pursuant to Article SSC.69, Article SSC.70 or Article 779 of this Agreement, the rights of insured persons regarding entitlements which are based on periods completed or facts or events that occurred before this Protocol ceases to apply shall be retained. The Partnership Council may lay down additional arrangements setting out appropriate consequential and transitional arrangements in good time before this Protocol ceases to apply.
ANNEX SSC-1
CERTAIN BENEFITS TO WHICH THIS PROTOCOL SHALL NOT APPLY
PART 1
SPECIAL NON-CONTRIBUTORY CASH BENEFITS
(Point (a) of Article SSC.3(4) of this Protocol)
(i) UNITED KINGDOM
State Pension Credit (State Pension Credit Act 2002 and State Pension Credit Act (Northern Ireland) 2002)
Income-based allowances for jobseekers (Jobseekers Act 1995 and Jobseekers (Northern Ireland) Order 1995)
Disability Living Allowance, mobility component (Social Security Contributions and Benefits Act 1992 and Social Security Contributions and Benefits (Northern Ireland) Act 1992)
Personal Independence Payment, mobility component (Welfare Reform Act 2012 (Part 4) and Welfare Reform (Northern Ireland) Order 2015 (Part 5))
Employment and Support Allowance Income-related (Welfare Reform Act 2007 and Welfare Reform Act (Northern Ireland) 2007)
Best Start Foods payment (Welfare Foods (Best Start Foods) (Scotland) Regulations 2019 (SSI 2019/193))
Best Start Grants (pregnancy and baby grant, early learning grant, school-age grant) (The Early Years Assistance (Best Start Grants) (Scotland) Regulations 2018 (SSI 2018/370))
Funeral Support Payment (Funeral Expense Assistance (Scotland) Regulations 2019 (SSI 2019/292))
Scottish Child Payment (The Scottish Child Payment Regulations 2020 (SSI 2020/351))
(ii) MEMBER STATES
AUSTRIA
Compensatory supplement (Federal Act of 9 September 1955 on General Social Insurance — ASVG, Federal Act of 11 October 1978 on Social insurance for persons engaged in trade and commerce — GSVG and Federal Act of 11 October 1978 on Social insurance for farmers — BSVG).
BELGIUM
Income replacement allowance (Law of 27 February 1987) (Inkomensvervangende tegemoetkoming/Allocation de remplacement de revenus);
Guaranteed income for elderly persons (Law of 22 March 2001) (Inkomensgarantie voor ouderen/ Revenu garanti aux personnes âgées).
BULGARIA
Social Pension for old age (Article 89a of the Social Insurance Code).
CYPRUS
Social Pension (Social Pension Law of 1995 (Law 25(I)/95), as amended);
Severe motor disability allowance (Council of Ministers’ Decisions Nos 38210 of 16 October 1992, 41370 of 1 August 1994, 46183 of 11 June 1997 and 53675 of 16 May 2001);
Special grant to blind persons (Special Grants Law of 1996 (Law 77(I)/96), as amended).
DENMARK
Accommodation expenses for pensioners (Law on individual accommodation assistance, consolidated by Law No 204 of 29 March 1995).
ESTONIA
State unemployment allowance (Labour Market Services and Support Act of 29 September 2005).
FINLAND
Housing allowance for pensioners (Act concerning the Housing Allowance for pensioners, 571/2007);
Labour market support (Act on Unemployment Benefits 1290/2002).
FRANCE
Supplementary allowances of:
the Special Invalidity Fund; and
the Old Age Solidarity Fund in respect of acquired rights;
(Law of 30 June 1956, codified in Book VIII of the Social Security Code);
Disabled adults’ allowance (Law of 30 June 1975, codified in Book VIII of the Social Security Code);
Special allowance (Law of 10 July 1952, codified in Book VIII of the Social Security Code) in respect of acquired rights;
Old-age solidarity allowance (ordinance of 24 June 2004, codified in Book VIII of the Social Security Code) as of 1 January 2006.
GERMANY
Basic subsistence income for the elderly and for persons with reduced earning capacity under Chapter 4 of Book XII of the Social Code (Leistungen der Grundsicherung im Alter und bei Erwerbsminderung nach dem Vierten Kapitel des Zwölften Buches Sozialgesetzbuch);
Benefits to cover subsistence costs under the basic provision for jobseekers in accordance with Book II of the Social Code (Leistungen zur Sicherung des Lebensunterhalts in der Grundsicherung für Arbeitssuchende nach dem Zweiten Buch Sozialgesetzbuch).
GREECE
Special benefits for the elderly (Law 1296/82).
HUNGARY
Invalidity annuity (Decree No 83/1987 (XII 27) of the Council of Ministers on Invalidity Annuity);
Old age allowance (Act III of 1993 on Social Administration and Social Benefits).
IRELAND
Jobseekers’ allowance (Social Welfare Consolidation Act 2005, Part 3, Chapter 2);
State pension (non-contributory) (Social Welfare Consolidation Act 2005, Part 3, Chapter 4);
Widow’s, widower’s, or surviving civil partners (non-contributory) pension (Social Welfare Consolidation Act 2005, Part 3, Chapter 6);
Disability allowance (Social Welfare Consolidation Act 2005, Part 3, Chapter 10);
Mobility allowance (Health Act 1970 (as amended), Section 61);
Blind pension (Social Welfare Consolidation Act 2005, Part 3, Chapter 5).
ITALY
Social pensions for persons without means (Law No 153 of 30 April 1969);
Pensions and allowances for the civilian disabled or invalids (Laws No 118 of 30 March 1971, No 18 of 11 February 1980 and No 508 of 23 November 1988);
Pensions and allowances for the deaf and dumb (Laws No 381 of 26 May 1970 and No 508 of 23 November 1988);
Pensions and allowances for the civilian blind (Laws No 382 of 27 May 1970 and No 508 of 23 November 1988);
Benefits supplementing the minimum pensions (Laws No 218 of 4 April 1952, No 638 of 11 November 1983 and No 407 of 29 December 1990);
Benefits supplementing disability allowances (Law No 222 of 12 June 1984);
Social allowance (Law No 335 of 8 August 1995);
Social increase (Article 1(1) and (12) of Law No 544 of 29 December 1988 and successive amendments).
LATVIA
State Social Security Benefit (Law on State Social Benefits of 1 January 2003);
Allowance for the compensation of transportation expenses for disabled persons with restricted mobility (Law on State Social Benefits of 1 January 2003).
LITHUANIA
Social assistance disability and old age pensions (Law of 1994 on Social Assistance Pensions No 1-675, Article 5 and 6, as amended);
Relief compensation (Law of 1994 on Social Assistance Pensions No I-675, Article 12, as amended);
Transport compensation for the disabled who have mobility problems (Law of 2000 on Transport Compensation, Article 7 and 71, as amended).
LUXEMBOURG
Income for the seriously disabled (Article 1(2), Law of 12 September 2003), with the exception of persons recognised as being disabled workers and employed on the mainstream labour market or in a sheltered environment.
MALTA
Supplementary allowance (Section 73 of the Social Security Act (Cap. 318) 1987);
Age pension (Social Security Act (Cap. 318) 1987).
NETHERLANDS
Work and Employment Support for Disabled Young Persons Act of 24 April 1997 (Wet Wajong);
Supplementary Benefits Act of 6 November 1986 (TW).
POLAND
Social pension (Renta socjalna) Act of 27 June 2003 on social pensions (Ustawa o rencie socjalnej);
Supplementary parental benefit (Rodzicielskie świadczenie uzupełniające Mama 4+) Act of 31 January 2019 on supplementary parental benefit (Ustawa o rodzicielskim świadczeniu uzupełniającym);
Supplementary benefit for persons unable to live independently (Świadczenie uzupełniające dla osób niezdolnych do samodzielnej egzystencji) Act of 31 July on supplementary benefit for persons unable to live independently (Ustawa o świadczeniu uzupełniającym dla osób niezdolnych do samodzielnej egzystencji).
PORTUGAL
Non-contributory State old-age pension (Decree-Law No 464/80 of 13 October 1980, amended);
Non-contributory widowhood pension (Regulatory Decree No 52/81 of 11 November 1981);
Solidarity supplement for the elderly (Decree – Law No 232/2005 of 29 December 2005, amended).
SLOVAKIA
Adjustment awarded before 1 January 2004 to pensions constituting the sole source of income;
Social pension which has been awarded before 1 January 2004.
SPAIN
Minimum income guarantee (Law No 13/82 of 7 April 1982);
Cash benefits to assist the elderly and invalids unable to work (Royal Decree No 2620/81 of 24 July 1981):
Non-contributory invalidity and retirement pensions as provided for in Chapter II of Title VI of the Consolidated Text of the General Law on Social Security, approved by Royal Legislative Decree No 8/2015 of 30 October 2015; and
the benefits which supplement the above pensions, as provided for in the legislation of the Comunidades Autonómas, where such supplements guarantee a minimum subsistence income having regard to the economic and social situation in the Comunidades Autonómas concerned;
Allowances to promote mobility and to compensate for transport costs (Law No 13/1982 of 7 April 1982).
SWEDEN
Housing supplement (Chapters 100-103 of the Social Insurance Code [2010:110]);
Financial support for the elderly (Chapter 74 of the Social Insurance Code [2010:110]).
PART 2
LONG-TERM CARE BENEFITS
(Point (d) of Article SSC.3(4) of this Protocol)
(i) UNITED KINGDOM
Attendance Allowance (Social Security Contributions and Benefits Act 1992, Social Security (Attendance Allowance) Regulations 1991, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Security (Attendance Allowance) Regulations (Northern Ireland) 1992)
Carer’s Allowance (Social Security Contributions and Benefits Act 1992, The Social Security (Invalid Care Allowance) Regulations 1976, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and The Social Security (Invalid Care Allowance) Regulations (Northern Ireland) 1976
Disability Living Allowance, care component (Social Security Contributions and Benefits Act 1992, Social Security (Disability Living Allowance) Regulations 1991, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Security (Disability Living Allowance) Regulations (Northern Ireland) 1992)
Personal Independence Payment, daily living component (Welfare Reform Act 2012 (Part 4), Social Security (Personal Independence Payment) Regulations 2013, The Personal Independence Payment (Transitional Provisions) Regulations 2013, Personal Independence Payment (Transitional Provisions) (Amendment) Regulations 2019, Welfare Reform (Northern Ireland) Order 2015 (Part 5), The Personal Independence Payment Regulations (Northern Ireland) 2016, The Personal Independence Payment (Transitional Provisions) Regulations (Northern Ireland) 2016 and Personal Independence Payment (Transitional Provisions) (Amendment) Regulations (Northern Ireland) 2019)
Carer’s Allowance Supplement (The Social Security (Scotland) Act 2018)
Young Carer’s Grant (The Carer’s Assistance (Young Carer Grants) (Scotland) Regulations 2020 (as amended))
Child Winter Heating Assistance (The Winter Heating Assistance for Children and Young People (Scotland) Regulations 2020 (SSI 2020/352))
(ii) MEMBER STATES
AUSTRIA
Federal Long-term care allowance Act (Bundespflegegeldgesetz, BPGG), original version BGBl. no. 110/1993, as amended: Pflegegeld (§1), Pflegekarenzgeld (§21c).
BELGIUM
Article 93 paragraph 8 and Chapter Vbis of the Health Care and Sickness Benefit Compulsory Insurance Act (Loi relative à l’assurance obligatoire soins de santé et indemnités/Wet betreffende de verplichte verzekering voor geneeskundige verzorging en uitkeringen), coordinated on 14 July 1994.
Act of 27 February 1987 on allowances for persons with disabilities (Loi relative aux allocations aux personnes handicapées/Wet betreffende de tegemoetkomingen aan gehandicapten).
Flemish social protection (Vlaamse sociale bescherming): Decree of the Flemish Parliament of 18 May 2018 on the organisation of Flemish social protection (Decreet houdende Vlaamse sociale bescherming/) and Orders of the Flemish government of 30 November 2018;
Decree of 13 December 2018 on offers to elderly or dependent persons as well as on palliative care (Dekret über die Angebote für Senioren und Personen mit Unterstützungsbedarf sowie über die Palliativpflege).
Decree of 4th June 2007 on psychiatric nursing homes (Dekret über die psychiatrischen Pflegewohnheime).
Government Decree of 20 June 2017 on mobility aids (Erlass über die Mobilitätshilfen).
Decree of 13 December 2016 on the establishment of a German Community Office for self-determined life (Dekret zur Schaffung einer Dienststelle der Deutschsprachigen Gemeinschaft für selbstbestimmtes Leben).
Royal Decree of 5th March 1990 on the allowance for assistance to the elderly (Königliches Dekret vom 5. März 1990 über die Beihilfe für ältere Menschen).
Order of 21 December 2018 on Brussels health insurance bodies in the field of health care and assistance to people (Ordonnantie van 21 december 2018 betreffende de Brusselse verzekeringsinstellingen in het domein van de gezondheidszorg en de hulp aan personen/Ordonnance du 21 décembre 2018 relative aux organismes assureurs bruxellois dans le domaine des soins de santé et de l’aide aux personnes).
Article 215 bis Royal Decree of 3 July 1996 implementing the law on compulsory insurance for health care and benefits, coordinated on 14 July 1994 (Artikel 215 bis Koninklijk Besluit van 3 juli 1996 tot uitvoering van de wet betreffende de verplichte verzekering voor geneeskundige verzorging en uitkeringen, gecoördineerd op 14 juli 1994/ Article 215 bis Arrêté royal du 3 juillet 1996 portant application de la loi sur l’assurance obligatoire des soins de santé et des prestations, coordonné le 14 juillet 1994).
Article 12 Royal Decree of 20 July 1971 concerning the implementation of a benefit insurance and maternity insurance for the benefit of the self-employed and the assisting spouses (Artikel 12 Koninklijk Besluit van 20 juli 1971 betreffende de uitvoering houdende instelling van een uitkeringsverzekering en een moederschapsverzekering ten voordele van de zelfstandigen en van de meewerkende echtgenoten/ Article 12 Arrêté royal du 20 juillet 1971 relatif à la mise en place de l’assurance de prévoyance et de l’assurance maternité au profit des indépendants et des conjoints aidants).
Art. 43/32 - 43/46 of the Walloon Code of Social Action and Health: Allowance for Assistance to the Elderly.
Art. 799 of the Walloon Regulatory Code for Social Action and Health: Personal Assistance Budget.
Decree of 8 February 2018 on the administration and payment of family benefits.
Law of 19 December 1939 on family allowances (LGAF): Family allowance.
Order of 10 December 2020 on the allowance for assistance to the elderly (Ordonnantie van 10 december betreffende de tegemoetkoming voor hulp aan bejaarden/Ordonnance du 10 décembre 2020 relative à l’allocation pour l’aide aux personnes âgées).
Decree of the Flemish Parliament of 18 May 2018 on the organisation of Flemish social protection (Decreet van 18 mei 2018 houdende Vlaamse sociale bescherming) and Orders of the Flemish government of 30 November 2018:
Decree of 13 December 2018 on offers for the elderly and people in need of support and on palliative care (Dekret vom 13. Dezember 2018 über die Angebote für Senioren und Personen mit Unterstützungsbedarf sowie über die Palliativpflege).
Decree 4 June 2007 on Psychiatric Nursing Homes (Dekret über die psychiatrischen Pflegewohnheime).
Government decree of 20 June 2017 relating to mobility aids (Erlass über die Mobilitätshilfen).
Decree of 13 December 2016 establishing an Office of the German-speaking Community for a self-determined life (Dekret zur Schaffung einer Dienststelle der Deutschsprachigen Gemeinschaft für selbstbestimmtes Leben).
Royal Decree of 5 March 1990 relating to the allowance for assistance to the elderly (Königliches Dekret vom 5. März 1990 über die Beihilfe für ältere Menschen).
Government decree of 19 December 2019 relating to the transitional regulation of the procedure for obtaining a prior authorization or consent to cover the costs or share the costs of long-term rehabilitation abroad (Erlass der Regierung zur übergangsweisen Regelung des Verfahrens zur Erlangung einer Vorabgeehmigung oder Zustimmung zwecks Kostenübernahme oder Kostenbeteiligung für eine Langzeitrehabilitation im Ausland).
Order of 21 December 2018 on Brussels health insurance bodies in the field of health care and assistance to people (Ordonnantie van 21 december 2018 betreffende de Brusselse verzekeringsinstellingen in het domein van de gezondsheidszorg en de hulp aan personen/Ordonnance du21 décembre 2018 relative aux organismes assureurs bruxellois dans le domaine des soins de santé et de l’aide aux personnes).
Coordinated Law on Hospitals and Other Care Institutions of 10 July 2008:
Law on Compulsory Health Care and Indemnity Insurance, coordinated on 14 July 1994:
Royal Decree of 18 July 2001 laying down the rules according to which the budget of financial means, the quota of days of stay and the price per day of stay are determined for protected housing initiatives: Services provided by Protected Housing Initiatives (IHP).
Royal Decree of 31 August 2009 relating to the intervention of health care and compensation insurance for assistance with smoking cessation.
Walloon Code of Social Action and Health:
Walloon Regulatory Code for Social Action and Health: Art. 726:
Decree of 9 March 2017 relating to the price of accommodation and the financing of certain equipment for heavy medical-technical services in hospitals: Medico-social infrastructures.
Order of the Walloon Government of 15 May 2008: Medico-social infrastructures.
Royal Decree of 14 May 2003: Integrated home care services.
Cooperation agreement of 31 December 2018 between the Flemish Community, the Walloon Region, the French Community Commission, the Joint Community Commission and the German-speaking Community concerning mobility aids (Samenwerkingsakkoord van 31 december 2018 tussen de Vlaamse Gemeenschap, de Franse Gemeenschapscommissie en de Gemeenschappelijke Gemeenschapscommissie betreffende de mobiliteitshulpmiddelen/Accord de collaboration du 31 décembre 2018 entre la Communauté flamande, la Commission communautaire française et la Commission communautaire commune sur les aides à la mobilité).
(Cooperation agreement of 31 December 2018 between the Flemish Community, the French Community Commission and the Joint Community Commission concerning the single point of contact for mobility aids in the bilingual Brussels-Capital region (Samenwerkingsakkoord van 31 december 2018 tussen de Vlaamse Gemeenschap, de Franse Gemeenschapscommissie en de Gemeenschappelijke Gemeenschapscommissie betreffende het uniek loket voor de mobiliteitshulpmiddelen in het tweetalige gebied Brussel-Hoofdstad/Accord de coopération du 31 décembre 2018 entre la Communauté flamande, la Commission communautaire française et la Commission communautaire commune relatif au guichet unique pour les aides à la mobilité dans la région bilingue de Bruxelles-Capitale).
BULGARIA
Article 103 of the Social Insurance Code (член 103 от Кодекса за социално осигуряване), 1999 title amended 2003.
Law on Social Assistance (Закон за социално подпомагане), 1998.
Regulation on the Implementation of the Law on Social Assistance (Правилник за прилагане на Закона за социално подпомагане), 1998.
Persons with Disabilities Act (Закон за хората с увреждания), 2019.
Personal Assistance Act (Закон за личната помощ), 2019.
Regulation on the Implementation of the Persons with Disabilities Act (Правилник за прилагане на Закона за интеграция на хората с увреждания), 2019.
Ordinance on the medical expertise (Наредба за медицинската експертиза), 2017.
CROATIA
The Social Welfare Act (Zakon o socijalnoj skrbi, OG 157/13, 152/14, 99/15, 52/16, 16/17, 130/17, 98/19, 64/20 and 138/20):
The Foster Care Act (Zakon o udomiteljstvu OG 115/18):
CYPRUS
Social Welfare Services (Υπηρεσίες Κοινωνικής Ευημερίας).
The Guaranteed Minimum Income and in General the Social Benefits (Emergency Needs and Care Needs) Regulations and Decrees as they are amended or superseded. Homes for the Elderly and Disabled Persons Laws (Οι περί Στεγών για Ηλικιωμένους και Αναπήρους Νόμοι) of 1991 - 2011. [L. 222/91 and L. 65(I)/2011].
Adult Day-Care Centres Laws (Οι περί Κέντρων Ενηλίκων Νόμοι) (L. 38(Ι)/1997 and L.64(Ι)/2011).
State Aid Scheme, under the Regulation 360/2012 for the provision of services of general economic interest (De minimis) [Σχέδιο Κρατικών Ενισχύσεων ‘Ησσονος Σημασίας, βαση του Κανονισμού 360/2012 για την παροχή υπηρεσιών γενικού οικονομικού συμφέροντος].
Welfare Benefits Administration Service (Υπηρεσία Διαχείρισης Επιδομάτων Πρόνοιας).
The Guaranteed Minimum Income and generally for Welfare Benefits Law of 2014 as it is amended or superseded.
The Guaranteed Minimum Income and generally for Welfare Benefits Regulations and Decrees as they are amended or superseded.
CZECHIA
Care Allowance according to the Act. No. 108/2006 on social services (Zákon o sociálních službách).
DENMARK
Consolidation Act on Social Service (Lov om social service):
Consolidation Act on Housing Subsidy (Lov om individuel boligstøtte):
Consolidation Act on Social Housing (Lov om almene boliger):
ESTONIA
Social Welfare Act (Sotsiaalhoolekande seadus) 2016.
Social Benefits for Disabled Persons Act (Puuetega inimeste sotsiaaltoetuste seadus) 1999.
FRANCE
Supplement for a third party (majoration pour tierce personne, MTP): Articles L. 341-4 and L. 355-1 of the Social Security Code (Code de la sécurité sociale).
Supplementary benefit for recourse to a third party (prestation complémentaire pour recours à tierce personne): Article L. 434-2 of the Social Security Code.
Special education supplement for a disabled child (complément d’allocation d’éducation de l’enfant handicapé): Article L. 541-1 of the Social Security Code.
Disability compensation allowance (prestation de compensation du handicap, PCH): Articles L. 245-1 to L. 245-14 of the Social action and Family Code (Code de l’action sociale et des familles).
Allowance for loss of autonomy (allocation personnalisée d’autonomie, APA): Articles L. 232-1 to L. 232-28 of the Social action and Family Code (Code de l’action sociale et des familles).
GERMANY
Long term care benefits under Chapter 4 of Book XI of the Social Code (Leistungen der Pflegeversicherung nach Kapitel 4 des Elften Buches Sozialgesetzbuch).
GREECE
Law No. 1140/1981, as amended.
Legislative Decree No. 162/73 and Joint Ministerial Decision No. Π4β/5814/1997.
Ministerial Decision No. Π1γ/ΑΓΠ/οικ.14963 of 9 October 2001.
Law No. 4025/2011.
Law No. 4109/2013.
Law No. 4199/2013 art. 127.
Law No. 4368/2016 art. 334.
Law No. 4483/2017 art. 153.
Law No. 498/1-11-2018, art. 28, 30 and 31, for the "Unified Health Benefits Regulation" of the National Service Provider Organization Health (EOPYY).
HUNGARY
Long-term care benefits for persons providing personal care (Act III of 1993 on Social Administration and Social Assistance supplemented by Government and Ministerial decrees).
IRELAND
Nursing Homes Support Scheme Act 2009 (No. 15 of 2009).
Domiciliary Care Allowance (Social Welfare Consolidation Act 2005, Part 3, Chapter 8A).
ITALY
Law No. 118 of 30 March 1971 on civilian invalidity benefits (Legge 30 Marzo 1971, n. 118 - Conversione in Legge del D.L. 30 gennaio 1971, n. 5 e nuove norme in favore dei mutilati ed invalidi civili).
Law No. 18 of 11 February 1980 on Constant attendance allowance (Legge 11 Febbraio 1980, n. 18 - Indennità di accompagnamento agli invalidi civili totalmente inabili).
Law No. 104 of 5 February 1992, Article 33 (Framework law on disability) (Legge 5 Febbraio 1992, n. 104 - Legge-quadro per l’assistenza, l’integrazione sociale e i diritti delle persone handicappate).
Legislative Decree No. 112 of 31 March 1998 on the transfer of legislative tasks and administrative competences from the State to the Regions and local entities (Decreto Legislativo 31 Marzo 1998, n. 112 - Conferimento di funzioni e compiti amministrativi dello Stato alle regioni ed agli enti locali, in attuazione del capo I della Legge 15 Marzo 1997, n. 59).
Law No. 183 of 4 November 2010, Article 24, modifying the rules regarding the permits for the assistance to disabled persons in difficult situations (Legge n. 183 del 4 Novembre 2010, art. 24 - Modifiche alla disciplina in materia di permessi per l’assistenza a portatori di handicap in situazione di gravità).
Law No. 147 of 27 December 2013 containing provisions for drawing up the annual and pluri-annual budget of the State – Stability Law 2014 (Disposizioni per la formazione del bilancio annuale e pluriennale dello Stato - Legge di stabilità 2014).
LATVIA
Law on Social Services and Social Assistance (Sociālo pakalpojumu un sociālās palīdzības likums) 31/10/2002.
Medical Treatment Law (Ārstniecības likums) 12/06/1997.
Law on Patient Rights (Pacientu tiesību likums) 30/12/2009.
Regulations of the Cabinet of Ministers No. 555 on Health care organisation and payment procedure (Ministru kabineta 2018. gada 28.augusta noteikumi Nr.555 "Veselības aprūpes pakalpojumu organizēšanas un samaksas kārtība") 28/08/2018.
Regulations of the Cabinet of Ministers No. 275 on Procedures for Payment of Social Care and Social Rehabilitation Services and the Procedures for Covering Service Costs from a Local Government Budget (Ministru kabineta 2003.gada 27.maija noteikumi Nr.275 "Sociālās aprūpes un sociālās rehabilitācijas pakalpojumu samaksas kārtība un kārtība, kādā pakalpojuma izmaksas tiek segtas no pašvaldības budžeta") 27/05/2003.
Regulations of the Cabinet of Ministers No.138 on Receiving of Social Services and Social Assistance (Ministru kabineta 2019.gada 2.aprīļa noteikumi Nr 138 "Noteiku mi par sociālo pakalpojumu un sociālās palīdzības saņemšanu") 02/04/2019.
Law on State Social Benefits - allowance for a disabled person for whom care is necessary (Valsts sociālo pabalstu likums) 01/01/2003.
LITHUANIA
Law of the Republic of Lithuania of 29 June 2016 on Target Compensations No XII-2507 (Lietuvos Respublikos tikslinių kompensacijų įstatymas).
Law of the Republic of Lithuania of 21 May 1996 on Health Insurance No I-1343 (Lietuvos Respublikos sveikatos draudimo įstatymas).
Law of the Republic of Lithuania of 19 July 1994 on the Health System No I-552 (Lietuvos Respublikos sveikatos sistemos įstatymas).
Law of the Republic of Lithuania of 6 June 1996 on Health Care Institutions No I-1367 (Lietuvos Respublikos sveikatos priežiūros įstaigų įstatymas).
LUXEMBOURG
Benefits subject to long-term care insurance under the Social Security Code, Book V - Long-term care insurance, namely:
MALTA
Social Security Act (Att dwar is-Sigurta’ Socjali) (Cap. 318).
Subsidiary Legislation 318.19: State-Owned Institutions and Hostels Rates Regulations (Regolamenti dwar it-Trasferiment ta’ Fondi għal Hostels Statali Indikati).
Subsidiary Legislation 318.17: Transfer of Funds (Government Financed Beds) Regulations (Regolamenti dwar it-Trasferiment ta’ Fondi għal Sodod Iffinanzjati mill-Gvern).
Subsidiary Legislation 318.13: State Financed Residential Services Rates Regulations (Regolamenti dwar Rati għal Servizzi Residenzjali Finanzjali mill-Istat).
Carer’s Allowance – Social Security Act Article 68(1)a.
Increased Carer’s Allowance – Social Security Act Article 68(1)b.
THE NETHERLANDS
Long term care act (Wet langdurige zorg (WLZ)), Law of 3 December 2014.
POLAND
Medical Care Allowance (zasiłek pielęgnacyjny), Special Attendance Allowance (specjalny zasiłek opiekuńczy), Nursing Benefit (świadczenie pielęgnacyjne) Act of 28 November 2003 on Family Benefits (Ustawa o świadczeniach rodzinnych).
Allowance for Caregiver (zasiłek dla opiekuna) Act of 4 April 2014 on Determination and Payments of the Allowances for Caregivers (Ustawa o ustalaniu i wypłacaniu zasiłków dla opiekunów).
PORTUGAL
Social insurance and guaranteeing sufficient resources:
Dependency Supplement: Decree-Law No 265/99 of 14 July 1999, amended (complemento por dependência).
Dependency Supplement under the special protection system in case of disability: Act No 90/2009 of 31 August 2009, re-published in consolidated version by Decree-Law No 246/2015 of 20 October 2015, amended (regime especial de proteção na invalidez).
Social security system and National Health Service:
National network for integrated continuous care: Decree-Law No 101/06 of 6 June 2006, re-published in a consolidated version by Decree-Law No 136/2015 of 28 July 2015 (rede de cuidados continuados integrados).
Integrated continuous care in mental health: Decree-Law No 8/2010 of 28 January 2010, amended and republished by Decree-Law No 22/2011 of 10 February 2011 on the creation of units and teams for integrated continuous care in mental health (unidades e equipas de cuidados continuados integrados de saúde mental).
Pediatric Care (National Network for Integrated Continuous Care): Decree order No 343/2015 of 12 October 2015 on standards governing hospital and ambulatory paediatric care within the framework of the national network for integrated continuous care (condições de instalação e funcionamento das unidades de internamento de cuidados integrados e de ambulatório pediátricas da Rede Nacional de Cuidados Continuados Integrados).
Informal Carer (allowance): Act No 100/2019 of 6 September on the status of informal carer (Estatuto do cuidador informal).
ROMANIA
Law no. 448/2006 from 6 December 2006 on the Protection and Promotion of the Rights of Persons with Disabilities, with subsequent amendments and completions:
Law no. 584/2002 on measures to prevent the spread of malady AIDS in Romania and to protect the persons infected with HIV or AIDS, with subsequent amendments and completions:
SLOVENIA
No specific law related to long-term care.
Long-term care benefits are included in the following acts:
Pension and Disability Insurance Act (Zakon o pokojninskem in invalidskem zavarovanju) (Official Gazette of the Republic of Slovenia, no. 96/2012, and subsequent amendments).
Financial Social Assistance Act (Zakon o socialno vartsvenih prejemkih) (Official Gazette of the Republic of Slovenia, no. 61/2010, and subsequent amendments).
Exercise of Rights to Public Funds Act (Zakon o uveljavljanju pravic iz javnih sredstev) (Official Gazette of the Republic of Slovenia, no. 62/2010, and subsequent amendments).
Social Protection Act (Zakon o socialnem varstvu) (Official Gazette of the Republic of Slovenia, no. 3/2004 – official consolidated text, and subsequent amendments).
Parental Care and Family Benefits Act (Zakon o starševskem varstvu in družinskih prejemkih) (Official Gazette of the Republic of Slovenia, no. 110/2006 – official consolidated text, and subsequent amendments).
Mentally and Physically Handicapped Persons Act (Zakon o družbenem varstvu duševno in telesno prizadetih oseb) (Official Gazette of the Republic of Slovenia, no. 41/83, and subsequent amendments).
Health Care and Health Insurance Act (Zakon o zdravstvenem varstvu in zdravstvenem zavarovanju) (Official Gazette of the Republic of Slovenia, no. 72/2006 – official consolidated text, and subsequent amendments).
War Veterans Act (Zakon o vojnih veteranih) (Official Gazette of the Republic of Slovenia, no 59/06 official consolidated text, and subsequent amendments).
War Disability Act (Zakon o vojnih invalidih) (Official Gazette of the Republic of Slovenia, no 63/59 official consolidated text, and subsequent amendments).
Fiscal Balance Act (Zakon za uravnoteženje javnih finance (ZUJF)) (Official Gazette of the Republic of Slovenia, no. 40/2012, and subsequent amendments).
Act Regulating Adjustments of Transfers to Individuals and Households in the Republic of Slovenia (Zakon o usklajevanju transferjev posameznikom in gospodinjstvom v Republiki Sloveniji) (Official Gazette of the Republic of Slovenia, no. 114/2006 – official consolidated text, and subsequent amendments).
SPAIN
Law No. 39/2006 on the Promotion of Personal Autonomy and Assistance to persons in situations of dependence of 14 December 2006, as amended.
Ministerial Order of 15 April 1969.
Royal Decree No. 1300/95 of 21 July 1995, as amended.
Royal Decree No. 1647/97 of 31 October 1997, as amended.
SWEDEN
Care allowance (Chapter 22 of the Social Insurance Code [2010:110]).
Extra cost allowance (Chapter 50 of the Social Insurance Code [2010:110]).
Assistance allowance (Chapter 51 of the Social Insurance Code [2010:110]).
Car allowance (Chapter 52 of the Social Insurance Code [2010:110]).
PART 3
PAYMENTS WHICH ARE CONNECTED TO A BRANCH OF SOCIAL SECURITY LISTED IN ARTICLE SSC.3(1) OF THIS PROTOCOL AND WHICH ARE PAID TO MEET EXPENSES FOR HEATING IN COLD WEATHER
(Point (f) of Article SSC.3(4) of this Protocol)
(i) UNITED KINGDOM
Winter Fuel Payment (Social Security Contributions and Benefits Act 1992, Social Fund Winter Fuel Payment Regulations 2000, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Fund Winter Fuel Payment Regulations (Northern Ireland) 2000).
(ii) MEMBER STATES
DENMARK
Act on Social and state pensions, LBK no. 983 of 23/09/2019.
Regulations on social and state pensions, BEK no. 1602 of 27/12/2019.
ANNEX SSC-2
RESTRICTION OF RIGHTS TO BENEFITS IN KIND FOR MEMBERS OF THE FAMILY OF A FRONTIER WORKER
(referred to in Article SSC.16(2) of this Protocol)
ANNEX SSC-3
MORE RIGHTS FOR PENSIONERS RETURNING TO THE COMPETENT STATE
(Article SSC.25(2) of this Protocol)
AUSTRIA
BELGIUM
BULGARIA
CYPRUS
CZECHIA
FRANCE
GERMANY
GREECE
HUNGARY
LATVIA
LITHUANIA
LUXEMBOURG
THE NETHERLANDS
POLAND
PORTUGAL
ROMANIA
SLOVENIA
SPAIN
SWEDEN
ANNEX SSC-4
CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED OR SHALL NOT APPLY
(Article SSC.47(4) and (5) of this Protocol)
PART 1
CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED PURSUANT TO ARTICLE SSC.47(4)
AUSTRIA
All applications for benefits under the Federal Act of 9 September 1955 on General Social Insurance – ASVG, the Federal Act of 11 October 1978 on social insurance for self-employed persons engaged in trade and commerce – GSVG, the Federal Act of 11 October 1978 on social insurance for self-employed farmers – BSVG and the Federal Act of 30 November 1978 on social insurance for the self-employed in the liberal professions (FSVG);
All applications for survivors’ pensions based on a pension account pursuant to the General Pensions Act (APG) of 18 November 2004, with the exception of cases under Part 2;
All applications for survivors’ pensions of the Austrian Provincial Chambers of Physicians (Landesärztekammer) based on basic provision (basic and any supplementary benefit, or basic pension);
All applications for survivors’ support from the pension fund of the Austrian Chamber of Veterinary Surgeons;
All applications for benefits from widows and orphans pensions according to the statutes of the welfare institutions of the Austrian bar associations, Part A;
All applications for benefits under the Notary Insurance Act of 3 February 1972 – NVG 1972.
CYPRUS
All applications for old age, widow’s and widower’s pensions.
DENMARK
All applications for pensions referred to in the law on social pensions, except for pensions mentioned in Annex SSC-5 to this Protocol.
IRELAND
All applications for state pension (contributory), widow’s, widower’s, and surviving civil partners (contributory) pension.
LATVIA
All applications for survivor’s pensions (Law on State pensions of 1 January 1996; Law on State funded pensions of 1 July 2001).
LITHUANIA
All applications for State social insurance survivor’s pensions calculated on the basis of the basic amount of survivor’s pension (Law on State Social Insurance Pensions).
NETHERLANDS
All applications for old-age pensions under the law on general old-age insurance (AOW).
POLAND
All applications for old-age under the defined benefits scheme and survivors’ pensions, except for the cases where the totalised periods of insurance completed under the legislation of more than one country are equal to or longer than 20 years for women and 25 years for men but the national periods of insurance are inferior to these limits (and not less than 15 years for women and 20 years for men), and the calculation is made under Articles 27 and 28 of the Act of 17 December 1998 (O.J. 2015, item 748).
PORTUGAL
All applications for old-age and survivors’ pension claims, except for the cases where the totalised periods of insurance completed under the legislation of more than one country are equal to or longer than 21 calendar years but the national periods of insurance are equal or inferior to 20 years, and the calculation is made under Articles 32 and 33 of Decree-Law No 187/2007 of 10 May 2007, amended.
SLOVAKIA
All applications for survivors’ pension (widow’s pension, widower’s and orphan’s pension) calculated according to the legislation in force before 1 January 2004, the amount of which is derived from a pension formerly paid to the deceased;
All applications for pensions calculated pursuant to Act No 461/2003 Coll. on social security as amended.
SWEDEN
Applications for an old-age pension in the form of a guaranteed pension for persons born in or before 1937 (Chapter 66 of the Social Insurance Code [2010:110]).
Applications for an old-age pension in the form of a supplementary pension (Chapter 63 of the Social Insurance Code [2010:110]).
UNITED KINGDOM
All applications for retirement pension, state pension pursuant to Part 1 of the Pensions Act 2014, widows’ and bereavement benefits, with the exception of those for which during a tax year beginning on or after 6 April 1975:
the party concerned had completed periods of insurance, employment or residence under the legislation of the United Kingdom and a Member State; and one (or more) of the tax years was not considered a qualifying year within the meaning of the legislation of the United Kingdom;
the periods of insurance completed under the legislation in force in the United Kingdom for the periods prior to 5 July 1948 would be taken into account for the purposes of point (b) of Article SSC.47(1) of this Protocol by application of the periods of insurance, employment or residence under the legislation of a Member State.
All applications for additional pension pursuant to the Social Security Contributions and Benefits Act 1992, section 44, and the Social Security Contributions and Benefits (Northern Ireland) Act 1992, section 44.
PART 2
CASES IN WHICH ARTICLE SSC.47(5)APPLIES
AUSTRIA
Old-age pensions and survivor’s pensions derived thereof based on a pension account pursuant to the General Pensions Act (APG) of 18 November 2004;
Compulsory allowances under Article 41 of the Federal Law of 28 December 2001, BGBl I Nr. 154 on the general salary fund of Austrian pharmacists (Pharmazeutische Gehaltskasse für Österreich);
Retirement and early retirement pensions of the Austrian Provincial Chambers of Physicians based on basic provision (basic and any supplementary benefit, or basic pension), and all pension benefits of the Austrian Provincial Chambers of Physicians based on additional provision (additional or individual pension);
Old-age support from the pension fund of the Austrian Chamber of Veterinary Surgeons;
Benefits according to the statutes of the welfare institutions of the Austrian bar associations, Parts A and B, with the exception of applications for benefits from widows’ and orphans’ pensions according to the statutes of the welfare institutions of the Austrian bar associations, Part A;
Benefits by the welfare institutions of the Federal Chamber of Architects and Consulting Engineers under the Austrian Civil Engineers’ Chamber Act (Ziviltechnikerkammergesetz) 1993 and the statutes of the welfare institutions, with the exception of benefits on grounds of survivors’ benefits deriving from the last-named benefits;
Benefits according to the statute of the welfare institution of the Federal Chamber of Professional Accountants and Tax Advisors under the Austrian Professional Accountants and Tax Advisors’ Act (Wirtschaftstreuhandberufsgesetz).
BULGARIA
Old age pensions from the Supplementary Compulsory Pension Insurance, under Part II, Title II, of the Social Insurance Code.
CROATIA
Pensions from the compulsory insurance scheme based on the individual capitalised savings according to the Compulsory and Voluntary Pension Funds Act (OG 49/99, as amended) and the Act on Pension Insurance Companies and Payment of Pensions Based on Individual Capitalised Savings (OG 106/99, as amended), except in the cases provided by Articles 47 and 48 of the Compulsory and Voluntary Pension Funds Act and survivor’s pension).
DENMARK
Personal pensions;
Benefits in the event of death (accrued based on contributions to Arbejdsmarkedets Tillægspension related to the time before 1 January 2002);
Benefits in the event of death (accrued based on contributions to Arbejdsmarkedets Tillægspension related to the time after 1 January 2002) referred to in the Consolidated Act on Labour Market Supplementary Pension (Arbejdsmarkedets Tillægspension) 942:2009.
ESTONIA
Mandatory funded old-age pension scheme.
FRANCE
Basic or supplementary schemes in which old-age benefits are calculated on the basis of retirement points.
HUNGARY
Pension benefits based on membership of private pension funds.
LATVIA
Old-age pensions (Law on State pensions of 1 January 1996; Law on State funded pensions of 1 July 2001).
POLAND
Old-age pensions under the defined contribution scheme.
PORTUGAL
Supplementary pensions granted pursuant to Decree-Law No 26/2008 of 22 February 2008, amended (public capitalisation scheme).
SLOVAKIA
Mandatory old-age pension saving.
SLOVENIA
Pension from compulsory supplementary pension insurance.
SWEDEN
Old-age pension in the form of an income pension and a premium pension (Chapters 62 and 64 of the Social Insurance Code[2010:110]).
UNITED KINGDOM
Graduated retirement benefits paid pursuant to the National Insurance Act 1965, sections 36 and 37, and the National Insurance Act (Northern Ireland) 1966, sections 35 and 36.
ANNEX SSC-5
BENEFITS AND AGREEMENTS WHICH ALLOW THE APPLICATION OF ARTICLE SSC.49
I. Benefits referred to in point (a) of Article SSC.49(2) of this Protocol, the amount of which is independent of the length of periods of insurance or residence completed
DENMARK
The full Danish national old-age pension acquired after 10 years’ residence by persons who will have been awarded a pension by 1 October 1989
FINLAND
National pensions and spouse’s pensions determined according to the transitional rules and awarded prior to the 1 of January 1994 (Act on Enforcement of the National Pensions Act, 569/2007)
The additional amount of child’s pension when calculating independent benefit according to the National Pension Act (the National Pension Act, 568/2007)
FRANCE
Widower’s or widow’s invalidity pension under the general social security system or under the agricultural workers scheme where it is calculated on the basis of the deceased spouse’s invalidity pension settled in accordance with point (a) of Article SSC.47(1)
GREECE
Benefits under Law No 4169/1961 relating to the agricultural insurance scheme (OGA)
NETHERLANDS
General Surviving Relatives Act of 21 December 1995 (ANW)
The Work and Income according to Labour Capacity Act of 10 November 2005 (WIA)
SPAIN
Survivors’ pensions granted under the general and special schemes, with the exception of the Special Scheme for Civil Servants
SWEDEN
Income-related sickness compensation and income-related activity compensation (Chapter 34 of the Social Insurance Code [2010:110])
Guaranteed pension and guaranteed compensation which replaced the full state pension awarded under the legislation on state pension which applied before 1 January 1993, and the full state pension awarded under the transitional rules of the legislation applying from that date
II. Benefits referred to in point (b) of Article SSC.49(2) of this Protocol, the amount of which is determined by reference to a credited period deemed to have been completed between the date on which the risk materialised and a later date
FINLAND
Employment pensions for which account is taken of future periods according to the national legislation
GERMANY
Survivors’ pensions, for which account is taken of a supplementary period
Old-age pensions, for which account is taken of a supplementary period already acquired
ITALY
Italian pensions for total incapacity for work (inabilità)
LATVIA
Survivors’ pension calculated on the basis of assumed insurance periods (Article 23(8) of the Law on State Pensions of 1 January 1996)
LITHUANIA
State social insurance work incapacity pensions, paid under the Law on State Social Insurance Pensions
State social insurance survivors’ and orphans’ pensions, calculated on the basis of the work incapacity pension of the deceased under the Law on State Social Insurance Pensions
LUXEMBOURG
Survivors’ pensions
SLOVAKIA
Slovak survivors’ pension derived from the invalidity pension
SPAIN
The pensions for retirement under the Special Scheme for Civil Servants due under Title I of the consolidated text of the Law on State Pensioners if at the time of materialisation of the risk the beneficiary was an active civil servant or treated as such; death and survivors’ (widows’/widowers’, orphans’ and parents’) pensions due under Title I of the consolidated text of the Law on State Pensioners if at the time of death the civil servant was active or treated as such
SWEDEN
Sickness compensation and activity compensation in the form of guaranteed compensation (Chapter 35 of the Social Insurance Code [2010:110])
Survivors’ pension calculated on the basis of credited insurance periods (Chapters 76-85 of the Social Insurance Code [2010:110])
III. Agreements referred to in point (b)(i) of Article SSC.49(2) of this Protocol intended to prevent the same credited period being taken into account two or more times:
The Social Security Agreement of 28 April 1997 between the Republic of Finland and the Federal Republic of Germany
The Social Security Agreement of 10 November 2000 between the Republic of Finland and the Grand Duchy of Luxembourg
Nordic Convention on social security of 12 June 2012
ANNEX SSC-6
SPECIAL PROVISIONS FOR THE APPLICATION OF THE LEGISLATION OF THE MEMBER STATES AND OF THE UNITED KINGDOM
(Article SSC.3(2), Article SSC.51(1) and Article SSC.66)
AUSTRIA
1. For the purpose of acquiring periods in the pension insurance, attendance at a school or comparable educational establishment in another State shall be regarded as equivalent to attendance at a school or educational establishment pursuant to Articles 227(1)(1) and 228(1)(3) of the Allgemeines Sozialversicherungsgesetz (ASVG) (General Social Security Act), Article 116(7) of the Gewerbliches Sozialversicherungsgesetz (GSVG) (Federal Act on Social Insurance for Persons engaged in Trade and Commerce) and Article 107(7) of the Bauern-Sozialversicherungsgesetz (BSVG) (Social Security Act for Farmers), when the person concerned was subject at some time to Austrian legislation on the grounds that he pursued an activity as an employed or self-employed person, and the special contributions provided for under Article 227(3) of the ASVG, Article 116(9) of the GSVG and Article 107(9) of the BSGV for the purchase of such periods of education, are paid.
2. For the calculation of the pro rata benefit referred to in point (b) of Article SSC.47(1) of this Protocol, special increments for contributions for supplementary insurance and the miners’ supplementary benefit under Austrian legislation shall be disregarded. In those cases the pro rata benefit calculated without those contributions shall, if appropriate, be increased by unreduced special increments for contributions for supplementary insurance and the miners’ supplementary benefit.
3. Where pursuant to Article SSC.7 of this Protocol substitute periods under an Austrian pension insurance scheme have been completed but cannot form a basis for calculation pursuant to Articles 238 and 239 of the ASVG, Articles 122 and 123 of the GSVG and Articles 113 and 114 of the BSVG, the calculation basis for periods of childcare pursuant to Article 239 of the ASVG, Article 123 of the GSVG and Article 114 of the BSVG shall be used.
4. In the cases referred to in Article SSC 39, for the determination of the amount of invalidity benefits under the Austrian legislation, the provisions of Chapter 5 of the Protocol shall apply mutatis mutandis.
BULGARIA
Article 33(1) of the Bulgarian Health Insurance Act applies to all persons for whom Bulgaria is the competent Member State under Chapter 1 of Title III of this Protocol.
CYPRUS
For the purpose of applying the provisions of Articles SSC.7, SSC.46 and SSC.56 of this Protocol, for any period commencing on or after 6 October 1980, a week of insurance under the legislation of the Republic of Cyprus is determined by dividing the total insurable earnings for the relevant period by the weekly amount of the basic insurable earnings applicable in the relevant contribution year, provided that the number of weeks so determined shall not exceed the number of calendar weeks in the relevant period.
CZECHIA
1. For the purposes of defining members of the family in accordance with point (s) of Article SSC.1 of this Protocol, "spouse" includes registered partners as defined in the Czech act no. 115/2006 Coll., on registered partnership.
2. Notwithstanding Articles SSC.6 and SSC.7 of this Protocol, for the purposes of granting the supplementary benefit in respect of insurance periods completed under the legislation of the former Czech and Slovak Federal Republic, solely the insurance periods completed under the Czech legislation can be taken into account in order to meet the condition of at least one year of Czech pension insurance within the defined period after the date of dissolution of the federation (§ 106a, paragraph 1, letter b) of Act No. 155/1995 Coll., on pension insurance).
3. In the cases referred to in Article SSC 39, in determination of the amount of invalidity benefit according to the Act No. 155/1995 Coll., the provisions of Chapter 5 of the Protocol shall apply mutatis mutandis.
DENMARK
1.
For the purpose of calculating the pension under the "lov om social pension" (Social Pension Act), periods of activity as an employed or self-employed person completed under Danish legislation by a frontier worker or a worker who has gone to Denmark to do work of a seasonal nature are regarded as periods of residence completed in Denmark by the surviving spouse in so far as, during those periods, the surviving spouse was linked to the abovementioned worker by marriage without separation from bed and board or de facto separation on grounds of incompatibility, and provided that, during those periods, the spouse resided in the territory of another State. For the purposes of this point, "work of a seasonal nature" means work which, being dependent on the succession of the seasons, automatically recurs each year.
For the purpose of calculating the pension under the "lov om social pension" (Social Pension Act), periods of activity as an employed or self-employed person completed under Danish legislation before 1 January 1984 by a person to whom point (a) does not apply shall be regarded as periods of residence completed in Denmark by the surviving spouse, in so far as, during those periods, the surviving spouse was linked to that person by marriage without separation from bed and board or de facto separation on grounds of incompatibility, and provided that, during those periods, the spouse resided in the territory of another State.
Periods to be taken into account under points (a) and (b) shall not be taken into consideration if they coincide with the periods taken into account for the calculation of the pension due to the person concerned under the legislation on compulsory insurance of another State, or with the periods during which the person concerned received a pension under such legislation. Those periods shall, however, be taken into consideration if the annual amount of the said pension is less than half the basic amount of the social pension.
2.
Notwithstanding the provisions of Article SSC.7 of this Protocol, persons who have not been gainfully employed in one or more States are entitled to a Danish social pension only if they have been, or have previously been, permanent residents of Denmark for at least 3 years, subject to the age limits prescribed by Danish legislation. Subject to Article SSC.5 of this Protocol, Article SSC.8 of this Protocol does not apply to a Danish social pension to which entitlement has been acquired by such persons.
The provisions referred to in point (a) do not apply to Danish social pension entitlement for the members of the family of persons who are or have been gainfully employed in Denmark, or for students or the members of their families.
3. The temporary benefit for unemployed persons who have been admitted to the ledighedsydelse (flexible job’ scheme) (Law No 455 of 10 June 1997) is covered by Chapter 6 of Title III of this Protocol.
4. Where the beneficiary of a Danish social pension is also entitled to a survivor’s pension from another State, those pensions for the implementation of Danish legislation shall be regarded as benefits of the same kind within the meaning of Article SSC.48(1), subject to the condition, however, that the person whose periods of insurance or of residence serve as the basis for the calculation of the survivor’s pension had also acquired a right to a Danish social pension.
FINLAND
1. For the purposes of determining entitlement and of calculating the amount of the Finnish national pension under Articles SSC.47, SSC.48 and 49 of this Protocol, pensions acquired under the legislation of another State are treated in the same way as pensions acquired under Finnish legislation.
2. When applying point (b)(i) of Article SSC.47(1) of this Protocol for the purpose of calculating earnings for the credited period under Finnish legislation on earnings-related pensions, where an individual has pension insurance periods based on activity as an employed or self-employed person in another State for part of the reference period under Finnish legislation, the earnings for the credited period shall be equivalent to the sum of earnings obtained during the part of the reference period in Finland, divided by the number of months for which there were insurance periods in Finland during the reference period.
FRANCE
1. For persons receiving benefits in kind in France pursuant to Article SSC.15 or SSC.24 of this Protocol who are resident in the French departments of Haut-Rhin, Bas-Rhin or Moselle, benefits in kind provided on behalf of the institution of another State which is responsible for bearing their cost include benefits provided by both the general sickness insurance scheme and the obligatory supplementary local sickness insurance scheme of Alsace-Moselle.
2. French legislation applicable to a person engaged, or formerly engaged, in an activity as an employed or self-employed person for the application of Chapter 5 of Title III of this Protocol includes both the basic old-age insurance scheme(s) and the supplementary retirement scheme(s) to which the person concerned was subject.
GERMANY
1. Notwithstanding point (a) of Article SSC.6 of this Protocol and point 1 of Article 5(4) of the Sozialgesetzbuch VI (Volume VI of the Social Code), a person who receives a full old-age pension under the legislation of another State may request to be compulsorily insured under the German pension insurance scheme.
2. Notwithstanding point (a) of Article SSC.6 of this Protocol and Article 7 of the Sozialgesetzbuch VI (Volume VI of the Social Code), a person who is compulsorily insured in another State, or receives an old-age pension under the legislation of another State may join the voluntary insurance scheme in Germany.
3. For the purpose of granting cash benefits under §47(1) of SGB V, §47(1) of SGB VII and §24i of SGB V to insured persons who live in another State, German insurance schemes calculate net pay, which is used to assess benefits, as if the insured person lived in Germany, unless the insured person requests an assessment on the basis of the net pay which he actually receives.
4. Nationals of other States whose place of residence or usual abode is outside Germany and who fulfil the general conditions of the German pension insurance scheme may pay voluntary contributions only if they had been voluntarily or compulsorily insured in the German pension insurance scheme at some time previously; this also applies to stateless persons and refugees whose place of residence or usual abode is in another State.
5. The pauschale Anrechnungszeit (fixed credit period) pursuant to Article 253 of the Sozialgesetzbuch VI (Volume VI of the Social Code) shall be determined exclusively with reference to German periods.
6. In cases where the German pension legislation, in force on 31 December 1991, is applicable for the recalculation of a pension, only the German legislation applies for the purposes of crediting German Ersatzzeiten (substitute periods).
7. The German legislation on accidents at work and occupational diseases to be compensated for under the law governing foreign pensions and on benefits for insurance periods which can be credited under the law governing foreign pensions in the territories named in paragraph 1(2)(3) of the Act on affairs of displaced persons and refugees (Bundesvertriebenengesetz) continues to apply within the scope of application of this Protocol, notwithstanding the provisions of paragraph 2 of the Act on foreign pensions (Fremdrentengesetz).
8. For the calculation of the theoretical amount referred to in point (b)(i) of Article SSC.47(1) of this Protocol, in pension schemes for liberal professions, the competent institution shall take as a basis, in respect of each of the years of insurance completed under the legislation of any other State, the average annual pension entitlement acquired during the period of membership of the competent institution through the payment of contributions.
GREECE
1. Law No 1469/84 concerning voluntary affiliation to the pension insurance scheme for Greek nationals and foreign nationals of Greek origin is applicable to nationals of other States, stateless persons and refugees, where the persons concerned, regardless of their place of residence or stay, have at some time in the past been compulsorily or voluntarily affiliated to the Greek pension insurance scheme.
2 Notwithstanding point (a) of Article SSC.6 of this Protocol and Article 34 of Law 1140/1981, a person who receives a pension in respect of accidents at work or occupational diseases under the legislation of another State may request to be compulsorily insured under the legislation applied by OGA, to the extent that they pursue an activity falling within the scope of that legislation.
IRELAND
Notwithstanding Article SSC.19(2) and Article SSC.57 of this Protocol, for the purposes of calculating the prescribed reckonable weekly earnings of an insured person for the grant of sickness or unemployment benefit under Irish legislation, an amount equal to the average weekly wage of employed persons in the relevant prescribed year shall be credited to that insured person in respect of each week of activity as an employed person under the legislation of another State during that prescribed year.
MALTA
Special provisions for civil servants
Solely for the purposes of the application of Articles SSC.43 and SSC.55 of this Protocol, persons employed under the Malta Armed Forces Act (Chapter 220 of the Laws of Malta), the Police Act (Chapter 164 of the Laws of Malta), the Prisons Act (Chapter 260 of the Laws of Malta) and the Civil Protection Act (Chapter 411 of the Laws of Malta) shall be treated as civil servants.
Pensions payable under the above Acts and under the Pensions Ordinance (Chapter 93 of the Laws of Malta) shall, solely for the purposes of point (cc) of Article SSC.1 of this Protocol, be considered as "special schemes for civil servants".
NETHERLANDS
1. Health care insurance
As regards entitlement to benefits in kind under Dutch legislation, persons entitled to benefits in kind for the purpose of the implementation of Chapters 1 and 2 of Title III of this Protocol shall mean:
persons who, under Article 2 of the Zorgverzekeringswet (Health Care Insurance Act), are obliged to take out insurance under a health care insurer; and
in so far as they are not already included under point (i), members of the family of active military personnel who are living in another State and persons who are resident in another State and who, under this Protocol, are entitled to health care in their state of residence, the costs being borne by the Netherlands.
The persons referred to in point 1(a)(i) must, in accordance with the provisions of the Zorgverzekeringswet (Health Care Insurance Act), take out insurance with a health care insurer, and the persons referred to in point 1(a)(ii) must register with the College voor zorgverzekeringen (Health Care Insurance Board).
The provisions of the Zorgverzekeringswet (Health Care Insurance Act) and the Algemene Wet Bijzondere Ziektekosten (General Act on Exceptional Medical Expenses) concerning liability for the payment of contributions shall apply to the persons referred to in point (a) and the members of their families. In respect of members of the family, the contributions shall be levied on the person from whom the right to health care is derived with the exception of the members of the family of military personnel living in another State, who shall be levied directly.
The provisions of the Zorgverzekeringswet (Health Care Insurance Act) concerning late insurance shall apply mutatis mutandis in the event of late registration with the College voor zorgverzekeringen (Health Care Insurance Board) in respect of the persons referred to in point (a)(ii).
Persons entitled to benefits in kind by virtue of the legislation of a State other than the Netherlands who reside in the Netherlands or stay temporarily in the Netherlands shall be entitled to benefits in kind in accordance with the policy offered to insured persons in the Netherlands by the institution of the place of residence or the place of stay, taking into account Article 11(1), (2) and (3) and Article 19(1) of the Zorgverzekeringswet (Health Care Insurance Act), as well as to benefits in kind provided for by the Algemene Wet Bijzondere Ziektekosten (General Act on Exceptional Medical Expenses).
For the purposes of Articles SSC.21 to SSC.27 of this Protocol, the following benefits, in addition to pensions covered by Chapters 4 and 5 of Title III of this Protocol, shall be treated as pensions due under Dutch legislation:
For the purposes of Article SSC.16(1) of this Protocol, the persons referred to in point (a)(ii) of this paragraph who stay temporarily in the Netherlands shall be entitled to benefits in kind in accordance with the policy offered to insured persons in the Netherlands by the institution of the place of stay, taking into account Article 11(1), (2) and (3) and Article 19(1) of the Zorgverzekeringswet (Health Care Insurance Act), as well as to benefits in kind provided for by the Algemene Wet Bijzondere Ziektekosten (General Act on Exceptional Medical Expenses).
2. Application of the Algemene Ouderdomswet (AOW) (General Old Age Pensions Act)
The reduction referred to in Article 13(1) of the AOW (General Old Age Pensions Act) shall not be applied for calendar years before 1 January 1957 during which a recipient not satisfying the conditions for having such years treated as periods of insurance:
By way of derogation from Article 7 of the AOW, anyone who resided or worked in the Netherlands in accordance with the above conditions only prior to 1 January 1957 shall also be regarded as being entitled to a pension.
The reduction referred to in Article 13(1) of the AOW shall not apply to calendar years prior to 2 August 1989 during which a person, between the ages of 15 and 65, who is or was married was not insured under the above legislation, while being resident in the territory of a State other than the Netherlands, if these calendar years coincide with periods of insurance completed by the person’s spouse under the above legislation or with calendar years to be taken into account under point 2(a), provided that the couple’s marriage subsisted during that time.
By way of derogation from Article 7 of the AOW, such a person shall be regarded as being entitled to a pension.
The reduction referred to in Article 13(2) of the AOW shall not apply to calendar years before 1 January 1957 during which a pensioner’s spouse who fails to satisfy the conditions for having such years treated as periods of insurance:
The reduction referred to in Article 13(2) of the AOW shall not apply to calendar years prior to 2 August 1989 during which a pensioner’s spouse resident in a State other than the Netherlands, between the ages of 15 and 65, was not insured under the AOW, if those calendar years coincide with periods of insurance completed by the pensioner under that legislation or with calendar years to be taken into account under point 2(a), provided that the couple’s marriage subsisted during that time.
Points 2(a), 2(b), 2(c) and 2(d) shall not apply to periods which coincide with:
Periods of voluntary insurance under the system of another State shall not be taken into account for the purposes of this point.
Points 2(a), 2(b), 2(c) and 2(d) shall apply only if the person concerned has resided in one or more States for 6 years after the age of 59 and only for such time as that person is resident in one of those States.
By way of derogation from Chapter IV of the AOW, anyone resident in a State other than the Netherlands whose spouse is covered by compulsory insurance under that legislation shall be authorised to take out voluntary insurance under that legislation for periods during which the spouse is compulsorily insured.
This authorisation shall not cease where the spouse’s compulsory insurance is terminated as a result of their death and where the survivor receives only a pension under the Algemene nabestaandenwet (General Surviving Relatives Act).
In any event, the authorisation in respect of voluntary insurance ceases on the date on which the person reaches the age of 65.
The contribution to be paid for voluntary insurance shall be set in accordance with the provisions relating to the determination of the contribution for voluntary insurance under the AOW. However, if the voluntary insurance follows on from a period of insurance as referred to in point 2(b), the contribution shall be set in accordance with the provisions relating to the determination of the contribution for compulsory insurance under the AOW, with the income to be taken into account being deemed to have been received in the Netherlands.
The authorisation referred to in point 2(g) shall not be granted to anyone insured under another State’s legislation on pensions or survivors’ benefits.
Anyone wishing to take out voluntary insurance under point 2(g) shall be required to apply for it to the Social Insurance Bank (Sociale Verzekeringsbank) not later than 1 year after the date on which the conditions for participation are fulfilled.
3. Application of the Algemene nabestaandenwet (ANW) (General Surviving Relatives Act)
Where the surviving spouse is entitled to a survivor’s pension under the ANW (General Surviving Relatives Act) pursuant to Article SSC.46(3) of this Protocol, that pension shall be calculated in accordance with point (b) of Article SSC.47(1) of this Protocol.
For the application of these provisions, periods of insurance prior to 1 October 1959 shall also be regarded as periods of insurance completed under Dutch legislation if during those periods the insured person, after the age of 15:
Account shall not be taken of the periods to be taken into consideration under point 3(a) which coincide with periods of compulsory insurance completed under the legislation of another State in respect of survivor’s pensions.
For the purposes of point (b) of Article SSC.47(1) of this Protocol, only periods of insurance completed under Dutch legislation after the age of 15 shall be taken into account as periods of insurance.
By way of derogation from Article 63a(1) of the ANW, a person resident in a State other than the Netherlands whose spouse is compulsorily insured under the ANW shall be authorised to take out voluntary insurance under the ANW provided that such insurance has already begun by the date of application of this Protocol, but only for periods during which the spouse is compulsorily insured.
That authorisation shall cease as from the date of termination of the spouse’s compulsory insurance under the ANW, unless the spouse’s compulsory insurance is terminated as a result of their death and where the survivor only receives a pension under the ANW.
In any event, the authorisation in respect of voluntary insurance ceases on the date on which the person reaches the age of 65.
The contribution to be paid for voluntary insurance shall be set in accordance with the provisions relating to the determination of contributions for voluntary insurance under the ANW. However, if the voluntary insurance follows on from a period of insurance as referred to in point 2(b), the contribution shall be set in accordance with the provisions relating to the determination of contributions for compulsory insurance under the ANW, with the income to be taken into account being deemed to have been received in the Netherlands.
4. Application of Dutch legislation relating to incapacity for work
In calculating benefits under either the WAO, WIA or the WAZ, the Netherlands institutions shall take account of:
SPAIN
1. For the purpose of implementing of this Protocol, the years which the worker lacks to reach the pensionable or compulsory retirement age as stipulated under Article 31(4) of the consolidated version of the Ley de Clases Pasivas del Estado (Law on State Pensioners) shall be taken into account as actual years of service to the State only if at the time of the event in respect of which death pensions are due, the beneficiary was covered by Spain’s special scheme for civil servants or was performing an activity assimilated under the scheme, or if, at the time of the event in respect of which the pensions are due, the beneficiary was performing an activity that would have required the person concerned to be included under the State’s special scheme for civil servants, the armed forces or the judiciary, had the activity been performed in Spain.
2.
Under point (c) of Article SSC.51(1), the calculation of the theoretical Spanish benefit shall be carried out on the basis of the actual contributions of the person during the years immediately preceding payment of the last contribution to Spanish social security. Where, in the calculation of the basic amount for the pension, periods of insurance or residence under the legislation of other States have to be taken into account, the contribution basis in Spain which is closest in time to the reference periods shall be used for those periods, taking into account the development of the retail price index.
The amount of the pension obtained shall be increased by the amount of the increases and revaluations calculated for each subsequent year for pensions of the same nature.
3. Periods completed in other States which must be calculated in the special scheme for civil servants, the armed forces and the judicial administration, will be treated in the same way, for the purposes of Article SSC.51 of this Protocol, as the periods closest in time covered as a civil servant in Spain.
4. The additional amounts based on age referred to in the Second Transitional Provision of the General Law on Social Security shall be applicable to all beneficiaries under this Protocol who have contributions to their name under the Spanish legislation prior to 1 January 1967; it shall not be possible, by application of Article SSC.6 of this Protocol, to treat periods of insurance credited in another State prior to 1 January 1967 as being the same as contributions paid in Spain, solely for the purposes of this Protocol. The date corresponding to 1 January 1967 shall be 1 August 1970 for the Special Scheme for Seafarers and 1 April 1969 for the Special Social Security Scheme for Coal Mining.
SWEDEN
1. The provisions of the Protocol on the aggregation of insurance periods and periods of residence shall not apply to the transitional provisions in the Swedish legislation on entitlement to guaranteed pension for persons born in or before 1937 who have been resident in Sweden for a specified period before applying for a pension (Chapter 6 of the Act [2010:111] on the introduction of the Social Insurance Code).
2. For the purpose of calculating income for notional income-related sickness compensation and income-related activity compensation in accordance with Chapter 34 of the Social Insurance Code (2010:110), the following shall apply. Where the insured person, during the reference period, has also been subject to the legislation of one or more other States on account of activity as an employed or self-employed person, income in the State(s) concerned shall be deemed to be equivalent to the insured person’s average gross income in Sweden during the part of the reference period completed in Sweden, calculated by dividing the earnings in Sweden by the number of years over which those earnings accrued.
3.
For the purpose of calculating notional pension assets for income-based survivors’ pension (Chapter 82 of the Social Insurance Code [2010:110]), if the requirement in Swedish legislation for pension entitlement in respect of at least three out of the five calendar years immediately preceding the insured person’s death (reference period) is not met, account shall also be taken of insurance periods completed in other States as if they had been completed in Sweden. The insurance periods in other States shall be regarded as based on the average Swedish pension base. If the person concerned has only one year in Sweden with a pension base, each insurance period in another State shall be regarded as constituting the same amount.
For the purpose of calculating notional pension credits for widows’ pensions relating to deaths on or after 1 January 2003, if the requirement in Swedish legislation for pension credits in respect of at least two out of the four years immediately preceding the insured person’s death (reference period) is not met and insurance periods were completed in another State during the reference period, those years shall be regarded as being based on the same pension credits as the Swedish year.
UNITED KINGDOM
1. Where, in accordance with United Kingdom legislation, a person may be entitled to a retirement pension if:
the contributions of a former spouse are taken into account as if they were that person’s own contributions; or
the relevant contribution conditions are satisfied by that person’s spouse or former spouse, then provided, in each case, that the spouse or former spouse is or had been exercising an activity as an employed or self-employed person, and had been subject to the legislation of two or more States, the provisions of Chapter 5 of Title III of this Protocol shall apply in order to determine entitlement under United Kingdom legislation. In that case, references in Articles SSC.44 to SSC.55 of this Protocol to "periods of insurance" shall be construed as references to periods of insurance completed by:
a spouse or former spouse where a claim is made by:
a married woman, or
a person whose marriage has terminated otherwise than by the death of the spouse; or
a former spouse, where a claim is made by:
a widower who immediately before pensionable age is not entitled to a widowed parent’s allowance, or
a widow who immediately before pensionable age is not entitled to a widowed mother’s allowance, widowed parent’s allowance or widow’s pension, or who is only entitled to an age-related widow’s pension calculated pursuant to point (b) of Article SSC.47(1) of this Protocol, and for this purpose "age related widow’s pension" means a widow’s pension payable at a reduced rate in accordance with section 39(4) of the Social Security Contributions and Benefits Act 1992.
2. For the purposes of Article SSC.8 of this Protocol in the case of old-age or survivors’ cash benefits, pensions for accidents at work or occupational diseases and death grants, any beneficiary under United Kingdom legislation who is staying in the territory of another State shall, during that stay, be considered as if they resided in the territory of that other State.
For the purpose of calculating an earnings factor in order to determine entitlement to benefits under United Kingdom legislation, for each week of activity as an employed person under the legislation of a Member State, and which commenced during the relevant income tax year within the meaning of United Kingdom legislation, the person concerned shall be deemed to have paid contributions as an employed earner, or have earnings on which contributions have been paid, on the basis of earnings equivalent to two-thirds of that year’s upper earnings limit.
For the purposes of point (b) of Article SSC.47(1) of this Protocol, where:
in any income tax year starting on or after 6 April 1975, a person carrying out activity as an employed person has completed periods of insurance, employment or residence exclusively in a Member State, and the application of point (1) of this paragraph results in that year being counted as a qualifying year within the meaning of United Kingdom legislation for the purposes of point (b)(i) of Article SSC.47(1) of this Protocol, they shall be deemed to have been insured for 52 weeks in that year in that Member State;
any income tax year starting on or after 6 April 1975 does not count as a qualifying year within the meaning of United Kingdom legislation for the purposes of point (b)(i) of Article SSC.47(1) of this Protocol, any periods of insurance, employment or residence completed in that year shall be disregarded.
For the purpose of converting an earnings factor into periods of insurance, the earnings factor achieved in the relevant income tax year within the meaning of United Kingdom legislation shall be divided by that year’s lower earnings limit. The result shall be expressed as a whole number, any remaining fraction being ignored. The figure so calculated shall be treated as representing the number of weeks of insurance completed under United Kingdom legislation during that year, provided that such figure shall not exceed the number of weeks during which in that year the person was subject to that legislation.
3. Where receipt of Widowed Parent’s Allowance or Bereavement Support Payment (higher rate) is contingent on entitlement to UK Child Benefit, a person meeting all other eligibility criteria, and who would be eligible to receive UK Child Benefit if they, or the relevant child, were resident in the UK, will not be prevented from claiming Widowed Parent’s Allowance or Bereavement Support Payment (higher rate) in accordance with this Protocol, notwithstanding the fact that UK Child Benefit is excluded from the material scope of this Protocol under Article SSC.3(4)(g).
ANNEX SSC-7
IMPLEMENTING PART
TITLE I
GENERAL PROVISIONS
CHAPTER 1
Article SSCI.1
Definitions
1. For the purposes of this Annex, the definitions set out in Article SSC.1 of this Protocol apply.
2. In addition to the definitions referred to in paragraph 1:
"access point" means an entity providing:
an electronic contact point;
automatic routing based on the address; and
intelligent routing based on software that enables automatic checking and routing (for example, an artificial intelligence application) or human intervention;
"liaison body" means any body designated by the competent authority of a State for one or more of the branches of social security referred to in Article SSC.3 of this Protocol to respond to requests for information and assistance for the purposes of the application of this Protocol and of this Annex and which has to fulfil the tasks assigned to it under Title IV of this Annex;
"document" means a set of data, irrespective of the medium used, structured in such a way that it can be exchanged electronically and which must be communicated in order to enable the operation of this Protocol and this Annex;
"Structured Electronic Document" means any structured document in a format designed for the electronic exchange of information between States;
"transmission by electronic means" means the transmission of data using electronic equipment for the processing (including digital compression) of data and employing wires, radio transmission, optical technologies or any other electromagnetic means;
"fraud" means any deliberate act or deliberate omission to act, carried out with the intention to either:
receive social security benefits, or enable another person to receive social security benefits, when the conditions of entitlement to such benefits under the law of the State(s) concerned or this Protocol are not met; or
avoid paying social security contributions, or enable another person to avoid paying social security contributions, when such contributions are required under the law of the State(s) concerned or this Protocol.
CHAPTER 2
PROVISIONS CONCERNING COOPERATION AND EXCHANGES OF DATA
Article SSCI.2
Scope and rules for exchanges between institutions
1. For the purposes of this Annex, exchanges between authorities of the States and institutions and persons covered by this Protocol shall be based on the principles of public service, efficiency, active assistance, rapid delivery and accessibility, including e-accessibility, in particular for the disabled and the elderly.
2. The institutions shall without delay provide or exchange all data necessary for establishing and determining the rights and obligations of persons to whom this Protocol applies. Such data shall be transferred between the States directly by the institutions themselves or indirectly via the liaison bodies.
3. Where a person has mistakenly submitted information, documents or claims to an institution in the territory of a State other than that in which the institution designated, in accordance with this Annex, is situated, the information, documents or claims shall be resubmitted without delay by the former institution to the institution designated in accordance with this Annex, indicating the date on which they were initially submitted. That date shall be binding on the latter institution. The institutions of the States shall not, however, be held liable, or be deemed to have taken a decision by virtue of their failure to act as a result of the late transmission of information, documents or claims by States' institutions.
4. Where data are transferred indirectly via the liaison body of the State of destination, time limits for responding to claims shall start from the date when that liaison body received the claim, as if it had been received by the institution in that State.
Article SSCI.3
Scope and rules for exchanges between the persons concerned and institutions
1. The States shall ensure that the necessary information is made available to the persons concerned in order to inform them of the provisions introduced by this Protocol and this Annex to enable them to assert their rights. They shall also provide for user-friendly services.
2. Persons to whom this Protocol applies shall be required to forward to the relevant institution the information, documents or supporting evidence necessary to establish their situation or that of their families, to establish or maintain their rights and obligations and to determine the applicable legislation and their obligations under it.
3. To the extent necessary for the application of this Protocol and this Annex, the relevant institutions shall forward the information and issue the documents to the persons concerned without delay and in all cases within any time limits specified under the legislation of the State in question.
The relevant institution shall notify the claimant residing or staying in another State of its decision directly or through the liaison body of the State of residence or stay. When refusing the benefits, it shall also indicate the reasons for refusal, the remedies and periods allowed for appeals. A copy of this decision shall be sent to other involved institutions.
Article SSCI.4
Forms, documents and methods of exchanging data
1. Subject to Article SSCI.75 and Appendix SSCI-2, the structure, content and format of forms and documents issued on behalf of the States for the purposes of implementing this Protocol shall be agreed by the Specialised Committee on Social Security Coordination.
2. The transmission of data between the institutions or the liaison bodies may, subject to the approval of the Specialised Committee on Social Security Coordination, be carried out via the Electronic Exchange of Social Security Information. To the extent the forms and documents referred to in paragraph 1 are exchanged via the Electronic Exchange of Social Security Information, they shall respect the rules applicable to that system.
Where the transmission of data between institutions or the liaison bodies is not carried out via the Electronic Exchange of Social Security Information, the relevant institutions and liaison bodies shall use the arrangements appropriate to each case, and favour the use of electronic means as far as possible.
3. In their communications with the persons concerned, the relevant institutions shall use the arrangements appropriate to each case, and favour the use of electronic means as far as possible.
Article SSCI.5
Legal value of documents and supporting evidence issued in another State
1. Documents issued by the institution of a State and showing the position of a person for the purposes of the application of this Protocol and this Annex, and supporting evidence on the basis of which the documents have been issued, shall be accepted by the institutions of the other States for as long as they have not been withdrawn or declared to be invalid by the State in which they were issued.
2. Where there is doubt about the validity of a document or the accuracy of the facts on which the particulars contained therein are based, the institution of the State that receives the document shall ask the issuing institution for the necessary clarification and, where appropriate, the withdrawal of that document. The issuing institution shall reconsider the grounds for issuing the document and, if necessary, withdraw it.
3. Pursuant to paragraph 2, where there is doubt about the information provided by the persons concerned, the validity of a document or supporting evidence or the accuracy of the facts on which the particulars contained therein are based, the institution of the place of stay or residence shall, insofar as this is possible, at the request of the competent institution, proceed to the necessary verification of this information or document.
4. Where no agreement is reached between the institutions concerned, the matter may be brought before the Specialised Committee on Social Security Coordination by the competent authorities no earlier than one month following the date on which the institution that received the document submitted its request. The Specialised Committee on Social Security Coordination shall endeavour to reconcile the points of view within six months of the date on which the matter was brought before it.
Article SSCI.6
Provisional application of legislation and provisional granting of benefits
1. Unless otherwise provided for in this Annex, where there is a difference of views between the institutions or authorities of two or more States concerning the determination of the applicable legislation, the person concerned shall be made provisionally subject to the legislation of one of those States, the order of priority being determined as follows:
the legislation of the State where the person actually pursues their employment or self-employment, if the employment or self-employment is pursued in only one State;
the legislation of the State of residence if the person concerned pursues employment or self-employment in two or more States and performs part of their activity or activities in the State of residence, or if the person concerned is neither employed nor self-employed;
in all other cases, the legislation of the State the application of which was first requested if the person pursues an activity, or activities, in two or more States.
2. Where there is a difference of views between the institutions or authorities of two or more States about which institution should provide the benefits in cash or in kind, the person concerned who could claim benefits if there was no dispute shall be entitled, on a provisional basis, to the benefits provided for by the legislation applied by the institution of that person's place of residence or, if that person does not reside on the territory of one of the States concerned, to the benefits provided for by the legislation applied by the institution to which the request was first submitted.
3. Where no agreement is reached between the institutions or authorities concerned, the matter may be brought before the Specialised Committee on Social Security Coordination by a Party no earlier than one month after the date on which the difference of views, as referred to in paragraph 1 or 2, arose. The Specialised Committee on Social Security Coordination shall seek to reconcile the points of view within six months of the date on which the matter was brought before it.
4. Where it is established either that the applicable legislation is not that of the State of provisional membership, or the institution which granted the benefits on a provisional basis was not the competent institution, the institution identified as being competent shall be deemed retroactively to have been so, as if that difference of views had not existed, at the latest from either the date of provisional membership or of the first provisional granting of the benefits concerned.
5. If necessary, the institution identified as being competent and the institution which provisionally paid the cash benefits or provisionally received contributions shall settle the financial situation of the person concerned as regards contributions and cash benefits paid provisionally, where appropriate, in accordance with Chapter 2 of Title IV of this Annex.
Benefits in kind granted provisionally by an institution in accordance with paragraph 2 shall be reimbursed by the competent institution in accordance with Title IV of this Annex.
Article SSCI.7
Provisional calculation of benefits and contributions
1. Unless otherwise provided for in this Annex, where a person is eligible for a benefit, or is liable to pay a contribution in accordance with this Protocol, and the competent institution does not have all the information concerning the situation in another State which is necessary to calculate definitively the amount of that benefit or contribution, that institution shall, on request of the person concerned, award this benefit or calculate this contribution on a provisional basis, if such a calculation is possible on the basis of the information at the disposal of that institution.
2. The benefit or the contribution concerned shall be recalculated once all the necessary supporting evidence or documents are provided to the institution concerned.
CHAPTER 3
OTHER GENERAL PROVISIONS FOR THE APPLICATION OF THIS PROTOCOL
Article SSCI.8
Other procedures between authorities and institutions
1. Two or more States, or their competent authorities, may agree procedures other than those provided for by this Annex, provided that such procedures do not adversely affect the rights or obligations of the persons concerned.
2. Any agreements concluded to this end shall be notified to the Specialised Committee on Social Security Coordination and listed in Appendix SSCI-1.
3. Provisions contained in implementing agreements concluded between two or more States with the same purpose as, or which are similar to, those referred to in paragraph 2, which are in force on the day preceding the entry into force of this Agreement, shall continue to apply, for the purposes of relations between those States, provided they are also included in Appendix SSCI-1 to this Protocol.
Article SSCI.9
Prevention of overlapping of benefits
Notwithstanding other provisions in this Protocol, when benefits due under the legislation of two or more States are mutually reduced, suspended or withdrawn, any amounts that would not be paid in the event of strict application of the rules concerning reduction, suspension or withdrawal laid down by the legislation of the State concerned shall be divided by the number of benefits subjected to reduction, suspension or withdrawal.
Article SSCI.10
Elements for determining residence
1. Where there is a difference of views between the institutions of two or more States about the determination of the residence of a person to whom this Protocol applies, these institutions shall establish by common agreement the centre of interests of the person concerned, based on an overall assessment of all available information relating to relevant facts, which may include, as appropriate:
the duration and continuity of presence on the territory of the States concerned;
that person's situation, including:
the nature and the specific characteristics of any activity pursued, in particular the place where such activity is habitually pursued, the stability of the activity, and the duration of any work contract;
that person's family status and family ties;
the exercise of any non-remunerated activity;
in the case of students, the source of that student's income;
that person's housing situation, in particular how permanent it is;
the State in which that person is deemed to reside for taxation purposes.
2. Where the consideration of the various criteria based on relevant facts as set out in paragraph 1 does not lead to agreement between the institutions concerned, the person's intention, as it appears from such facts and circumstances, especially the reasons that led the person to move, shall be considered to be decisive for establishing that person's actual place of residence.
3. The centre of interests of a student who goes to another State to pursue a full-time course of study shall not be considered as being in the State of study for the entire duration of the course of study in that State, without prejudice to the possibility of rebutting this presumption.
4. Paragraph 3 applies mutatis mutandis to the family members of the student.
Article SSCI.11
Aggregation of periods
1. For the purposes of applying Article SSC.7, the competent institution shall contact the institutions of the States to whose legislation the person concerned has also been subject in order to determine all the periods completed under their legislation.
2. The respective periods of insurance, employment, self-employment or residence completed under the legislation of a State shall be added to those completed under the legislation of any other State, insofar as necessary for the purposes of applying Article SSC.7, provided that these periods do not overlap.
3. Where a period of insurance or residence which is completed in accordance with compulsory insurance under the legislation of a State coincides with a period of insurance completed on the basis of voluntary insurance or continued optional insurance under the legislation of another State, only the period completed on the basis of compulsory insurance shall be taken into account.
4. Where a period of insurance or residence other than an equivalent period completed under the legislation of a State coincides with an equivalent period on the basis of the legislation of another State, only the period other than an equivalent period shall be taken into account.
5. Any period regarded as equivalent under the legislation of two or more States shall be taken into account only by the institution of the State to whose legislation the person concerned was last compulsorily subject before that period. In the event that the person concerned was not compulsorily subject to the legislation of a State before that period, the latter shall be taken into account by the institution of the State to whose legislation the person concerned was compulsorily subject for the first time after that period.
6. In the event that the time in which certain periods of insurance or residence were completed under the legislation of a State cannot be determined precisely, it shall be presumed that these periods do not overlap with periods of insurance or residence completed under the legislation of another State, and account shall be taken thereof, where advantageous to the person concerned, insofar as they can reasonably be taken into consideration.
Article SSCI.12
Rules for conversion of periods
1. Where periods completed under the legislation of a State are expressed in units different from those provided for by the legislation of another State, the conversion needed for the purpose of aggregation under Article SSC.7 shall be carried out under the following rules:
the period to be used as the basis for the conversion shall be that communicated by the institution of the State under whose legislation the period was completed;
in the case of schemes where the periods are expressed in days the conversion from days to other units, and vice versa, as well as between different schemes based on days shall be calculated according to the following table:
|
Scheme based on |
1 day corresponds to |
1 week corresponds to |
1 month corresponds to |
1 quarter corresponds to |
Maximum of days in one calendar year |
|
5 days |
9 hours |
5 days |
22 days |
66 days |
264 days |
|
6 days |
8 hours |
6 days |
26 days |
78 days |
312 days |
|
7 days |
6 hours |
7 days |
30 days |
90 days |
360 days |
in the case of schemes where the periods are expressed in units other than days,
three months or 13 weeks shall be equivalent to one quarter, and vice versa;
one year shall be equivalent to four quarters, 12 months or 52 weeks, and vice versa;
for the conversion of weeks into months, and vice versa, weeks and months shall be converted into days in accordance with the conversion rules for the schemes based on six days in the table in point (b);
in the case of periods expressed in fractions, those figures shall be converted into the next smaller integer unit applying the rules laid down in points (b) and (c). Fractions of years shall be converted into months unless the scheme involved is based on quarters;
if the conversion under this paragraph results in a fraction of a unit, the next higher integer unit shall be taken as the result of the conversion under this paragraph.
2. The application of paragraph 1 shall not have the effect of producing, for the total sum of the periods completed during one calendar year, a total exceeding the number of days indicated in the last column in the table in point (b) of paragraph 1, 52 weeks, 12 months or four quarters.
If the periods to be converted correspond to the maximum annual amount of periods under the legislation of the State in which they have been completed, the application of paragraph 1 shall not result within one calendar year in periods that are shorter than the possible maximum annual amount of periods provided under the legislation concerned.
3. The conversion shall be carried out either in one single operation covering all those periods which were communicated as an aggregate, or for each year, if the periods were communicated on a year-by-year basis.
4. Where an institution communicates periods expressed in days, it shall at the same time indicate whether the scheme it administers is based on five days, six days or seven days.
TITLE II
DETERMINATION OF THE LEGISLATION APPLICABLE
Article SSCI.13
Details relating to Articles SSC.11 and SSC.12 of this Protocol
1. For the purposes of the application of point (a) of Article SSC.11(1), a "person who pursues an activity as an employed person in a State for an employer which normally carries out its activities there and who is sent by that employer to another State" shall include a person who is recruited with a view to being sent to another State, provided that, immediately before the start of that person's employment, the person concerned is already subject to the legislation of the State in which their employer is established.
2. For the purposes of the application of point (a) of Article SSC.11(1) of this Protocol, the words "which normally carries out its activities there" shall refer to an employer that ordinarily performs substantial activities, other than purely internal management activities, in the territory of the State in which it is established, taking account of all criteria characterising the activities carried out by the undertaking in question. The relevant criteria must be suited to the specific characteristics of each employer and the real nature of the activities carried out.
3. For the purposes of the application of point (b) of Article SSC.11(1) of this Protocol, the words "who normally pursues an activity as a self-employed person" shall refer to a person who habitually carries out substantial activities in the territory of the State in which that person is established. In particular, that person must have already pursued their activity for some time before the date when they wish to take advantage of the provisions of that Article and, during any period of temporary activity in another State, must continue to fulfil, in the State where they are established, the requirements for the pursuit of their activity in order to be able to pursue it on their return.
4. For the purposes of the application of point (b) of Article SSC.11(1) of this Protocol, the criterion for determining whether the activity that a self-employed person goes to pursue in another State is "similar" to the self-employed activity normally pursued shall be that of the actual nature of the activity, rather than of the designation of employed or self-employed activity that may be given to this activity by the other State.
5. For the purposes of the application of Article SSC.12(1) and (5) of this Protocol, a person who "normally pursues an activity as an employed person" in "one or more Member States as well as in the United Kingdom", or in "two or more Member States" respectively, shall refer to a person who simultaneously, or in alternation, for the same undertaking or employer or for various undertakings or employers, exercises one or more separate activities in such States.
6. For the purposes of Article SSC.12(1) and (5) of this Protocol, an employed flight crew or cabin crew member normally pursuing air passenger or freight services in two or more States shall be subject to the legislation of the State where the home base, as defined in Article SSC.1 of this Protocol, is located.
7. Marginal activities shall be disregarded for the purposes of determining the applicable legislation under Article SSC.12 of this Protocol. Article SSCI.15 shall apply to all cases under this Article.
8. For the purposes of the application of Article SSC.12(2) and (6) of this Protocol, a person who "normally pursues an activity as a self-employed person" in "one or more Member States as well as in the United Kingdom", or in "two or more Member States" respectively, shall refer, in particular, to a person who simultaneously or in alternation pursues one or more separate self-employed activities, irrespective of the nature of those activities, in such States.
9. For the purposes of distinguishing the activities under paragraphs 5 and 8 of this Article from the situations described in Article SSC.11(1) of this Protocol, the duration of the activity in one or more States (whether it is permanent or of an ad hoc or temporary nature) shall be decisive. For these purposes, an overall assessment shall be made of all the relevant facts including, in particular, in the case of an employed person, the place of work as defined in the employment contract.
10. For the purposes of the application of Article SSC.12(1), (2), (5) and (6) of this Protocol, a "substantial part of employed or self-employed activity" pursued in a State shall mean a quantitatively substantial part of all the activities of the employed or self-employed person pursued there, without this necessarily being the major part of those activities.
11. To determine whether a substantial part of the activities is pursued in a State, the following indicative criteria shall be taken into account:
in the case of an employed activity, the working time or the remuneration; and
in the case of a self-employed activity, the turnover, working time, number of services rendered or income.
In the framework of an overall assessment, a share of less than 25 % in respect of the criteria mentioned above shall be an indicator that a substantial part of the activities is not being pursued in the relevant State.
12. For the purposes of the application of point (b) of Article SSC.12(2) of this Protocol, the "centre of interest" of the activities of a self-employed person shall be determined by taking account of all the aspects of that person's occupational activities, notably the place where the person's fixed and permanent place of business is located, the habitual nature or the duration of the activities pursued, the number of services rendered, and the intention of the person concerned as revealed by all the circumstances.
13. For the determination of the applicable legislation under paragraphs 10, 11 and 12, the institutions concerned shall take into account the situation projected for the following 12 calendar months.
14. If a person pursues his or her activity as an employed person in two or more States on behalf of an employer established outside the territory of the States, and if this person resides in a State without pursuing substantial activity there, they shall be subject to the legislation of the State of residence.
Article SSCI.14
Procedures for the application of point (b) of Article SSC.10(3), Article SSC.10(4) and Article SSC.11 of this Protocol (on the provision of information to the institutions concerned)
1. Unless otherwise provided for by Article SSCI.15 of this Annex, where a person pursues their activity outside the competent State, the employer or, in the case of a person who does not pursue an activity as an employed person, the person concerned shall inform the competent institution of the State whose legislation is applicable thereof, whenever possible in advance. That institution shall issue the attestation referred to in Article SSCI.16(2) of this Annex to the person concerned and shall without delay make information concerning the legislation applicable to that person, pursuant to point (b) of Article SSC.10(3) or Article SSC.11 of this Protocol, available to the institution designated by the competent authority of the State in which the activity is pursued.
2. An employer within the meaning of Article SSC.10(4) of this Protocol who has an employee on board a vessel flying the flag of another State shall inform the competent institution of the State whose legislation is applicable thereof whenever possible in advance. That institution shall, without delay, make information concerning the legislation applicable to the person concerned, pursuant to Article SSC.10(4) of this Protocol, available to the institution designated by the competent authority of the State whose flag, the vessel on which the employee is to perform the activity, is flying.
Article SSCI.15
Procedure for the application of Article SSC.12 of this Protocol
1. A person who pursues activities in two or more States, or where Article SSC.12(5) or (6) applies, shall inform the institution designated by the competent authority of the State of residence thereof.
2. The designated institution of the place of residence shall without delay determine the legislation applicable to the person concerned, having regard to Article SSC.12 of this Protocol and Article SSCI.13 of this Annex. That initial determination shall be provisional. The institution shall inform the designated institutions of each State in which an activity is pursued of its provisional determination.
3. The provisional determination of the applicable legislation, as provided for in paragraph 2, shall become definitive within two months of the institutions designated by the competent authorities of the State(s) concerned being informed of it, in accordance with paragraph 2, unless the legislation has already been definitively determined on the basis of paragraph 4, or at least one of the institutions concerned informs the institution designated by the competent authority of the State of residence by the end of this two-month period that it cannot yet accept the determination or that it takes a different view on this.
4. Where uncertainty about the determination of the applicable legislation requires contacts between the institutions or authorities of two or more States, at the request of one or more of the institutions designated by the competent authorities of the State(s) concerned, or of the competent authorities themselves, the legislation applicable to the person concerned shall be determined by common agreement, having regard to Article SSC.12 of this Protocol and the relevant provisions of Article SSCI.13 of this Annex.
Where there is a difference of views between the institutions or competent authorities concerned, those bodies shall seek agreement in accordance with the conditions set out above and Article SSCI.6 shall apply.
5. The competent institution of the State whose legislation is determined to be applicable either provisionally or definitively shall without delay inform the person concerned.
6. If the person concerned fails to provide the information referred to in paragraph 1, this Article shall be applied at the initiative of the institution designated by the competent authority of the State of residence as soon as it is appraised of that person's situation, possibly via another institution concerned.
Article SSCI.16
Provision of information to persons concerned and employers
1. The competent institution of the State whose legislation becomes applicable pursuant to Title II of this Protocol shall inform the person concerned and, where appropriate, their employer(s) of the obligations laid down in that legislation. It shall provide them with the necessary assistance to complete the formalities required by that legislation.
2. At the request of the person concerned or of the employer, the competent institution of the State whose legislation is applicable pursuant to Title II shall provide an attestation that such legislation is applicable and shall indicate, where appropriate, until what date and under what conditions.
Article SSCI.17
Cooperation between institutions
1. The relevant institutions shall communicate to the competent institution of the State whose legislation is applicable to a person pursuant to Title II of this Protocol the necessary information required to establish the date on which that legislation becomes applicable and the contributions which that person and his or her employer(s) are liable to pay under that legislation.
2. The competent institution of the State whose legislation becomes applicable to a person pursuant to Title II of this Protocol shall make the information indicating the date on which the application of that legislation takes effect available to the institution designated by the competent authority of the State to whose legislation that person was last subject.
Article SSCI.18
Cooperation in case of doubts about the validity of issued documents concerning the applicable legislation
1. Where there is doubt about the validity of a document showing the position of the person for the purposes of the applicable legislation or the accuracy of the facts on which the document is based, the institution of the State that receives the document shall ask the issuing institution for the necessary clarification and, where appropriate, the withdrawal or rectification of that document. The requesting institution shall substantiate its request and provide the relevant supporting documentation that gave rise to the request.
2. When receiving such a request, the issuing institution shall reconsider the grounds for issuing the document and, where an error is detected, withdraw it or rectify it within 30 working days from the receipt of the request. The withdrawal or rectification shall have retroactive effect. However, in cases where there is a risk of disproportionate outcome, and in particular, of the loss of status as an insured person for the whole or part of the relevant period in the State(s) concerned, the States shall consider a more proportionate arrangement in such case. When the available evidence permits the issuing institution to find that the applicant of the document has committed fraud, it shall withdraw or rectify the document without delay and with retroactive effect.
TITLE III
SPECIAL PROVISIONS CONCERNING THE VARIOUS CATEGORIES OF BENEFITS
CHAPTER 1
SICKNESS, MATERNITY AND EQUIVALENT PATERNITY BENEFITS
Article SSCI.19
General implementing provisions
1. The competent authorities or institutions shall ensure that any necessary information is made available to insured persons regarding the procedures and conditions for the granting of benefits in kind where such benefits are received in the territory of a State other than that of the competent institution.
2. Notwithstanding point (a) of Article SSC.6 of this Protocol, a State may become responsible for the cost of benefits in accordance with Article SSC.20 of this Protocol only if, either the insured person has made a claim for a pension under the legislation of that State, or in accordance with Articles SSC.21 to SSC.27 of this Protocol, they receive a pension under the legislation of that State.
Article SSCI.20
Regime applicable in the event of the existence of more than one regime in the State of residence or stay
If the legislation of the State of residence or stay comprises more than one scheme of sickness, maternity and paternity insurance for more than one category of insured persons, the provisions applicable under Articles SSC.15, SSC.17(1), SSC.18, SSC.20, SSC.22 and SSC.24 of this Protocol shall be those of the legislation on the general scheme for employed persons.
Article SSCI.21
Residence in a State other than the competent State
Procedure and scope of right
For the purposes of the application of Article SSC.15 of this Protocol, the insured person or members of that person's family shall be obliged to register promptly with the institution of the place of residence. Their right to benefits in kind in the State of residence shall be certified by a document issued by the competent institution upon request of the insured person or upon request of the institution of the place of residence.
The document referred to in paragraph 1 shall remain valid until the competent institution informs the institution of the place of residence of its cancellation.
The institution of the place of residence shall inform the competent institution of any registration under paragraph 1 and of any change or cancellation of that registration.
This Article applies mutatis mutandis to the persons referred to in Articles SSC.20, SSC.22, SSC.23 and SSC.24 of this Protocol.
Reimbursement
Where a person or the members of that person's family:
have been issued with the document referred to in paragraph 1;
have registered that document with the institution of the place of residence in accordance with paragraph 1; and
a health fee has been paid by or on behalf of the person or members of their family to the State of residence as part of an application for a permit to enter, stay, work or reside in that State,
that person or members of that person's family may apply to the institution of the State of residence for reimbursement (in whole or part, as the case may be) of the health fee paid.
Where a claim is made in accordance with paragraph 1, the institution of the State of residence shall determine that claim within three calendar months, starting on the day the claim was received, and shall make any reimbursement in accordance with this Article.
Where the period of validity of the document referred to in paragraph 1 is less than the period of time in respect of which the health fee has been paid, the amount reimbursed shall not exceed that portion of the health fee which corresponds to the period for which the document had been issued.
Where the health fee was paid by another person on behalf of a person to whom this Article applies, reimbursement may be made to that other person.
Article SSCI.22
Stay in a State other than the competent State
Procedure and scope of right
For the purposes of the application of Article SSC.17 of this Protocol, the insured person shall present to the health care provider in the State of stay an entitlement document issued by the competent institution indicating his entitlement to benefits in kind. If the insured person does not have such a document, the institution of the place of stay, upon request or if otherwise necessary, shall contact the competent institution in order to obtain one.
That document shall indicate that the insured person is entitled to benefits in kind under the conditions laid down in Article SSC.17 of this Protocol on the same terms as those applicable to persons insured under the legislation of the State of stay, and shall satisfy the requirements in Appendix SSCI-2.
The benefits in kind referred to in Article SSC.17(1) of this Protocol shall refer to the benefits in kind which are provided in the State of stay, in accordance with its legislation, and which become necessary on medical grounds with a view to preventing an insured person from being forced to return, before the end of the planned duration of stay, to the competent State to obtain the necessary treatment.
Procedure and arrangements for meeting the costs and providing reimbursement of benefits in kind
If the insured person has actually borne the costs of all or part of the benefits in kind provided within the framework of Article SSC.17 of this Protocol and if the legislation applied by the institution of the place of stay enables reimbursement of those costs to an insured person, they may send an application for reimbursement to the institution of the place of stay. In that case, that institution shall reimburse directly to that person the amount of the costs corresponding to those benefits within the limits of and under the conditions of the reimbursement rates laid down in its legislation.
If the reimbursement of such costs has not been requested directly from the institution of the place of stay, the costs incurred shall be reimbursed to the person concerned by the competent institution in accordance with the reimbursement rates administered by the institution of the place of stay or the amounts which would have been subject to reimbursement to the institution of the place of stay, if Article SSCI.47 had applied in the case concerned.
The institution of the place of stay shall provide the competent institution, upon request, with all necessary information about these rates or amounts.
By way of derogation from paragraph 5, the competent institution may undertake the reimbursement of the costs incurred within the limits of and under the conditions of the reimbursement rates laid down in its legislation, provided that the insured person has agreed to this provision being applied to them.
If the legislation of the State of stay does not provide for reimbursement pursuant to paragraphs 4 and 5 in the case concerned, the competent institution may reimburse the costs within the limits of and under the conditions of the reimbursement rates laid down in its legislation, without the agreement of the insured person.
The reimbursement to the insured person shall not, in any event, exceed the amount of costs actually incurred by them.
In the case of substantial expenditure, the competent institution may pay the insured person an appropriate advance as soon as that person submits the application for reimbursement to it.
Family Members
Paragraphs 1 to 9 apply mutatis mutandis to the members of the family of the insured person.
Reimbursement for students
Where a person:
holds a valid entitlement document referred to in Appendix SSCI-2 issued by the competent institution;
has been accepted by a higher education institution in a State other than the competent State ("State of study") to pursue a full-time course of study leading to a higher education qualification recognised by that State, including diplomas, certificates or doctoral degrees at a higher education institution, which may cover a preparatory course prior to such education, in accordance with national law, or compulsory training;
does not exercise, or has not exercised, an activity as an employed or self-employed person in the State of study during the period to which the health fee relates; and
a health fee has been paid by or on behalf of that person to the State of study as part of an application for a permit to enter, stay or reside for the purposes of pursuing a full-time course of study in that State;
that person may apply to the institution of the State of study for reimbursement (in whole or part, as the case may be) of the health fee paid.
Where a claim is made in accordance with paragraph 11, the institution of the State of study shall process and settle that claim within a reasonable period but not later than six calendar months starting on the day the claim was received and make any reimbursement in accordance with this Article.
Where the period of validity of the entitlement document referred to in point (a) of paragraph 11 is less than the period of time in respect of which the health fee has been paid, the amount of the health fee reimbursed shall be the amount paid which corresponds to the period of validity of that document.
Where the health fee was paid by another person on behalf of a person to whom this Article applies, reimbursement may be made to that other person.
Paragraphs 11 to 14 apply mutatis mutandis to the members of the family of that person.
This Article shall enter into force 12 months after the date of entry into force of this Agreement.
A person who satisfied the conditions in paragraph 11 in the period between the entry into force of this Agreement and the date specified in paragraph 16 may, upon the entry into force of this Article, make a claim for reimbursement under paragraph 11 in relation to that period.
By way of derogation from Article SSC.5(1), charges may be imposed by the State of study in accordance with its national law in respect of benefits in kind that do not fulfil the criteria set out in point (a) of Article SSC.17(1) and which are provided to a person in respect of whom reimbursement has been made during that person's stay for the period to which that reimbursement relates.
Article SSCI.23
Scheduled treatment
Authorisation procedure
For the purposes of the application of Article SSC.18(1) of this Protocol, the insured person shall present a document issued by the competent institution to the institution of the place of stay. For the purposes of this Article, the competent institution shall mean the institution which bears the cost of the scheduled treatment; in the cases referred to in Articles SSC.18(4) and SSC.25(5) of this Protocol, in which the benefits in kind provided in the State of residence are reimbursed on the basis of fixed amounts, the competent institution shall mean the institution of the place of residence.
If an insured person does not reside in the competent State, they shall request authorisation from the institution of the place of residence, which shall forward it to the competent institution without delay.
In that event, the institution of the place of residence shall certify in a statement whether the conditions set out in the second sentence of Article SSC.18(2) of this Protocol are met in the State of residence.
The competent institution may refuse to grant the requested authorisation only if, in accordance with the assessment of the institution of the place of residence, the conditions set out in the second sentence of Article SSC.18(2) of this Protocol are not met in the State of residence of the insured person, or if the same treatment can be provided in the competent State itself, within a time-limit which is medically justifiable, taking into account the current state of health and the probable course of illness of the person concerned.
The competent institution shall inform the institution of the place of residence of its decision.
In the absence of a reply within the deadlines set by its national legislation, the authorisation shall be considered to have been granted by the competent institution.
If an insured person who does not reside in the competent Party is in need of urgent vitally necessary treatment, and the authorisation cannot be refused in accordance with the second sentence of Article SSC.18(2) of this Protocol, the authorisation shall be granted by the institution of the place of residence on behalf of the competent institution, which shall be immediately informed by the institution of the place of residence.
The competent institution shall accept the findings and the treatment options of the doctors approved by the institution of the place of residence that issues the authorisation, concerning the need for urgent vitally necessary treatment.
At any time during the procedure granting the authorisation, the competent institution shall retain the right to have the insured person examined by a doctor of its own choice in the Party of stay or residence.
The institution of the place of stay shall, without prejudice to any decision regarding authorisation, inform the competent institution if it appears medically appropriate to supplement the treatment covered by the existing authorisation.
Meeting the cost of benefits in kind incurred by the insured person
Without prejudice to paragraph 7, Article SSCI.22(4) and (5) apply mutatis mutandis.
If the insured person has actually borne all or part of the costs for the authorised medical treatment themselves and the costs which the competent institution is obliged to reimburse to the institution of the place of stay or to the insured person according to paragraph 6 (actual cost) are lower than the costs which it would have had to assume for the same treatment in the competent State (notional cost), the competent institution shall reimburse, upon request, the cost of treatment incurred by the insured person up to the amount by which the notional cost exceeds the actual cost. The reimbursed sum may not, however, exceed the costs actually incurred by the insured person and may take account of the amount which the insured person would have had to pay if the treatment had been delivered in the competent State.
Meeting the costs of travel and stay as part of scheduled treatment
Where the national legislation of the competent institution provides for the reimbursement of the costs of travel and stay which are inseparable from the treatment of the insured person, such costs for the person concerned and, if necessary, for a person who must accompany them, shall be assumed by this institution when an authorisation is granted in the case of treatment in another State.
Family members
Paragraphs 1 to 8 apply mutatis mutandis to the members of the family of the insured person.
Article SSCI.24
Cash benefits relating to incapacity for work in the event of stay or residence in a State other than the competent State
Procedure to be followed by the insured person
If the legislation of the competent State requires that the insured person presents a certificate in order to be entitled to cash benefits relating to incapacity for work pursuant to Article SSC.19(1) of this Protocol, the insured person shall ask the doctor of the State of residence who established that person's state of health to certify his or her incapacity for work and its probable duration.
The insured person shall send the certificate to the competent institution within the time limit laid down by the legislation of the competent State.
Where the doctors providing treatment in the State of residence do not issue certificates of incapacity for work, and where such certificates are required under the legislation of the competent State, the person concerned shall apply directly to the institution of the place of residence. That institution shall immediately arrange for a medical assessment of the person's incapacity for work and for the certificate referred to in paragraph 1 to be drawn up. The certificate shall be forwarded to the competent institution forthwith.
The forwarding of the document referred to in paragraphs 1, 2 and 3 shall not exempt the insured person from fulfilling the obligations provided for by the applicable legislation, in particular with regard to that person's employer. Where appropriate, the employer or the competent institution may call upon the employee to participate in activities designed to promote and assist his or her return to employment.
Procedure to be followed by the institution of the State of residence
At the request of the competent institution, the institution of the place of residence shall carry out any necessary administrative checks or medical examinations of the person concerned in accordance with the legislation applied by this latter institution. The report of the examining doctor concerning, in particular, the probable duration of the incapacity for work, shall be forwarded without delay by the institution of the place of residence to the competent institution.
Procedure to be followed by the competent institution
The competent institution shall reserve the right to have the insured person examined by a doctor of its choice.
Without prejudice to the second sentence of Article SSC.19(1) of this Protocol, the competent institution shall pay the cash benefits directly to the person concerned and shall, where necessary, inform the institution of the place of residence thereof.
For the purposes of the application of Article SSC.19(1) of this Protocol, the particulars of the certificate of incapacity for work of an insured person drawn up in another State on the basis of the medical findings of the examining doctor or institution shall have the same legal value as a certificate drawn up in the competent State.
If the competent institution refuses the cash benefits, it shall notify its decision to the insured person and at the same time to the institution of the place of residence.
Procedure in the event of a stay in a State other than the competent State
Paragraphs 1 to 9 apply mutatis mutandis when the insured person stays in a State other than the competent State.
Article SSCI.25
Contributions by pensioners
If a person receives a pension from more than one State, the amount of contributions deducted from all the pensions paid shall, under no circumstances, be greater than the amount deducted in respect of a person who receives the same amount of pension from the competent State.
Article SSCI.26
Special implementing measures
1. When a person or a group of persons are exempted upon request from compulsory sickness insurance and such persons are thus not covered by a sickness insurance scheme to which this Protocol applies, the institution of a State shall not, solely because of this exemption, become responsible for bearing the costs of benefits in kind or in cash provided to such persons or to a member of their family under Articles SSC.15 to SSC.30 of this Protocol.
2. When the persons referred to in paragraph 1 and the members of their families reside in a State where the right to receive benefits in kind is not subject to conditions of insurance, or of activity as an employed or self-employed person, they shall be liable to pay the full costs of benefits in kind provided in their State of residence.
CHAPTER 2
BENEFITS IN RESPECT OF ACCIDENTS AT WORK AND OCCUPATIONAL DISEASES
Article SSCI.27
Right to benefits in kind and in cash in the event of residence or stay in a State other than the competent State
1. For the purposes of the application of Article SSC.31 of this Protocol, the procedures laid down in Articles SSCI.21 to SSCI.24 of this Annex apply mutatis mutandis.
2. When providing special benefits in kind in connection with accidents at work and occupational diseases under the national legislation of the State of stay or residence, the institution of that State shall without delay inform the competent institution.
Article SSCI.28
Procedure in the event of an accident at work or occupational disease which occurs in a State other than the competent State
1. If an accident at work occurs or an occupational disease is diagnosed for the first time in a State other than the competent State, the declaration or notification of the accident at work or the occupational disease, where the declaration or notification exists under national legislation, shall be carried out in accordance with the legislation of the competent State, without prejudice, where appropriate, to any other applicable legal provisions in force in the State in which the accident at work occurred or in which the first medical diagnosis of the occupational disease was made, which remain applicable in such cases. The declaration or notification shall be addressed to the competent institution.
2. The institution of the State in the territory of which the accident at work occurred or in which the occupational disease was first diagnosed, shall notify the competent institution of medical certificates drawn up in the territory of that State.
3. Where, as a result of an accident while travelling to or from work which occurs in the territory of a State other than the competent State, an inquiry is necessary in the territory of the first State in order to determine any entitlement to relevant benefits, a person may be appointed for that purpose by the competent institution, which shall inform the authorities of that State. The institutions shall cooperate with each other in order to assess all relevant information and to consult the reports and any other documents relating to the accident.
4. Following treatment, a detailed report accompanied by medical certificates relating to the permanent consequences of the accident or disease, in particular the injured person's present state and the recovery or stabilisation of injuries, shall be sent upon request of the competent institution. The relevant fees shall be paid by the institution of the place of residence or of stay, where appropriate, at the rate applied by that institution to the charge of the competent institution.
5. At the request of the institution of the place of residence or stay, where appropriate, the competent institution shall notify it of the decision setting the date for the recovery or stabilisation of injuries and, where appropriate, the decision concerning the granting of a pension.
Article SSCI.29
Disputes concerning the occupational nature of the accident or disease
1. Where the competent institution disputes the application of the legislation relating to accidents at work or occupational diseases under Article SSC.31(2) of this Protocol, it shall without delay inform the institution of the place of residence or stay which provided the benefits in kind, which will then be considered as sickness insurance benefits.
2. When a final decision has been taken on that subject, the competent institution shall, without delay, inform the institution of the place of residence or stay which provided the benefits in kind.
Where an accident at work or occupational disease is not established, benefits in kind shall continue to be provided as sickness benefits if the person concerned is entitled to them.
Where an accident at work or occupational disease is established, sickness benefits in kind provided to the person concerned shall be considered as accident at work or occupational disease benefits from the date on which the accident at work occurred or the occupational disease was first medically diagnosed.
3. The second subparagraph of Article SSCI.6(5) applies mutatis mutandis.
Article SSCI.30
Procedure in the event of exposure to the risk of an occupational disease in two or more States
1. In the case referred to in Article SSC.33 of this Protocol, the declaration or notification of the occupational disease shall be sent to the competent institution for occupational diseases of the last State under the legislation of which the person concerned pursued an activity likely to cause that disease.
When the institution to which the declaration or notification was sent establishes that an activity likely to cause the occupational disease in question was last pursued under the legislation of another State, it shall send the declaration or notification and all accompanying certificates to the equivalent institution in that State.
2. Where the institution of the last State under the legislation of which the person concerned pursued an activity likely to cause the occupational disease in question establishes that the person concerned or his survivors do not meet the requirements of that legislation, inter alia, because the person concerned had never pursued in that State an activity which caused the occupational disease or because that State does not recognise the occupational nature of the disease, that institution shall forward without delay the declaration or notification and all accompanying certificates, including the findings and reports of medical examinations performed by the first institution to the institution of the previous State under the legislation of which the person concerned pursued an activity likely to cause the occupational disease in question.
3. Where appropriate, the institutions shall reiterate the procedure set out in paragraph 2 going back as far as the equivalent institution in the State under whose legislation the person concerned first pursued an activity likely to cause the occupational disease in question.
Article SSCI.31
Exchange of information between institutions and advance payments in the event of an appeal against rejection
1. In the event of an appeal against a decision to refuse benefits taken by the institution of a State under the legislation of which the person concerned pursued an activity likely to cause the occupational disease in question, that institution shall inform the institution to which the declaration or notification was sent, in accordance with the procedure provided for in Article SSCI.30(2), and shall subsequently inform it when a final decision is reached.
2. Where a person is entitled to benefits under the legislation applied by the institution to which the declaration or notification was sent, that institution shall make the advance payments, the amount of which shall be determined, where appropriate, after consulting the institution which made the decision against which the appeal was lodged, and in such a way that overpayments are avoided. The latter institution shall reimburse the advance payments made if, as a result of the appeal, it is obliged to provide those benefits. That amount will then be deducted from the benefits due to the person concerned, in accordance with the procedure provided for in Articles SSCI.56 and SSCI.57.
3. The second subparagraph of Article SSCI.6(5) applies mutatis mutandis.
Article SSCI.32
Aggravation of an occupational disease
In the cases covered by Article SSC.34 of this Protocol, the claimant must provide the institution in the State from which they are claiming entitlement to benefits with details concerning benefits previously granted for the occupational disease in question. That institution may contact any other previously competent institution in order to obtain the information it considers necessary.
Article SSCI.33
Assessment of the degree of incapacity in the event of occupational accidents or diseases which occurred previously or subsequently
Where a previous or subsequent incapacity for work was caused by an accident which occurred when the person concerned was subject to the legislation of a State which makes no distinction according to the origin of the incapacity to work, the competent institution or the body designated by the competent authority of the State in question shall:
upon request by the competent institution of another State, provide information concerning the degree of the previous or subsequent incapacity for work, and where possible, information making it possible to determine whether the incapacity is the result of an accident at work within the meaning of the legislation applied by the institution in the other State;
take into account the degree of incapacity caused by these previous or subsequent cases when determining the right to benefits and the amount, in accordance with the applicable legislation.
Article SSCI.34
Submission and investigation of claims for pensions or supplementary allowances
In order to receive a pension or supplementary allowance under the legislation of a State, the person concerned or their survivors residing in the territory of another State shall submit, where appropriate, a claim either to the competent institution or to the institution of the place of residence, which shall send it to the competent institution.
The claim shall contain the information required under the legislation applied by the competent institution.
CHAPTER 3
DEATH GRANTS
Article SSCI.35
Claim for death grants
For the purposes of Articles SSC.37 and SSC.38 of this Protocol, the claim for death grants shall be sent either to the competent institution or to the institution of the claimant's place of residence, which shall send it to the competent institution.
The claim shall contain the information required under the legislation applied by the competent institution.
CHAPTER 4
INVALIDITY BENEFITS AND OLD-AGE AND SURVIVORS' PENSIONS
Article SSCI.36
Additional provisions for the calculation of the benefit
1. For the purposes of calculating the theoretical amount and the actual amount of the benefit in accordance with point (b) of Article SSC.47(1) of this Protocol, the rules provided for in Article SSCI.11(3), (4), (5) and (6) of this Annex apply.
2. Where periods of voluntary or optional continued insurance have not been taken into account under Article SSCI.11(3) of this Annex, the institution of the State under whose legislation those periods were completed shall calculate the amount corresponding to those periods under the legislation it applies. The actual amount of the benefit, calculated in accordance with point (b) of Article SSC.47(1) of this Protocol, shall be increased by the amount corresponding to periods of voluntary or optional continued insurance.
3. The institution of each State shall calculate, under the legislation it applies, the amount due corresponding to periods of voluntary or optional continued insurance which, under point (c) of Article SSC.48(3) of this Protocol, shall not be subject to the another State's rules relating to withdrawal, reduction or suspension.
Where the legislation applied by the competent institution does not allow it to determine this amount directly, on the grounds that that legislation allocates different values to insurance periods, a notional amount may be established. The Specialised Committee on Social Security Coordination shall lay down the detailed arrangements for the determination of that notional amount.
Article SSCI.37
Claims for benefits
Submission of claims for old-age and survivors' pensions
The claimant shall submit a claim to the institution of his place of residence or to the institution of the last State whose legislation was applicable. If the person concerned was not, at any time, subject to the legislation applied by the institution of the place of residence, that institution shall forward the claim to the institution of the last State whose legislation was applicable.
The date of submission of the claim shall apply in all the institutions concerned.
By way of derogation from paragraph 2, if the claimant does not, despite having been asked to do so, notify the fact that he or she has been employed or has resided in other States, the date on which the claimant completes his or her initial claim or submits a new claim for his or her missing periods of employment or/and residence in a State shall be considered as the date of submission of the claim to the institution applying the legislation in question, subject to more favourable provisions of that legislation.
Article SSCI.38
Certificates and information to be submitted with the claim by the claimant
1. The claim shall be submitted by the claimant in accordance with the provisions of the legislation applied by the institution referred to in Article SSCI.37(1) and be accompanied by the supporting documents required by that legislation. In particular, the claimant shall supply all available relevant information and supporting documents relating to periods of insurance (institutions, identification numbers), employment (employers) or self-employment (nature and place of activity) and residence (addresses) which may have been completed under other legislation, as well as the length of those periods.
2. Where, in accordance with Article SSC.45(1) of this Protocol, the claimant requests deferment of the award of old-age benefits under the legislation of one or more States, the claimant shall state that in their claim and specify under which legislation the deferment is requested. In order to enable the claimant to exercise that right, the institutions concerned shall, upon the request of the claimant, notify them of all the information available to them so that he or she can assess the consequences of concurrent or successive awards of benefits which they might claim.
3. Should the claimant withdraw a claim for benefits provided for under the legislation of a particular State, that withdrawal shall not be considered as a concurrent withdrawal of claims for benefits under the legislation of another State.
Article SSCI.39
Investigation of claims by the institutions concerned
Contact institution
The institution to which the claim for benefits is submitted or forwarded in accordance with Article SSCI.37(1) shall be referred to hereinafter as the "contact institution". The institution of the place of residence shall not be referred to as the contact institution if the person concerned has not, at any time, been subject to the legislation which that institution applies.
In addition to investigating the claim for benefits under the legislation which it applies, that institution shall, in its capacity as contact institution, promote the exchange of data, the communication of decisions and the operations necessary for the investigation of the claim by the institutions concerned, and supply the claimant, upon request, with any information relevant to the aspects of the investigation which arise under this Protocol, and keep the claimant informed of its progress.
Investigation of claims for old-age and survivors pensions
The contact institution shall, without delay, send claims for benefits and all the documents which it has available and, where appropriate, the relevant documents supplied by the claimant to all the institutions in question so that they can all start the investigation of the claim concurrently. The contact institution shall notify the other institutions of periods of insurance or residence subject to its legislation. It shall also indicate which documents shall be submitted at a later date and supplement the claim as soon as possible.
Each of the institutions in question shall notify the contact institution and the other institutions in question, as soon as possible, of the periods of insurance or residence subject to their legislation.
Each of the institutions in question shall calculate the amount of benefits in accordance with Article SSC.47 of this Protocol and shall notify the contact institution and the other institutions concerned of its decision, of the amount of benefits due and of any information required for the purposes of Articles SSC.48 to SSC.50 of this Protocol.
Should an institution establish, on the basis of the information referred to in paragraphs 2 and 3 of this Article, that Article SSC.52(2) or (3) of this Protocol is applicable, it shall inform the contact institution and the other institutions concerned.
Article SSCI.40
Notification of decisions to the claimant
1. Each institution shall notify the claimant of the decision it has taken in accordance with the applicable legislation. Each decision shall specify the remedies and periods allowed for appeals. Once the contact institution has been notified of all decisions taken by each institution, it shall send the claimant and the other institutions concerned a summary of those decisions. A model summary shall be drawn up by the Specialised Committee on Social Security Coordination. The summary shall be sent to the claimant in the language of the institution or, at the request of the claimant, in any language of their choice, including English, recognised as an official language of the Union.
2. Where it appears to the claimant following receipt of the summary that his or her rights may have been adversely affected by the interaction of decisions taken by two or more institutions, the claimant shall have the right to a review of the decisions by the institutions concerned within the time limits laid down in the respective national legislation. The time limits shall commence on the date of receipt of the summary. The claimant shall be notified of the result of the review in writing.
Article SSCI.41
Determination of the degree of invalidity
Each institution shall, in accordance with its legislation, have the possibility of having the claimant examined by a medical doctor or other expert of its choice to determine the degree of invalidity. However, the institution of a State shall take into consideration documents, medical reports and administrative information collected by the institution of any other State as if they had been drawn up in its own territory.
Article SSCI.42
Provisional instalments and advance payment of a benefit
1. Notwithstanding Article SSCI.7 of this Annex, any institution which establishes, while investigating a claim for benefits, that the claimant is entitled to an independent benefit under the applicable legislation, in accordance with point (a) of Article SSC.47(1) of this Protocol, shall pay that benefit without delay. That payment shall be considered provisional if the amount might be affected by the result of the claim investigation procedure.
2. Whenever it is evident from the information available that the claimant is entitled to a payment from an institution under point (b) of Article SSC.47(1) of this Protocol, that institution shall make an advance payment, the amount of which shall be as close as possible to the amount which will probably be paid under point (b) of Article SSC.47(1) of this Protocol.
3. Each institution which is obliged to pay the provisional benefits or advance payment under paragraph 1 or 2 shall inform the claimant without delay, specifically drawing the claimant's attention to the provisional nature of the measure and any rights of appeal in accordance with its legislation.
Article SSCI.43
New calculation of benefits
1. Where there is a new calculation of benefits in accordance with Articles SSC.45(4) and SSC.54(1) of this Protocol, Article SSCI.42 of this Annex shall be applicable mutatis mutandis.
2. Where there is a new calculation, withdrawal or suspension of the benefit, the institution which took the decision shall inform the person concerned without delay and shall inform each of the institutions in respect of which the person concerned has an entitlement.
Article SSCI.44
Measures intended to accelerate the pension calculation process
1. In order to facilitate and accelerate the investigation of claims and the payment of benefits, the institutions to whose legislation a person has been subject shall:
exchange with or make available to institutions of other States the elements for identifying persons who change from one applicable national legislation to another, and together ensure that those identification elements are retained and correspond, or, failing that, provide those persons with the means to access their identification elements directly;
sufficiently in advance of the minimum age for commencing pension rights or before an age to be determined by national legislation, exchange with or make available to the person concerned and to institutions of other States information (periods completed or other important elements) on the pension entitlements of persons who have changed from one applicable legislation to another or, failing that, inform those persons of, or provide them with, the means of familiarising themselves with their prospective benefit entitlement.
2. For the purposes of paragraph 1, the Specialised Committee on Social Security Coordination shall determine the elements of information to be exchanged or made available and shall establish the appropriate procedures and mechanisms, taking account of the characteristics, administrative and technical organisation, and the technological means at the disposal of national pension schemes. The Specialised Committee on Social Security Coordination shall ensure the implementation of those pension schemes by organising a follow-up to the measures taken and their application.
3. For the purposes of paragraph 1, the institution in the first State where a person is allocated a Personal Identification Number (PIN) for the purposes of social security administration should be provided with the information referred to in this Article.
Article SSCI.45
Coordination measures in the States
1. Without prejudice to Article SSC.46 of this Protocol, where national legislation includes rules for determining the institution responsible or the scheme applicable or for designating periods of insurance to a specific scheme, those rules shall be applied, taking into account only periods of insurance completed under the legislation of the State concerned.
2. Where national legislation includes rules for the coordination of special schemes for civil servants and the general scheme for employed persons, those rules shall not be affected by the provisions of this Protocol and of this Annex.
CHAPTER 5
UNEMPLOYMENT BENEFITS
Article SSCI.46
Aggregation of periods and calculation of benefits
1. Article SSCI.11(1) of this Annex applies mutatis mutandis to Article SSC.56 of this Protocol. Without prejudice to the underlying obligations of the institutions involved, the person concerned may submit to the competent institution a document issued by the institution of the State to whose legislation they were subject in respect of that person's last activity as an employed or self-employed person specifying the periods completed under that legislation.
2. For the purpose of applying Article SSC.57 of this Protocol, the competent institution of a State whose legislation provides that the calculation of benefits varies with the number of members of the family shall also take into account the members of the family of the person concerned residing in another State as if they resided in the competent State. This provision shall not apply where, in the State of residence of members of the family, another person is entitled to unemployment benefits calculated on the basis of the number of members of the family.
TITLE IV
FINANCIAL PROVISIONS
CHAPTER 1
REIMBURSEMENT OF THE COST OF BENEFITS IN APPLICATION OF ARTICLE SSC.30 AND ARTICLE SSC.36 OF THIS PROTOCOL
SECTION 1
REIMBURSEMENT ON THE BASIS OF ACTUAL EXPENDITURE
Article SSCI.47
Principles
1. For the purpose of applying Article SSC.30 and Article SSC.36 of this Protocol, the actual amount of the expenses for benefits in kind, as shown in the accounts of the institution that provided them, shall be reimbursed to that institution by the competent institution, except where Article SSCI.57 of this Annex is applicable.
2. If any or part of the actual amount of the expenses for benefits referred to in paragraph 1 is not shown in the accounts of the institution that provided them, the amount to be refunded shall be determined on the basis of a lump-sum payment calculated from all the appropriate references obtained from the data available. The Specialised Committee on Social Security Coordination shall assess the bases to be used for calculation of the lump-sum payment and shall decide the amount thereof.
3. Higher rates than those applicable to the benefits in kind provided to insured persons subject to the legislation applied by the institution providing the benefits referred to in paragraph 1 may not be taken into account in the reimbursement.
SECTION 2
REIMBURSEMENT ON THE BASIS OF FIXED AMOUNTS
Article SSCI.48
Identification of the State(s) concerned
1. The States referred to in Article SSC.30(2) of this Protocol, whose legal or administrative structures are such that the use of reimbursement on the basis of actual expenditure is not appropriate, are listed in Appendix SSCI-3 to this Annex.
2. In the case of the States listed in Appendix SSCI-3, the amount of benefits in kind supplied to:
family members who do not reside in the same State as the insured person, as provided for in Article SSC.15 of this Protocol; and to
pensioners and members of their family, as provided for in Article SSC.22(1), Articles SSC.23 and SSC.24 of this Protocol;
shall be reimbursed by the competent institutions to the institutions providing those benefits, on the basis of a fixed amount established for each calendar year. This fixed amount shall be as close as possible to actual expenditure.
Article SSCI.49
Calculation method of the monthly fixed amounts and the total fixed amount
1. For each creditor State, the monthly fixed amount per person (Fi) for a calendar year shall be determined by dividing the annual average cost per person (Yi), broken down by age group (i), by 12 and by applying a reduction (X) to the result in accordance with the following formula:
Fi = Yi*1/12*(1-X)
Where:
2. The annual average cost per person (Yi) in age group i shall be obtained by dividing the annual expenditure on all benefits in kind provided by the institutions of the creditor State to all persons in the age group concerned subject to its legislation and residing within its territory by the average number of persons concerned in that age group in the calendar year in question. The calculation shall be based on the expenditure under the schemes referred to in Article SSCI.20.
3. The reduction to be applied to the monthly fixed amount shall, in principle, be equal to 20 % (X = 0.20). It shall be equal to 15 % (X = 0.15) for pensioners and members of their family where the competent State is not listed in Annex SSC-3 to this Protocol.
4. For each debtor State, the total fixed amount for a calendar year shall be the sum of the products obtained by multiplying, in each age group i, the determined monthly fixed amounts per person by the number of months completed by the persons concerned in the creditor State in that age group.
The number of months completed by the persons concerned in the creditor State shall be the sum of the calendar months in a calendar year during which the persons concerned were, because of their residence in the territory of the creditor State, eligible to receive benefits in kind in that territory at the expense of the debtor State. Those months shall be determined from an inventory kept for that purpose by the institution of the place of residence, based on documentary evidence of the entitlement of the beneficiaries supplied by the competent institution.
5. The Specialised Committee on Social Security Coordination may present a proposal containing any amendments which may prove necessary in order to ensure that the calculation of fixed amounts comes as close as possible to the actual expenditure incurred and the reductions referred to in paragraph 3 do not result in unbalanced payments or double payments for the States.
6. The Specialised Committee on Social Security Coordination shall establish the methods for determining the elements for calculating the fixed amounts referred to in this Article.
Article SSCI.50
Notification of annual average costs
The annual average cost per person in each age group for a specific year shall be notified to the Specialised Committee on Social Security Coordination at the latest by the end of the second year following the year in question. If the notification is not made by this deadline, the annual average cost per person which the Specialised Committee on Social Security Coordination has last determined for a previous year will be taken.
SECTION 3
COMMON PROVISIONS
Article SSCI.51
Procedure for reimbursement between institutions
1. Reimbursements between the States shall be made as promptly as possible. Every institution concerned shall be obliged to reimburse claims before the deadlines mentioned in this Section, as soon as it is in a position to do so. A dispute concerning a particular claim shall not hinder the reimbursement of another claim or other claims.
2. The reimbursements between the institutions of the Member States and the United Kingdom, provided for in Articles SSC.30 and SSC.36 of this Protocol, shall be made via the liaison body. There may be a separate liaison body for reimbursements under Article SSC.30 and Article SSC.36 of this Protocol.
Article SSCI.52
Deadlines for the introduction and settlement of claims
1. Claims based on actual expenditure shall be introduced to the liaison body of the debtor State within 12 months of the end of the calendar half-year during which those claims were recorded in the accounts of the creditor institution.
2. Claims for fixed amounts for a calendar year shall be introduced to the liaison body of the debtor State within the 12-month period following the month during which the average costs for the year concerned were approved by the Specialised Committee on Social Security Coordination. The inventories referred to Article SSCI.49(4) shall be presented by the end of the year following the reference year.
3. In the case referred to in the second subparagraph of Article SSCI.7(5), the deadline set out in paragraphs 1 and 2 of this Article shall not start before the competent institution has been identified.
4. Claims introduced after the deadlines specified in paragraphs 1 and 2 shall not be considered.
5. The claims shall be paid to the liaison body of the creditor State referred to in Article SSCI.51, by the debtor institution within 18 months of the end of the month during which they were introduced to the liaison body of the debtor State. This does not apply to the claims which the debtor institution has rejected for a relevant reason within that period.
6. Any disputes concerning a claim shall be settled, at the latest, within 36 months following the month in which the claim was introduced.
7. The Specialised Committee on Social Security Coordination shall facilitate the final closing of accounts in cases where a settlement cannot be reached within the period set out in paragraph 6, and, upon a reasoned request by one of the parties in the dispute, shall give its opinion on a dispute within six months following the month in which the matter was referred to it.
Article SSCI.53
Interest on late payments and down payments
1. From the end of the 18-month period set out in Article SSCI.52(5), interest can be charged by the creditor institution on outstanding claims, unless the debtor institution has made, within six months of the end of the month during which the claim was introduced, a down payment of at least 90 % of the total claim introduced pursuant to Article SSCI.52(1) or (2). For those parts of the claim not covered by the down payment, interest may be charged only from the end of the 36-month period set out in Article SSCI.52(6).
2. The interest shall be calculated on the basis of the reference rate applied by the financial institution designated for this purpose by the Specialised Committee on Social Security Coordination to its main refinancing operations. The reference rate applicable shall be that in force on the first day of the month on which the payment is due.
3. No liaison body shall be obliged to accept a down payment as provided for in paragraph 1. If however, a liaison body declines such an offer, the creditor institution shall no longer be entitled to charge interest on late payments related to the claims in question other than under the second sentence of paragraph 1.
Article SSCI.54
Statement of Annual Accounts
1. The Partnership Council shall establish the claims situation for each calendar year on the basis of the report of the Specialised Committee on Social Security Coordination. To this end, the liaison bodies shall notify the Specialised Committee on Social Security Coordination, by the deadlines and according to the procedures laid down by the latter, of the amount of the claims introduced, settled or contested (creditor position) and the amount of claims received, settled or contested (debtor position).
2. The Partnership Council may perform any appropriate checks on the statistical and accounting data used as the basis for drawing up the annual statement of claims provided for in paragraph 1 in order, in particular, to ensure that they comply with the rules laid down under this Title.
CHAPTER 2
RECOVERY OF BENEFITS PROVIDED BUT NOT DUE, RECOVERY OF PROVISIONAL PAYMENTS AND CONTRIBUTIONS, OFFSETTING AND ASSISTANCE WITH RECOVERY
SECTION 1
PRINCIPLES
Article SSCI.55
Common provisions
For the purposes of applying Article SSC.64 of this Protocol and within the framework defined therein, the recovery of claims shall, wherever possible, be by way of offsetting either between the institutions of the Member State concerned and of the United Kingdom, or vis-à-vis the natural or legal person concerned in accordance with Articles SSCI.56 to SSCI.58 of this Annex. If it is not possible to recover all or any of the claim via this offsetting procedure, the remainder of the amount due shall be recovered in accordance with Articles SSCI.59 to SSCI.69 of this Annex.
SECTION 2
OFFSETTING
Article SSCI.56
Benefits received unduly
1. If the institution of a State has paid undue benefits to a person, that institution may, within the terms and limits laid down in the legislation it applies, request the institution of the State responsible for paying benefits to the person concerned to deduct the undue amount from arrears or on-going payments owed to the person concerned regardless of the social security branch under which the benefit is paid. The institution of the latter State shall deduct the amount concerned subject to the conditions and limits applying to this kind of offsetting procedure in accordance with the legislation it applies in the same way as if it had made the overpayments itself, and shall transfer the amount deducted to the institution that has paid undue benefits.
2. By way of derogation from paragraph 1, if, when awarding or reviewing benefits in respect of invalidity benefits, old-age and survivors' pensions pursuant to Chapters 3 and 4 of Title III of this Protocol, the institution of a State has paid to a person benefits of undue sum, that institution may request the institution of the State responsible for the payment of corresponding benefits to the person concerned to deduct the amount overpaid from the arrears payable to the person concerned. After the latter institution has informed the institution that has paid an undue sum of these arrears, the institution which has paid the undue sum shall within two months communicate the amount of the undue sum. If the institution which is due to pay arrears receives that communication within the deadline it shall transfer the amount deducted to the institution which has paid undue sums. If the deadline expires, that institution shall without delay pay out the arrears to the person concerned.
3. If a person has received social welfare assistance in one State during a period in which they were entitled to benefits under the legislation of another State, the body which provided the assistance may, if it is legally entitled to reclaim the benefits due to the person concerned, request the institution of any other State responsible for paying benefits in favour of the person concerned to deduct the amount of assistance paid from the amounts which that State pays to the person concerned.
This provision applies mutatis mutandis to any family member of a person concerned who has received assistance in the territory of a State during a period in which the insured person was entitled to benefits under the legislation of another State in respect of that family member.
The institution of a State which has paid an undue amount of assistance shall send a statement of the amount due to the institution of the other State, which shall then deduct the amount, subject to the conditions and limits laid down for this kind of offsetting procedure in accordance with the legislation it applies, and transfer the amount without delay to the institution that has paid the undue amount.
Article SSCI.57
Provisionally paid benefits in cash or contributions
1. For the purposes of applying Article SSCI.6, at the latest three months after the applicable legislation has been determined or the institution responsible for paying the benefits has been identified, the institution which provisionally paid the cash benefits shall draw up a statement of the amount provisionally paid and shall send it to the institution identified as being competent.
The institution identified as being competent for paying the benefits shall deduct the amount due in respect of the provisional payment from the arrears of the corresponding benefits it owes to the person concerned and shall without delay transfer the amount deducted to the institution which provisionally paid the cash benefits.
If the amount of provisionally paid benefits exceeds the amount of arrears, or if arrears do not exist, the institution identified as being competent shall deduct this amount from ongoing payments subject to the conditions and limits applying to this kind of offsetting procedure under the legislation it applies, and without delay transfer the amount deducted to the institution which provisionally paid the cash benefits.
2. The institution which has provisionally received contributions from a legal or natural person shall not reimburse the amounts in question to the person who paid them until it has ascertained from the institution identified as being competent the sums due to it under Article SSCI.6(4).
Upon request of the institution identified as being competent, which shall be made at the latest three months after the applicable legislation has been determined, the institution that has provisionally received contributions shall transfer them to the institution identified as being competent for that period for the purpose of settling the situation concerning the contributions owed by the legal or natural person to it. The contributions transferred shall be retroactively deemed as having been paid to the institution identified as being competent.
If the amount of provisionally paid contributions exceeds the amount the legal or natural person owes to the institution identified as being competent, the institution which provisionally received contributions shall reimburse the amount in excess to the legal or natural person concerned.
Article SSCI.58
Costs related to offsetting
No costs are payable where the debt is recovered via the offsetting procedure provided for in Articles SSCI.56 and SSCI.57.
SECTION 3
RECOVERY
Article SSCI.59
Definitions and common provisions
1. For the purposes of this Section:
"claim" means all claims relating to contributions or to benefits paid or provided unduly, including interest, fines, administrative penalties and all other charges and costs connected with the claim in accordance with the legislation of the State making the claim;
"applicant party" means, in respect of each State, any institution which makes a request for information, notification or recovery concerning a claim as defined above;
"requested party" means, in respect of each State, any institution to which a request for information, notification or recovery can be made.
2. Requests and any related communications between the States shall, in general, be addressed via designated institutions.
3. Practical implementation measures, including, among others, those related to Article SSCI.4 and to setting a minimum threshold for the amounts for which a request for recovery can be made, shall be taken by the Specialised Committee on Social Security Coordination.
Article SSCI.60
Requests for information
1. At the request of the applicant party, the requested party shall provide any information which would be useful to the applicant party in the recovery of its claim.
2. In order to obtain that information, the requested party shall make use of the powers provided for under the laws, regulations or administrative practices applying to the recovery of similar claims arising in its own State. The request for information shall indicate the name, last known address, and any other relevant information relating to the identification of the legal or natural person concerned to whom the information to be provided relates and the nature and amount of the claim in respect of which the request is made.
3. The requested party shall not be obliged to supply information:
which it would not be able to obtain for the purpose of recovering similar claims arising in its own territory;
which would disclose any commercial, industrial or professional secrets; or
the disclosure of which would be liable to prejudice the security of or be contrary to the public policy of a State.
4. The requested party shall inform the applicant party of the grounds for refusing a request for information.
Article SSCI.61
Notification
1. The requested party shall, at the request of the applicant party, and in accordance with the rules in force for the notification of similar instruments or decisions in its own territory, notify the addressee of all instruments and decisions, including those of a judicial nature, which come from the State of the applicant party and which relate to a claim or to its recovery.
2. The request for notification shall indicate the name, address and any other relevant information relating to the identification of the addressee concerned to which the applicant party normally has access, the nature and the subject of the instrument or decision to be notified and, if necessary the name, address and any other relevant information relating to the identification of the debtor and the claim to which the instrument or decision relates, and any other useful information.
3. The requested party shall without delay inform the applicant party of the action taken on its request for notification and, particularly, of the date on which the decision or instrument was forwarded to the addressee.
Article SSCI.62
Request for recovery
1. At the request of the applicant party, the requested party shall recover claims that are the subject of an instrument permitting enforcement issued by the applicant party to the extent permitted by and in accordance with the laws and administrative practices in force in the State of the requested party.
2. The applicant party may only make a request for recovery if:
it also provides to the requested party an official or certified copy of the instrument permitting enforcement of the claim in the State of the applicant party, except in cases where Article SSCI.64(3) is applied;
the claim or instrument permitting its enforcement are not contested in its own State;
it has, in its own State, applied appropriate recovery procedures available to it on the basis of the instrument referred to in paragraph 1, and the measures taken will not result in the payment in full of the claim;
the period of limitation according to its own legislation has not expired.
3. The request for recovery shall indicate:
the name, address and any other relevant information relating to the identification of the natural or legal person concerned or to the identification of any third party holding that person's assets;
the name, address and any other relevant information relating to the identification of the applicant party;
a reference to the instrument permitting its enforcement, issued in the State of the applicant party;
the nature and amount of the claim, including the principal, interest, fines, administrative penalties and all other charges and costs due indicated in the currencies of the State(s) of the applicant and requested parties;
the date of notification of the instrument to the addressee by the applicant party or by the requested party;
the date from which and the period during which enforcement is possible under the laws in force in the State of the applicant party;
any other relevant information.
4. The request for recovery shall also contain a declaration by the applicant party confirming that the conditions laid down in paragraph 2 have been fulfilled.
5. The applicant party shall forward to the requested party any relevant information relating to the matter which gave rise to the request for recovery, as soon as this comes to its knowledge.
Article SSCI.63
Instrument permitting enforcement of recovery
1. In accordance with Article SSC.64(2) of this Protocol, the instrument permitting enforcement of the claim shall be directly recognised and treated automatically as an instrument permitting the enforcement of a claim of the State of the requested party
2. Notwithstanding paragraph 1, the instrument permitting enforcement of the claim may, where appropriate and in accordance with the provisions in force in the State of the requested party, be accepted as, recognised as, supplemented with, or replaced by an instrument authorising enforcement in the territory of that State.
Within three months of the date of receipt of the request for recovery, the State(s) shall endeavour to complete the acceptance, recognition, supplementing or replacement, except in cases where the third subparagraph of this paragraph applies. States may not refuse to complete these actions where the instrument permitting enforcement is properly drawn up. The requested party shall inform the applicant party of the grounds for exceeding the three-month period.
If any of these actions should give rise to a dispute in connection with the claim or the instrument permitting enforcement issued by the applicant party, Article SSCI.65 shall apply.
Article SSCI.64
Payment arrangements and deadline
1. Claims shall be recovered in the currency of the State of the requested party. The entire amount of the claim that is recovered by the requested party shall be remitted by the requested party to the applicant party.
2. The requested party may, where the laws, regulations or administrative provisions in force in its own State so permit, and after consulting the applicant party, allow the debtor time to pay or authorise payment by instalment. Any interest charged by the requested party in respect of such extra time to pay shall also be remitted to the applicant party.
3. From the date on which the instrument permitting enforcement of the recovery of the claim has been directly recognised in accordance with Article SSCI.63(1) or accepted, recognised, supplemented or replaced in accordance with Article SSCI.63(2), interest shall be charged for late payment under the laws, regulations and administrative provisions in force in the State of the requested party and shall also be remitted to the applicant party.
Article SSCI.65
Contestation concerning the claim or the instrument permitting enforcement of its recovery and contestation concerning enforcement measures
1. If, in the course of the recovery procedure, the claim or the instrument permitting its enforcement issued in the State of the applicant party are contested by an interested party, the action shall be brought by this party before the appropriate authorities of the State of the applicant party, in accordance with the laws in force in that State. The applicant party shall without delay notify the requested party of this action. The interested party may also inform the requested party of the action.
2. As soon as the requested party has received the notification or information referred to in paragraph 1 either from the applicant party or from the interested party, it shall suspend the enforcement procedure pending the decision of the appropriate authority in the matter, unless the applicant party requests otherwise in accordance with the second subparagraph of this paragraph. Should the requested party deem it necessary, and without prejudice to Article SSCI.68, it may take precautionary measures to guarantee recovery insofar as the laws or regulations in force in its own State allow such action for similar claims.
Notwithstanding the first subparagraph, the applicant party may, in accordance with the laws, regulations and administrative practices in force in its own State, request the requested party to recover a contested claim, insofar as the relevant laws, regulations and administrative practices in force in the requested party's State allow such action. If the result of the contestation is subsequently favourable to the debtor, the applicant party shall be liable for the reimbursement of any sums recovered, together with any compensation due, in accordance with the legislation in force in the requested party's State.
3. Where the contestation concerns enforcement measures taken in the State of the requested party, the action shall be brought before the appropriate authority of that State in accordance with its laws and regulations.
4. Where the appropriate authority before which the action is brought in accordance with paragraph 1 is a judicial or administrative tribunal, the decision of that tribunal, insofar as it is favourable to the applicant party and permits recovery of the claim in the State of the applicant party, shall constitute the "instrument permitting enforcement" within the meaning of Articles SSCI.62 and SSCI.63 and the recovery of the claim shall proceed on the basis of that decision.
Article SSCI.66
Limits applying to assistance
1. The requested party shall not be obliged:
to grant the assistance provided for in Articles SSCI.62 to SSCI.65, if recovery of the claim would, because of the situation of the debtor, create serious economic or social difficulties in the State of the requested party, insofar as the laws, regulations or administrative practices in force in the State of the requested party allow such action for similar national claims;
to grant the assistance provided for in Articles SSCI.60 to SSCI.65, if the initial request under Articles SSCI.60 to SSCI.62 applies to claims more than five years old, dating from the moment the instrument permitting the recovery was established in accordance with the laws, regulations or administrative practices in force in the State of the applicant party at the date of the request. However, if the claim or instrument is contested, the time limit begins from the moment that the State of the applicant party establishes that the claim or the enforcement order permitting recovery may no longer be contested.
2. The requested party shall inform the applicant party of the grounds for refusing a request for assistance.
Article SSCI.67
Periods of limitation
1. Questions concerning periods of limitation shall be governed as follows:
by the laws in force in the State of the applicant party, insofar as they concern the claim or the instrument permitting its enforcement; and
by the laws in force in the State of the requested party, insofar as they concern enforcement measures in the requested State.
Periods of limitation according to the laws in force in the State of the requested party shall start from the date of direct recognition or from the date of acceptance, recognition, supplementing or replacement in accordance with Article SSCI.63.
2. Steps taken in the recovery of claims by the requested party in pursuance of a request for assistance, which, if they had been carried out by the applicant party, would have had the effect of suspending or interrupting the period of limitation according to the laws in force in the State of the applicant party, shall be deemed to have been taken in the latter, insofar as that effect is concerned.
Article SSCI.68
Precautionary measures
Upon reasoned request by the applicant party, the requested party shall take precautionary measures to ensure recovery of a claim insofar as the laws and regulations in force in the State of the requested party so permit.
For the purposes of implementing the first paragraph, the provisions and procedures laid down in Articles SSCI.62, SSCI.63, SSCI.65 and SSCI.66 apply mutatis mutandis.
Article SSCI.69
Costs related to recovery
1. The requested party shall recover from the natural or legal person concerned and retain any costs linked to recovery which it incurs, in accordance with the laws and regulations of the State of the requested party that apply to similar claims.
2. Mutual assistance afforded under this Section shall, as a rule, be free of charge. However, where recovery poses a specific problem or concerns a very large amount in costs, the applicant and the requested parties may agree on reimbursement arrangements specific to the cases in question.
The State of the applicant party shall remain liable to the State of the requested party for any costs and any losses incurred as a result of actions held to be unfounded, as far as either the substance of the claim or the validity of the instrument issued by the applicant party is concerned.
TITLE V
MISCELLANEOUS, TRANSITIONAL AND FINAL PROVISIONS
Article SSCI.70
Medical examination and administrative checks
1. Without prejudice to other provisions, where a recipient or a claimant of benefits, or a member of that person's family, is staying or residing within the territory of a State other than that in which the debtor institution is located, the medical examination shall be carried out, at the request of that institution, by the institution of the beneficiary's place of stay or residence in accordance with the procedures laid down by the legislation applied by that institution.
The debtor institution shall inform the institution of the place of stay or residence of any special requirements, if necessary, to be followed and points to be covered by the medical examination.
2. The institution of the place of stay or residence shall forward a report to the debtor institution that requested the medical examination. This institution shall be bound by the findings of the institution of the place of stay or residence.
The debtor institution shall reserve the right to have the beneficiary examined by a doctor of its choice. However, the beneficiary may be asked to return to the State of the debtor institution only if the beneficiary is able to make the journey without prejudice to the beneficiary's health and the cost of travel and accommodation is paid for by the debtor institution.
3. Where a recipient or a claimant of benefits, or a member of that person's family, is staying or residing in the territory of a State other than that in which the debtor institution is located, the administrative check shall, at the request of the debtor institution, be performed by the institution of the beneficiary's place of stay or residence.
Paragraph 2 shall also apply in this case.
4. As an exception to the principle of free-of-charge mutual administrative cooperation in Article SSC.59(3) of this Protocol, the effective amount of the expenses of the checks referred to in this Article shall be refunded to the institution which was requested to carry them out by the debtor institution which requested them.
Article SSCI.71
Notifications
1. The States shall notify the Specialised Committee on Social Security Coordination of the details of the bodies and entities defined in Article SSC.1 of this Protocol and points (a) and (b) of Article SSCI.1(2) of this Annex, and of the institutions designated in accordance with this Annex.
2. The bodies specified in paragraph 1 shall be provided with an electronic identity in the form of an identification code and electronic address.
3. The Specialised Committee on Social Security Coordination shall establish the structure, content and detailed arrangements, including the common format and model, for notification of the details specified in paragraph 1.
4. For the purposes of implementing this Protocol, the United Kingdom may take part in the Electronic Exchange of Social Security Information and bear the related costs.
5. The States shall be responsible for keeping the information specified in paragraph 1 up to date.
Article SSCI.72
Information
The Specialised Committee on Social Security Coordination shall prepare the information needed to ensure that the parties concerned are aware of their rights and the administrative formalities required in order to assert them. This information shall, where possible, be disseminated electronically via publication online on sites accessible to the public. The Specialised Committee on Social Security Coordination shall ensure that the information is regularly updated and monitor the quality of services provided to customers.
Article SSCI.73
Currency conversion
For the purposes of this Protocol and this Annex, the exchange rate between two currencies shall be the reference rate published by the financial institution designated for this purpose by the Specialised Committee on Social Security Coordination. The date to be taken into account for determining the exchange rate shall be fixed by the Specialised Committee on Social Security Coordination.
Article SSCI.74
Implementing provisions
The Specialised Committee on Social Security Coordination may adopt further guidance on the implementation of this Protocol and of this Annex.
Article SSCI.75
Interim provisions for forms and documents
1. For an interim period, the end date of which shall be agreed by the Specialised Committee on Social Security Coordination, all forms and documents issued by the competent institutions in the format used immediately before this Protocol comes into force shall be valid for the purposes of implementing this Protocol and, where appropriate, shall continue to be used for the exchange of information between competent institutions. All such forms and documents issued before and during that interim period shall be valid until their expiry or cancellation.
2. The forms and documents valid in accordance with paragraph 1 include:
European Health Insurance Cards issued on behalf of the United Kingdom, which shall be valid entitlement documents for the purposes of Article SSC.17 and Article SSC.25(1) of this Protocol and Article SSCI.22 of this Annex; and
portable documents which certify a person's social security situation as required to give effect to this Protocol.
Appendix SSCI-1
ADMINISTRATIVE ARRANGEMENTS BETWEEN TWO OR MORE STATES
(referred to in Article SSCI.8 of this Annex)
BELGIUM — UNITED KINGDOM
The Exchange of Letters of 4 May and 14 June 1976 regarding Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs of administrative checks and medical examinations)
The Exchange of Letters of 18 January and 14 March 1977 regarding Article 36(3) of Regulation (EEC) No 1408/71 (arrangement for reimbursement or waiving of reimbursement of the costs of benefits in kind provided under the terms of Chapter 1 of Title III of Regulation (EEC) No 1408/71) as amended by the Exchange of Letters of 4 May and 23 July 1982 (agreement for reimbursement of costs incurred under Article 22(1)(a) of Regulation (EEC) No 1408/71)
DENMARK — UNITED KINGDOM
The Exchange of Letters of 30 March and 19 April 1977 as modified by an Exchange of Letters of 8 November 1989 and of 10 January 1990 on agreement of waiving of reimbursement of the costs of benefits in kind and administrative checks and medical examinations
ESTONIA — UNITED KINGDOM
The Arrangement finalised on 29 March 2006 between the Competent Authorities of the Republic of Estonia and of the United Kingdom under Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 establishing other methods of reimbursement of the costs of benefits in kind provided under Regulation (EC) No 883/2004 by both countries with effect from 1 May 2004
FINLAND — UNITED KINGDOM
The Exchange of Letters 1 and 20 June 1995 concerning Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 (reimbursement or waiving of reimbursement of the cost of benefits in kind) and Article 105(2) of Regulation (EEC) 574/72 (waiving of reimbursement of the cost of administrative checks and medical examinations)
FRANCE — UNITED KINGDOM
The Exchange of Letters of 25 March and 28 April 1997 regarding Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs of administrative checks and medical examinations)
The Agreement of 8 December 1998 on the specific methods of determining the amounts to be reimbursed for benefits in kind pursuant to Regulations (EEC) No 1408/71 and (EEC) No 574/72
HUNGARY — UNITED KINGDOM
The Arrangement finalised on 1 November 2005 between the Competent Authorities of the Republic of Hungary and of the United Kingdom under Article 35(3) and 41(2) of Regulation (EEC) No 883/2004 establishing other methods of reimbursement of the costs of benefits in kind provided under that Regulation by both countries with effect from 1 May 2004
IRELAND — UNITED KINGDOM
The Exchange of Letters of 9 July 1975 regarding Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 (arrangement for reimbursement or waiving of reimbursement of the costs of benefits in kind provided under the terms of Chapter 1 or 4 of Title III of Regulation (EEC) No 1408/71) and Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs of administrative checks and medical examinations)
ITALY — UNITED KINGDOM
The Arrangement signed on 15 December 2005 between the Competent Authorities of the Italian Republic and of the United Kingdom under Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 establishing other methods of reimbursement of the costs of benefits in kind provided under Regulation (EC) No 883/2004 by both countries with effect from 1 January 2005
LUXEMBOURG — UNITED KINGDOM
The Exchange of Letters of 18 December 1975 and 20 January 1976 regarding Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs entailed in administrative checks and medical examinations referred to in Article 105 of Regulation (EEC) No 574/72)
MALTA — UNITED KINGDOM
The Arrangement finalised on 17 January 2007 between the Competent Authorities of Malta and of the United Kingdom under Article 35(3) and 41(2) of Regulation (EEC) No 883/2004 establishing other methods of reimbursement of the costs of benefits in kind provided under that Regulation by both countries with effect from 1 May 2004
NETHERLANDS — UNITED KINGDOM
The second sentence of Article 3 of the Administrative Arrangement of 12 June 1956 on the implementation of the Convention of 11 August 1954
PORTUGAL — UNITED KINGDOM
The Arrangement of 8 June 2004 establishing other methods of reimbursement of the costs of benefits in kind provided by both countries with effect from 1 January 2003
SPAIN — UNITED KINGDOM
The Agreement of 18 June 1999 on the reimbursement of costs for benefits in kind granted pursuant to the provisions of Regulations (EEC) No 1408/71 and (EEC) No 574/72.
Appendix SSCI-2
ENTITLEMENT DOCUMENT
(Article SSC.17 and Article SSC.25(1) of this Protocol and Article SSCI.22 of this Annex)
1. Entitlement documents issued for the purposes of Article SSC.17 and Article SSC.25(1) of this Protocol by the competent institutions of Member States shall comply with Decision No S2 of 12 June 2009 of the Administrative Commission concerning the technical specifications of the European Health Insurance Card.
2. Entitlement documents issued for the purposes of Article SSC.17 and Article SSC.25(1) by the competent institutions of the United Kingdom shall contain the following data:
surname and forename of the document holder;
personal identification number of the document holder;
date of birth of the document holder;
expiry date of the document;
the code "UK" in lieu of the ISO code of the United Kingdom;
identification number and acronym of the United Kingdom institution issuing the document;
logical number of the document;
in the case of a provisional document, the date of issue and date of delivery of the document, and the signature and stamp of the United Kingdom institution.
3. The technical specifications of entitlement documents issued by the United Kingdom shall be notified without delay to the Specialised Committee on Social Security Coordination in order to facilitate the acceptance of the respective documents by institutions of the Member States providing the benefits in kind.
BENEFITS IN KIND REQUIRING PRIOR AGREEMENT
(Article SSC.17 and Article SSC.25(1) of this Protocol)
1. The benefits in kind to be provided under Article SSC.17 and Article SSC.25(1) of this Protocol shall include benefits provided in conjunction with chronic or existing illnesses as well as in conjunction with pregnancy and childbirth.
2. Benefits in kind, including those in conjunction with chronic or existing illnesses or in conjunction with childbirth, are not covered by these provisions when the objective of the stay in another State is to receive these treatments.
3. Any vital medical treatment which is only accessible in a specialised medical unit or given by specialised staff or equipment must be subject to a prior agreement between the insured person and the unit providing the treatment in order to ensure that the treatment is available during the insured person's stay in a State other than the competent State or the one of residence.
4. A non-exhaustive list of the treatments which fulfil these criteria is the following:
kidney dialysis;
oxygen therapy;
special asthma treatment;
echocardiography in case of chronic autoimmune diseases;
chemotherapy.
Appendix SSCI-3
STATES CLAIMING THE REIMBURSEMENT OF THE COST OF BENEFITS IN KIND ON THE BASIS OF FIXED AMOUNTS
(referred to in Article SSCI.48(1) of this Annex)
ANNEX SSC-8
TRANSITIONAL PROVISIONS REGARDING THE APPLICATION OF ARTICLE SSC.11
MEMBER STATES
Austria
Belgium
Bulgaria
Croatia
Cyprus
Czechia
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Ireland
Italy
Latvia
Lithuania
Luxembourg
Malta
Netherlands
Poland
Portugal
Romania
Slovakia
Slovenia
Spain
Sweden.
PROTOCOL I
PROGRAMMES AND ACTIVITIES IN WHICH THE UNITED KINGDOM PARTICIPATES
Article 1
Scope of the United Kingdom’s participation
The United Kingdom shall participate in and contribute as of 1 January 2024 to the Union programmes and activities, or parts thereof, established by the following basic acts:
Regulation (EU) 2021/696 of the European Parliament and of the Council of 28 April 2021 establishing the Union Space Programme and the European Union Agency for the Space Programme and repealing Regulations (EU) No 912/2010, (EU) No 1285/2013 and (EU) No 377/2014 and Decision No 541/2014/EU ( 163 ), insofar as it concerns the rules applicable to the component referred to in point (c) of Article 3, paragraph 1 of that Regulation (‘Copernicus’);
Regulation (EU) 2021/695 of the European Parliament and of the Council of 28 April 2021 establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013 ( 164 ), insofar as it concerns the rules applicable to the components referred to in paragraph 2(a) and (b) of Article 1 of that Regulation; and
Council Decision (EU) 2021/764 of 10 May 2021 establishing the Specific Programme implementing Horizon Europe – the Framework Programme for Research and Innovation, and repealing Decision 2013/743/EU ( 165 ).
Article 2
Duration of the United Kingdom’s participation
Article 3
Specific terms and conditions of participation in Copernicus
Article 4
Specific terms and conditions of participation in the Horizon Europe programme
Article 5
Modalities on the application of an automatic correction mechanism to the Horizon Europe programme under Article 716
The following modalities shall apply:
For the purposes of calculating the automatic correction, ‘competitive grants’ means grants awarded through calls for proposals where the final beneficiaries can be identified at the time of the calculation of the automatic correction with the exception of financial support to third parties as defined in Article 204 of the Financial Regulation ( 169 ) applicable to the general budget of the Union.
Where a legal commitment is signed with a coordinator of a consortium, the amounts used to establish the initial amounts of the legal commitment referred to in Article 716 (1) shall be the cumulative initial amounts allocated in the legal commitment to members of a consortium that are United Kingdom entities.
All amounts of legal commitments shall be established using the European Commission electronic system eCorda.
‘Non-intervention costs’ means operational programme costs other than competitive grants, including support expenditure, programme-specific administration and other actions ( 170 ); and
Amounts allocated to international organisations as legal entities being the final beneficiary ( 171 ) shall be considered as non-intervention costs.
The mechanism shall be applied as follows:
Automatic corrections for year N in relation to the execution of commitment appropriations for year N shall be applied based on data on year N and year N+1 from eCorda referred to in point (c) of paragraph 2 in year N+2 after any adjustments pursuant to Article 714(8) have been applied to the United Kingdom’s contribution to Horizon Europe. The amount considered will be the amount of competitive grants for which the data is available.
The amount of the automatic correction shall be calculated by taking the difference between:
the total amount of these competitive grants apportioned to United Kingdom entities as commitments made on budget appropriations of year N; and
the amount of the United Kingdom adjusted contribution for year N multiplied by the ratio between:
the amount of competitive grants made on commitment appropriations of year N for this programme, and
the total of all the legal commitments made on commitment appropriations of year N, including support expenditure.
Where any adjustment for situations where United Kingdom entities are excluded, is made, pursuant to the application of Article 714(8), the corresponding competitive grant amounts shall not be included in the calculation.
After the end of the period referred to in paragraph 1 of Article 2 of this Protocol, any reductions of future operational contributions, as referred to in the first subparagraph of this paragraph, shall be applied to operational contributions of the United Kingdom to a succeeding programme in which the United Kingdom participates.
If the operational contribution of the United Kingdom is adjusted in year N+2 in accordance with the first and second subparagraphs, such adjustment shall be taken into account for the purpose of calculating the annual amount for year N+2 in accordance with paragraph 4 of Annex 47.
Article 6
Exclusion from the European Innovation Council Fund
Article 7
Reciprocity
For the purpose of this article ‘Union entity’ means any type of entity, whether a natural person, legal person or another type of entity, who resides or which is established in the Union.
Eligible Union entities may participate in programmes of the United Kingdom equivalent to those referred in points (b) and (c) of Article 1 of this Protocol in accordance with United Kingdom law and rules.
Article 8
Intellectual property
For the programmes and activities listed in Article 1 of this Protocol and subject to the provisions of the Trade and Cooperation Agreement and in particular of Article 711, United Kingdom entities participating in programmes covered by this Protocol shall, as regards ownership, exploitation and dissemination of information and intellectual property arising from such participation, have equivalent rights and obligations as entities established in the Union participating in the programmes and activities in question. This provision shall not apply to the results obtained from projects started before the application of this Protocol.
PROTOCOL II
ON ACCESS OF THE UNITED KINGDOM TO SERVICES ESTABLISHED UNDER CERTAIN UNION PROGRAMMES AND ACTIVITIES IN WHICH THE UNITED KINGDOM DOES NOT PARTICIPATE
Article 1
Scope of the access
The United Kingdom shall have access to the following services under the terms and conditions established in the Trade and Cooperation Agreement, the basic acts and any other rules pertaining to the implementation of the relevant Union programmes and activities:
Space Surveillance and Tracking (‘SST’) Services as defined in Article 55 of Regulation(EU) 2021/696.
Pending the entry into force of the implementing acts setting the third country conditions to the three publicly available SST services, SST services as referred to in Article 5.1 of Decision 541/2014/EU shall be provided to the United Kingdom and public and private spacecraft owners and operators operating in or from the United Kingdom in accordance with Article 5.2 of that Decision (or any legislation replacing it with or without modification).
Article 2
Duration of the access
The United Kingdom shall have access to the services referred to in Article 1 for the remaining duration or until the end of the multiannual financial framework 2021-2027, whichever is shorter.
Article 3
Specific terms and conditions for access to SST services
Access of the United Kingdom to publicly available SST services referred to in point (a), (b) and (c) of Article 55(1) of Regulation (EU) 2021/696 shall be granted in accordance with Article 8(2) of Regulation (EU) 2021/696, upon request and subject to conditions applicable to third countries.
Access of the United Kingdom to SST services referred to in point (d) of Article 55(1) of Regulation (EU) 2021/696 shall, when available, be subject to conditions applicable to third countries.
( 1 ) For the purpose of this Article, interested parties shall be defined as per Article 6.11 of the Anti-dumping Agreement and Article 12.9 of the SCM Agreement.
( 2 ) Preserving operations such as chilling, freezing or ventilating are considered insufficient within the meaning of point (a), whereas operations such as pickling, drying or smoking that are intended to give a product special or different characteristics are not considered insufficient.
( 3 ) The period will be of 12 months for requests of information pursuant to Article 62(2) addressed to the customs authority of the exporting Party during the first three months of the application of this Agreement.
( 4 ) G/TBT/9, 13 November 2000, Annex 4.
( 5 ) For greater certainty, it is understood that, in particular for the purposes of this Chapter, the notion of "person" includes any association of persons lacking the legal status of a legal person but recognized under applicable law as having the capacity to perform legal acts.
( 6 ) Air services or related services in support of air services include, but are not limited to, the following services: air transportation; services provided by using an aircraft whose primary purpose is not the transportation of goods or passengers, such as aerial fire-fighting, flight training, sightseeing, spraying, surveying, mapping, photography, parachute jumping, glider towing, helicopter-lift for logging and construction, and other airborne agricultural, industrial and inspection services; the rental of aircraft with crew; and airport operation services.
( 7 ) National maritime cabotage covers: for the Union, without prejudice to the scope of activities that may be considered cabotage under the relevant national legislation, transportation of passengers or goods between a port or point located in a Member State and another port or point located in that same Member State, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea and traffic originating and terminating in the same port or point located in a Member State; for the United Kingdom, transportation of passengers or goods between a port or point located in the United Kingdom and another port or point located in the United Kingdom, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea and traffic originating and terminating in the same port or point located in the United Kingdom.
( 8 ) For greater certainty, the term "activities performed in the exercise of governmental authority" when used in relation to measures of a Party affecting the supply of services, includes "services supplied in the exercise of governmental authority" as defined in point (p) of Article 124.
( 9 ) For greater certainty, the shipping companies referred to in this point are only considered as legal persons of a Party with respect to their activities relating to the supply of maritime transport services.
( 10 ) Points (a)(i) to (iii) of Article 128 do not cover measures taken in order to limit the production of an agricultural or fishery product.
( 11 ) Point (a)(iii) of Article 128 does not cover measures by a Party which limit inputs for the supply of services.
( 12 ) For greater certainty, point (f) of Article 132(1) is without prejudice to the provisions of Article 207.
( 13 ) Point (a) (iii) of Article 135 does not cover measures by a Party which limit inputs for the supply of services.
( 14 ) Where the degree or qualification has not been obtained in the Party where the service is supplied, that Party may evaluate whether this is equivalent to a university degree required in its territory.
( 15 ) Where the degree or qualification has not been obtained in the Party where the service is supplied, that Party may evaluate whether this is equivalent to a university degree required in its territory.
( 16 ) Managers and specialists may be required to demonstrate they possess the professional qualifications and experience needed in the legal person to which they are transferred.
( 17 ) While managers do not directly perform tasks concerning the actual supply of the services, this does not prevent them, in the course of executing their duties as described above, from performing such tasks as may be necessary for the provision of the services.
( 18 ) The recipient enterprise may be required to submit a training programme covering the duration of the stay for prior approval, demonstrating that the purpose of the stay is for training. For AT, CZ, DE, FR, ES, HU and LT, training must be linked to the university degree which has been obtained.
( 19 ) Balancing resource constraints against the potential burden on businesses, in cases where it is reasonable to do so, competent authorities may require that all information is submitted in a specified format to consider it "complete for the purposes of processing".
( 20 ) Competent authorities may meet the requirement set out in point (ii) by informing an applicant in advance in writing, including through a published measure, that a lack of response after a specified period of time from the date of submission of the application indicates acceptance of the application. The reference to "in writing" should be understood as including electronic format.
( 21 ) Such "opportunity" does not require a competent authority to provide extensions of deadlines.
( 22 ) Competent authorities are not responsible for delays due to reasons outside their competence.
( 23 ) For greater certainty, this Article shall not be construed to prevent the negotiation and conclusion of one or more agreements between the Parties on the recognition of professional qualifications on conditions and requirements different from those provided for in this Article.
( 24 ) For greater certainty, such arrangements shall not lead to the automatic recognition of qualifications but shall set, in the mutual interest of both Parties, the conditions for the competent authorities granting recognition.
( 25 ) Information requested shall be treated in accordance with the requirements of confidentiality.
( 26 ) Administrative fees do not include payments for rights to use scarce resources and mandated contributions to universal service provision.
( 27 ) For the purposes of this Article, "non-discriminatory" means most-favoured-nation and national treatment as defined in Articles 129, 130, 136 and 137, as well as under terms and conditions no less favourable than those accorded to any other user of like public telecommunications networks or services in like situations.
( 28 ) This Article does not apply to intra-European Union roaming services, which are commercial mobile services provided pursuant to a commercial agreement between suppliers of public telecommunications services that enable an end user to use its home mobile handset or other device for voice, data or messaging services in a Member State other than that in which the end user's home public telecommunications network is located.
( 29 ) For greater certainty, this modification applies to "services supplied in the exercise of governmental authority" in point (o) of Article 124 as it applies to "activities performed in the exercise of governmental authority" in point (f) of Article 124.
( 30 ) For greater certainty, this shall not prevent a Party from adopting or maintaining measures for prudential reasons in relation to branches established in its territory by legal persons in the other Party.
( 31 ) For greater certainty, for the purposes of this Title, Union law is part of the home jurisdiction law of the lawyers referred to in point (e)(i) of this Article.
( 32 ) "Legal arbitration, conciliation and mediation services" means the preparation of documents to be submitted to, the preparation for and appearance before, an arbitrator, conciliator or mediator in any dispute involving the application and interpretation of law. It does not include arbitration, conciliation and mediation services in disputes not involving the application and interpretation of law, which fall under services incidental to management consulting. It also does not include acting as an arbitrator, conciliator or mediator. As a sub-category, international legal arbitration, conciliation or mediation services refers to the same services when the dispute involves parties from two or more countries.
( 33 ) For greater certainty, for the purposes of this paragraph "designated legal services" means, for services supplied in the Union, legal services in relation to the law of the United Kingdom or any part of it and public international law (excluding Union law), and for services supplied in the United Kingdom, legal services in relation to the law of the Member States (including Union law) and public international law (excluding Union law).
( 34 ) For greater certainty, "conditions of general application" refer to conditions formulated in objective terms that apply horizontally to an unidentified number of economic operators and thus cover a range of situations and cases.
( 35 ) For greater certainty, serious balance of payments or external financial difficulties, or threat thereof, may be caused among other factors by serious difficulties related to monetary or exchange rate policies, or threat thereof.
( 36 ) Each Party may determine the relevant date of filing of the application in accordance with its own legislation.
( 37 ) This section does not apply to the protection known in the United Kingdom as a design right.
( 38 ) For the purposes of this Title, the term "plant protection product" shall be defined for each Party by the respective legislations of the Parties.
( 39 ) For greater certainty, and in so far as permitted by the law of a Party, the term "federations and associations" includes at least collective rights management bodies and professional defence bodies which are regularly recognised as having the right to represent holders of intellectual property rights.
( 40 ) For the Union the competent authority means the customs authorities.
( 41 ) For greater certainty, application of the national treatment obligation provided for in this Article is subject to the exceptions referred to in note 3 of the Notes of Sub-sections B1 and B2 of Section B of Annex 25.
( 42 ) Regulation (EU) 2019/942 of the European Parliament and of the Council of 5 June 2019 establishing a European Union Agency for the Cooperation of Energy Regulators (OJ EU L 158, 14.6.2019, p. 22).
( 43 ) Regulation (EU) 2019/943 of the European Parliament and of the Council of 5 June 2019 on the internal market for electricity (OJ EU L 158, 14.6.2019, p. 54) or its predecessors: OJ EU L 176, 15.7.2003, p.1 and OJ EU L 211, 14.8.2009, p. 15.
( 44 ) Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas (OJ EU L 211, 14.8.2009, p. 94) or its predecessor: OJ EU L 176, 15.7.2003, p. 57.
( 45 ) Commission Regulation (EU) No 838/2010 of 23 September 2010 on laying down guidelines relating to the inter-transmission system operator compensation mechanism and a common regulatory approach to transmission charging (OJ EU L 250, 24.9.2010, p. 5).
( 46 ) Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005 (OJ EU L 211, 14.8.2009, p. 36).
( 47 ) Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources (OJ EU L 328, 21.12.2018, p. 82).
( 48 ) Directive 2012/27/EU of the European Parliament and of the Council of 25 October 2012 on energy efficiency (OJ EU L 315, 14.11.2012, p.1).
( 49 ) For the Union, such principles include the precautionary principle.
( 50 ) For the United Kingdom, "small and medium-sized enterprises" means small and micro-sized businesses.
( 51 ) In the case of the United Kingdom, major regulatory measures shall be understood as significant regulatory measures in accordance with the definition of such measures in the United Kingdom's rules and procedures.
( 52 ) For greater certainty, in relation to the implementation of this Agreement in the territory of the Union, the precautionary approach refers to the precautionary principle.
( 53 ) For this purpose, discrimination means that there is less favourable treatment of an economic actor compared with others in like situations and that that differential treatment is not justified by objective criteria.
( 54 ) For greater certainty, this standard is met when the facts demonstrate that the granting of a subsidy, without having been made legally contingent upon export performance, is in fact tied to actual or anticipated exportation or export earnings. The mere fact that a subsidy is granted to economic actors which export shall not for that reason alone be considered to be an export subsidy within the meaning of this provision.
( 55 ) The marketable risk countries are the United Kingdom, the Member States of the Union, Australia, Canada, Iceland, Japan, New Zealand, Norway, Switzerland, and the United States of America.
( 56 ) For greater certainty, this is without prejudice to Article 364(1) and (2).
( 57 ) For greater certainty, the law of the United Kingdom for the purposes of this Article does not include any law [i] having effect by virtue of section 2(1) of the European Communities Act 1972, as saved by section 1A of the European Union (Withdrawal) Act 2018, or [ii] passed or made under, or for a purpose specified in, section 2(2) of the European Communities Act 1972.
( 58 ) For the United Kingdom, this Article requires a new remedy of recovery which would be available at the end of a successful judicial review, in accordance with the standard of review under national law, commenced within the specified time period; such review is not expanded in any other way, in accordance with Article 372(3). No beneficiary would be able to raise a legitimate expectation to resist such recovery.
( 59 ) The Parties note that the United Kingdom will implement a new system of subsidy control subsequent to the entry into force of this Agreement.
( 60 ) National maritime cabotage covers: for the Union, without prejudice to the scope of activities which may be considered as cabotage under the relevant national legislation, transportation of passengers or goods between a port or point located in a Member State of the Union and another port or point located in that same Member State of the Union, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea, and traffic originating and terminating in the same port or point located in a Member State of the Union; for the United Kingdom, transportation of passengers or goods between a port or point located in the United Kingdom and another port or point located in the United Kingdom, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea, and traffic originating and terminating in the same port or point located in the United Kingdom.
( 61 ) For greater certainty, this paragraph shall not apply with respect to the purchase or sale of shares, stock or other forms of equity by a covered entity as a means of its equity participation in another enterprise.
( 62 ) For greater certainty, this Chapter and Article 411 do not apply to the Parties' law and standards relating to social security and pensions.
( 63 ) Each Party maintains its right to determine its priorities, policies and the allocation of resources in the effective implementation of the ILO Conventions and the relevant provisions of the European Social Charter in a manner consistent with its international commitments, including those under this Title. The Council of Europe, established in 1949, adopted the European Social Charter in 1961, which was revised in 1996. All Member States have ratified the European Social Charter in its original or revised version. For the United Kingdom, the reference to the European Social Charter in paragraph 5 refers to the original 1961 version.
( 64 ) For greater certainty, in this case the Party shall not have prior recourse to consultations in accordance with Article 738.
( 65 ) Such measures may include withdrawal or adjustment of the rebalancing measures, as appropriate.
( 66 ) Suspension of obligations under Article 749 shall be available only if rebalancing measures have in fact been applied.
( 67 ) The public security and public order exceptions may be invoked only where a genuine and sufficiently serious threat is posed to one of the fundamental interests of society.
( 68 ) For greater certainty, such determination shall be without prejudice to Title I of Part Six.
( 69 ) Measures that are aimed at ensuring the equitable or effective imposition or collection of direct taxes include measures taken by a Party under its taxation system which:
apply to non-resident service suppliers in recognition of the fact that the tax obligation of non-residents is determined with respect to taxable items sourced or located in the Party's territory; or
apply to non-residents in order to ensure the imposition or collection of taxes in the Party's territory; or
apply to non-residents or residents in order to prevent the avoidance or evasion of taxes, including compliance measures; or
apply to consumers of services supplied in or from the territory of the other Party or of a third country in order to ensure the imposition or collection of taxes on such consumers derived from sources in the Party's territory; or
distinguish service suppliers subject to tax on worldwide taxable items from other service suppliers, in recognition of the difference in the nature of the tax base between them; or
determine, allocate or apportion income, profit, gain, loss, deduction or credit of resident persons or branches, or between related persons or branches of the same person, in order to safeguard the Party's tax base.
( 70 ) Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 (recast) (OJ EU L 300, 14.11.2009, p. 88).
( 71 ) For greater certainty, the term "measure" includes failures to act.
( 72 ) This does not include natural persons residing in the territory referred to in Article 774(3).
( 73 ) The definition of natural person also includes persons permanently residing in the Republic of Latvia who are not citizens of the Republic of Latvia or any other state but who are entitled, under the law of the Republic of Latvia, to receive a non-citizen's passport.
( 74 ) For greater certainty, the "GPA" shall be understood to be the GPA as amended by the Protocol Amending the Agreement on Government Procurement, done at Geneva on 30 March 2012.
( 75 ) Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (recast) (OJ EU L 269, 10.10.2013, p. 1).
( 76 ) For greater certainty, for the Union, the areas beyond each Party's territorial sea shall be understood as the respective areas of the Member States of the Union.
( 77 ) Council Decision 2008/615/JHA of 23 June 2008 on the stepping up of cross-border cooperation, particularly in combating terrorism and cross-border crime (OJ EU L 210, 6.8.2008, p. 1).
( 78 ) Council Decision 2008/616/JHA of 23 June 2008 on the implementation of Decision 2008/615/JHA on the stepping up of cross-border cooperation, particularly in combating terrorism and cross-border crime (OJ EU L 210, 6.8.2008, p. 12).
( 79 ) Regulation (EU) 2016/794 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Law Enforcement Cooperation (Europol) and replacing and repealing Council Decisions 2009/371/JHA, 2009/934/JHA, 2009/935/JHA, 2009/936/JHA and 2009/968/JHA (OJ EU L 135, 24.5.2016, p. 53).
( 80 ) Regulation (EU) 2018/1727 of the European Parliament and of the Council of 14 November 2018 on the European Union Agency for Criminal Justice Cooperation (Eurojust), and replacing and repealing Council Decision 2002/187/JHA (OJ EU L 295, 21.11.2018, p. 138).
( 81 ) Council Framework Decision 2002/584/JHA of 13 June 2002 on the European arrest warrant and the surrender procedures between Member States (OJ EU L 190, 18.7.2002, p. 1).
( 82 ) Directive (EU) 2016/680 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, and on the free movement of such data, and repealing Council Framework Decision 2008/977/JHA (OJ EU L 119, 4.5.2016, p. 89).
( 83 ) 2018 chapter 12.
( 84 ) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (Text with EEA relevance) (OJ EU L 119, 4.5.2016, p. 1).
( 85 ) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ EU L 193, 30.7.2018, p. 1).
( 86 ) Decision No 541/2014/EU of the European Parliament and of the Council of 16 April 2014 establishing a Framework for Space Surveillance and Tracking Support (OJ EU L 158, 27.5.2014, p. 227).
( 87 ) For greater certainty, paragraphs 2 to 9 apply in respect of negotiations between the Union and a third country for accession to the Union taking place after the entry into force of this Agreement, notwithstanding the fact a request for accession took place before the entry into force of this Agreement.
( 88 ) As amended by the Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2020 (SI 2020/1586).
( 89 ) The quantities listed in each table in Section 2 are the entire quota quantities available (for exports from the Union to the United Kingdom, and for exports from the United Kingdom to the Union, respectively) for all the products listed in that table.
( 90 ) ECE/TRANS/WP.29/78/Rev.6 of 11 July 2017.
( 91 ) OJ EU L 311, 28.11.2001, p. 67.
( 92 ) OJ EU L 311, 28.11.2001, p. 1.
( 93 ) OJ EU L 121, 1.5.2001, p. 34.
( 94 ) OJ EU L 158, 27.5.2014, p. 1.
( 95 ) OJ EU L 136, 30.4.2004, p. 1.
( 96 ) OJ EU L 324, 10.12.2007, p. 121.
( 97 ) OJ EU L 262, 14.10.2003, p. 22.
( 98 ) OJ EU L 228, 17.8.1991, p. 70.
( 99 ) OJ EU L 238, 16.9.2017, p. 44.
( 100 ) OJ EU L 337, 25.11.2014, p. 1.
( 101 ) OJ EU L 238, 16.9.2017, p. 12.
( 102 ) References in this list to Retained Union law are deemed to be references to such legislation, as amended by the United Kingdom to apply to the United Kingdom.
( 103 ) OJ EU L 189, 20.7.2007, p. 1.
( 104 ) OJ EU L 250, 18.9.2008, p. 1.
( 105 ) OJ EU L 334, 12.12.2008, p. 25.
( 106 ) References in this list to Retained Union law are deemed to be references to such legislation, as amended by the United Kingdom to apply to the United Kingdom.
( 107 ) Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 (OJ EU L 347, 20.12.2013, p. 671).
( 108 ) Commission Delegated Regulation (EU) 2019/33 of 17 October 2018 supplementing Regulation (EU) No 1308/2013 of the European Parliament and of the Council as regards applications for protection of designations of origin, geographical indications and traditional terms in the wine sector, the objection procedure, restrictions of use, amendments to product specifications, cancellation of protection, and labelling and presentation (OJ EU L 9, 11.1.2019, p. 2).
( 109 ) Regulation (EU) No 1169/2011 of the European Parliament and of the Council of 25 October 2011 on the provision of food information to consumers, amending Regulations (EC) No 1924/2006 and (EC) No 1925/2006 of the European Parliament and of the Council, and repealing Commission Directive 87/250/EEC, Council Directive 90/496/EEC, Commission Directive 1999/10/EC, Directive 2000/13/EC of the European Parliament and of the Council, Commission Directives 2002/67/EC and 2008/5/EC and Commission Regulation (EC) No 608/2004 (OJ EU L 304, 22.11.2011, p. 18).
( 110 ) Commission Delegated Regulation (EU) 2019/934 of 12 March 2019 supplementing Regulation (EU) No 1308/2013 of the European Parliament and of the Council as regards wine-growing areas where the alcoholic strength may be increased, authorised oenological practices and restrictions applicable to the production and conservation of grapevine products, the minimum percentage of alcohol for by-products and their disposal, and publication of OIV files (OJ EU L 149, 7.6.2019, p. 1).
( 111 ) Commission Delegated Regulation (EU) 2018/273 of 11 December 2017 supplementing Regulation (EU) No 1308/2013 of the European Parliament and of the Council as regards the scheme of authorisations for vine plantings, the vineyard register, accompanying documents and certification, the inward and outward register, compulsory declarations, notifications and publication of notified information, and supplementing Regulation (EU) No 1306/2013 of the European Parliament and of the Council as regards the relevant checks and penalties, amending Commission Regulations (EC) No 555/2008, (EC) No 606/2009 and (EC) No 607/2009 and repealing Commission Regulation (EC) No 436/2009 and Commission Delegated Regulation (EU) 2015/560 (OJ EU L 58, 28.2.2018, p. 1).
( 112 ) For the purposes of this reservation:
( 113 ) Regulation (EU) 2017/1001 of the European Parliament and of the Council of 14 June 2017 on the European Union trade mark (OJ EU L 154, 16.6.2017, p. 1).
( 114 ) Council Regulation (EC) No 6/2002 of 12 December 2001 on Community designs (OJ EU L 3, 5.1.2002, p. 1).
( 115 ) Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of undertakings, amending Directive 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and 83/349/EEC (OJ EU L 182, 29.6.2013, p. 19).
( 116 ) Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directives 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC (OJ EU L 157, 9.6.2006, p. 87).
( 117 ) Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules for the operation of air services in the Community (OJ EU L 293 31.10.2008, p. 3).
( 118 ) 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 EU L 35, 4.2.2009, p. 47).
( 119 ) Directive 97/67/EC of the European Parliament and of the Council of 15 December 1997 on common rules for the development of the internal market of Community postal services and the improvement of quality of service (OJ EU L 15 21.1.1998, p. 14).
( 120 ) Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (OJ EU L 257 28.8.2014, p. 1).
( 121 ) Regulation (EU) 2017/352 of the European Parliament and of the Council of 15 February 2017 establishing a framework for the provision of port services and common rules on the financial transparency of ports (OJ EU L 57 3.3.2017, p. 1).
( 122 ) Council Directive 96/67/EC of 15 October 1996 on access to the groundhandling market at Community airports (OJ EU L 272, 25.10.1996, p. 36).
( 123 ) Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (OJ EU L 269, 10.10.2013, p. 1).
( 124 ) Regulation (EC) No 391/2009 of the European Parliament and the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (OJ EU L 131 28.5.2009, p. 11).
( 125 ) Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ EU L 302, 17.11.2009, p. 32).
( 126 ) Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (OJ EU L 174, 1.7.2011, p. 1).
( 127 ) Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ EU L 343 14.12.2012, p. 32).
( 128 ) Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (OJ EU L 300, 14.11.2009, p. 51).
( 129 ) Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market (OJ EU L 300, 14.11.2009, p. 72).
( 130 ) Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 (OJ EU L 300 14.11.2009, p. 88).
( 131 ) With regard to Austria the part of the most-favoured-nation treatment exemption regarding traffic rights covers all countries with whom bilateral agreements on road transport or other arrangements relating to road transport exist or may be considered in future.
( 132 ) Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 on common rules for the internal market for electricity and amending Directive 2012/27/EU (OJ EU L 158, 14.6.2019, p. 125).
( 133 ) Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC (OJ EU L 211, 14.8.2009, p. 94).
( 134 ) Directive 96/92/EC of the European Parliament and of the Council of 19 December 1996 concerning common rules for the internal market in electricity (OJ EU L 27, 30.1.1997, p. 20).
( 135 ) Directive 2003/54/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in electricity and repealing Directive 96/92/EC (OJ EU L 176, 15.7.2003, p. 37).
( 136 ) Directive 98/30/EC of the European Parliament and the Council of 22 June 1998 concerning common rules for the internal market in natural gas (OJ EU L 204, 21.7.1998, p. 1).
( 137 ) Paragraphs 1, 2 and 3 do not apply to the Member States that are not subject to the application of Directive 2014/66/EU of the European Parliament and of the Council of 15 May 2014 on the conditions of entry and residence of third-country nationals in the framework of an intra- corporate transfer (OJ EU L 157, 27.5.2014, p. 1) (the "ICT Directive").
( 138 ) Directive 2014/66/EU of the European Parliament and of the Council of 15 May 2014 on the conditions of entry and residence of third- country nationals in the framework of an intra-corporate transfer (OJ EU L 157, 27.5.2014, p. 1).
( 139 ) Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ EU L 94 28.3.2014, p. 243).
( 140 ) According to the EU Utilities Directive, a public undertaking is any undertaking over which the contracting authorities may exercise directly or indirectly a dominant influence by virtue of their ownership of it, their financial participation therein, or the rules which govern it. A dominant influence on the part of the contracting authorities shall be presumed when these authorities, directly or indirectly, in relation to an undertaking:
hold the majority of the undertaking's subscribed capital,
control the majority of the votes attaching to shares issued by the undertaking, or
can appoint more than half of the undertaking's administrative, management or supervisory body.
( 141 ) For greater certainty, levies do not include network charges or tariffs.
( 142 ) Commission Regulation (EU) 2015/1222 of 24 July 2015 establishing a guideline on capacity allocation and congestion management (OJ EU L 197, 25.7.2015, p. 24).
( 143 ) Established by Regulation (EU) No 1024/2012 of the European Parliament and of the Council of 25 October 2012 on administrative cooperation through the Internal Market Information System and repealing Commission Decision 2008/49/EC ("the IMI Regulation") (OJ EU L 316, 14.11.2012, p. 1).
( 144 ) Regulation (EU) No 1024/2012 of the European Parliament and of the Council of 25 October 2012 on administrative cooperation through the Internal Market Information System and repealing Commission Decision 2008/49/EC ("the IMI Regulation") (OJ EU L 316, 14.11.2012, p. 1).
( 145 ) Regulation (EU) No 165/2014 of the European Parliament and of the Council of 4 February 2014 on tachographs in road transport, repealing Council Regulation (EEC) No 3821/85 on recording equipment in road transport and amending Regulation (EC) No 561/2006 of the European Parliament and of the Council on the harmonisation of certain social legislation relating to road transport (OJ EU L 60, 28.2.2014, p. 1).
( 146 ) Commission Implementing Regulation (EU) 2016/799 of 18 March 2016 implementing Regulation (EU) No 165/2014 of the European Parliament and of the Council laying down the requirements for the construction, testing, installation, operation and repair of tachographs and their components (OJ EU L 139, 26.5.2016, p. 1).
( 147 ) Regulation (EU) No 165/2014 of the European Parliament and of the Council of 4 February 2014 on tachographs in road transport, repealing Council Regulation (EEC) No 3821/85 on recording equipment in road transport and amending Regulation (EC) No 561/2006 of the European Parliament and of the Council on the harmonisation of certain social legislation relating to road transport (OJ EU L 60, 28.2.2014, p. 1).
( 148 ) Council Regulation (EC) No 2135/98 of 24 September 1998 amending Regulation (EEC) No 3821/85 on recording equipment in road transport and Directive 88/599/EEC concerning the application of Regulations (EEC) No 3820/84 and (EEC) No 3821/85 (OJ EC L 274, 9.10.1998, p. 1).
( 149 ) Commission Implementing Regulation (EU) 2016/68 of 21 January 2016 on common procedures and specifications necessary for the interconnection of electronic registers of driver cards (OJ EU L 15, 22.1.2016, p. 51).
( 150 ) Austria (A), Belgium (B), Bulgaria (BG), Cyprus (CY), Croatia (HR), Czech Republic (CZ), Denmark (DK), Estonia (EST), Finland (FIN), France (F), Germany (D), Greece (GR), Hungary (H), Ireland (IRL), Italy (I), Latvia (LV), Lithuania (LT), Luxembourg (L), Malta (MT), Netherlands (NL), Poland (PL), Portugal (P), Romania (RO), Slovak Republic (SK), Slovenia (SLO), Spain (E), Sweden (S), United Kingdom (UK), to be completed/
( 151 ) Tick or complete as appropriate.
( 152 ) Tick or complete as appropriate.
( 153 ) Attach list if applicable.
( 154 ) Tick or complete as appropriate.
( 155 ) The authorising authority may request a full list of passenger pick-up and set-down points with full addresses to be attached separately to this application form.
( 156 ) Complete as appropriate/
( 157 ) "Full designated" means the handling of rare allelle values is included.
( 158 ) Council Implementing Decision (EU) 2019/968 of 6 June 2019 on the launch of automated data exchange with regard to DNA data in the United Kingdom (OJ EU L 156, 13.6.2019, p. 8).
( 159 ) Council Implementing Decision (EU) 2020/1188 of 6 August 2020 on the launch of automated data exchange with regard to dactyloscopic data in the United Kingdom (OJ EU L 265, 12.8.2020, p. 1).
( 160 ) This warrant must be written in, or translated into, one of the official languages of the executing State, when that State is known, or any other language accepted by that State.
( 161 ) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ EU L 193, 30.7.2018, p. 1).
( 162 ) For greater certainty and in particular for the purposes of this Protocol, it is understood that the term "person" includes any association of persons lacking the legal status of a legal person but recognized under applicable law as having the capacity to perform legal acts. It also includes any other legal arrangement of whatever nature and form, having legal personality or not, which conducts transactions which are subject to VAT or which is liable for the payment of the claims referred to in point (b) of Article PVAT.2(1) of this Protocol.
( 163 ) Regulation (EU) 2021/696 of the European Parliament and of the Council of 28 April 2021 establishing the Union Space Programme and the European Union Agency for the Space Programme and repealing Regulations (EU) No 912/2010, (EU) No 1285/2013 and (EU) No 377/2014 and Decision No 541/2014/EU (OJ L 170, 12.5.2021, p. 69).
( 164 ) Regulation (EU) 2021/695 of the European Parliament and of the Council of 28 April 2021 establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013 (OJ L 170, 12.5.2021, p. 1).
( 165 ) Council Decision (EU) 2021/764 of 10 May 2021 establishing the Specific Programme implementing Horizon Europe – the Framework Programme for Research and Innovation, and repealing Decision 2013/743/EU (OJ L 167 I, 12.5.2021, p. 1).
( 166 ) OJ L 189, 28.5.2021, p. 61.
( 167 ) OJ L 189, 28.5.2021, p. 91.
( 168 ) OJ L 433 I, 22.12.2020, p. 23.
( 169 ) Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, p. 1).
( 170 ) ‘Other actions’ might include prizes, financial instruments, provision of technical/scientific services by JRC, Subscriptions (OECD, Eureka, IPEEC, IEA, …), delegation agreements, Experts (evaluators, monitoring of projects).
( 171 ) International organisations would only be considered as non-intervention costs if they are final beneficiaries. This will not apply where an international organization is a coordinator of a project (distributing funds to other coordinators).
( 172 ) In accordance with Article 11(3) of Council Decision (EU) 2021/764 and its Annex I, Pillar III, section 1, the EIC Fund will manage only the ‘investment’ components of the EIC Accelerator support. United Kingdom entities may hence only participate in the grant or other non-repayable forms of support provided under the EIC Accelerator.