TRADE AND COOPERA TION AGREEMENT BET WEEN THE EUR OPEAN UNION AND THE 
EUR OPEAN ATOMIC ENER GY COMMUNIT Y, OF THE ONE PART , AND THE UNITED KINGDOM 
OF GREA T BRIT AIN AND NOR THERN IREL AND, OF THE OTHER PART  EN Offi cial Jour nal of the European Union L 444/14                                                                                                                                       31.12.2020   
 
  
PREAMBLE  ................................ ................................ ................................ ................................ ..... 19 
PART ONE: COMMON AND INSTITUTIONAL PROVISIONS  ................................ ..............................  22 
Title I: General provisions  ................................ ................................ ................................ .............  22 
Title II: Principles of interpretation and definitions  ................................ ................................ ...... 22 
Title III: Institutional framework  ................................ ................................ ................................ ... 23 
PART TWO: TRADE, TRANSPORT, FISHERIES AND OTHER ARRANGEMENTS  ................................ ... 31 
HEADING ONE: TRADE  ................................ ................................ ................................ ......................  31 
Title I: Trade in goods  ................................ ................................ ................................ ....................  31 
Title II: Services and investment  ................................ ................................ ................................ ... 88 
Title III: Digital trade  ................................ ................................ ................................ ....................  130 
Title IV: Capital movements, payments, transfers and temporary safeguard measures  ...........  137 
Title V: Intellectual property  ................................ ................................ ................................ .......  139 
Title VI: Public procurement  ................................ ................................ ................................ .......  162 
Title VII: Small and medium -sized enterprises  ................................ ................................ ............  168 
Title VIII: Energy  ................................ ................................ ................................ ..........................  171 
Title IX: Tran sparency  ................................ ................................ ................................ ..................  187 
Title X: Good regulatory practices and regulatory cooperation  ................................ .................  189 
Title XI: Level playing field for open and fair competition and sustainable development  .........  194 
Title XII: Exceptions  ................................ ................................ ................................ .....................  232 
HEADING TWO: AVIATION  ................................ ................................ ................................ ..............  237 
Title I: Air transport  ................................ ................................ ................................ .....................  237 
Title II: Aviation safety  ................................ ................................ ................................ ................  257 
HEADING THREE: ROAD TRANSPORT  ................................ ................................ ..............................  263 
Title I: Transport of goods by road  ................................ ................................ ..............................  263 
Title II: Transport of passengers by road  ................................ ................................ ....................  269 
HEADING FOUR: SOCIAL SECURITY COORDINATION AND VISAS FOR SHORT -TERM VISITS  ...........  278 
Title I: Social security coordination  ................................ ................................ .............................  278 
Title II: Visas for short -term visits  ................................ ................................ ...............................  278 
HEADING FIVE: FISHERIES  ................................ ................................ ................................ ...............  279 
HEADING SIX: OTHER PROVISIONS  ................................ ................................ ................................ . 293 
PART THREE: LAW ENFORCEMENT AND JUDICIAL COOPERATION IN CRIMINAL MATTERS  ...........  300 
Title I: General provisions  ................................ ................................ ................................ ...........  300 
Title II: Exchanges of DNA, fingerprints and vehicle registration data  ................................ .......  303 
Title III: Transfer and processing of passenger name record data ................................ ..............  309 
Title IV: Cooperation on operational information  ................................ ................................ ...... 320 
Title V: Coopera tion with Europol  ................................ ................................ ..............................  321 
Title VI: Cooperation with Eurojust  ................................ ................................ .............................  328 
 
16 
 Title VII: Surrender  ................................ ................................ ................................ ......................  332 
Title VIII: Mutual assistance  ................................ ................................ ................................ ........  349 
Title IX: Exchange of criminal record information  ................................ ................................ ...... 353 
Title X: Anti -money laundering and counter terrorist financing  ................................ .................  356 
Title XI: Freezi ng and confiscation  ................................ ................................ ..............................  359 
Title XII: Other provisions  ................................ ................................ ................................ ............  374 
Title XIII: Dispute settlement  ................................ ................................ ................................ ...... 379 
PART FOUR: THEMATIC COOPERATION  ................................ ................................ .......................  382 
Title I: Health security  ................................ ................................ ................................ .................  382 
Title II: Cyber security  ................................ ................................ ................................ .................  383 
PART FIVE: PARTICIPATION IN UNION PROGRAMMES, SOUND FINANCIAL MANAGEMENT AND 
FINANCIAL PROVISIONS  ................................ ................................ ................................ ..............  386 
PART SIX: DISPUTE SETTLEMENT AND HORIZONTAL PROVISIONS  ................................ ................  404 
Title I: Dispute settlement  ................................ ................................ ................................ ..........  404 
Title II: Basis for cooperation  ................................ ................................ ................................ ...... 418 
Title III: Fulfillment of obligations and safeguard measures  ................................ .......................  421 
PART SEVEN: FINAL PROVISIONS  ................................ ................................ ................................ . 423 
ANNEXES  ................................ ................................ ................................ ................................ .... 435 
ANNEX INST:  RULES OF PR OCEDURE OF THE PARTNERSHIP COUNCIL AND COMMITTEES  ..........  435 
ANNEX ORIG -1: INTRODUCTORY NOTES TO PRODUCT -SPECIFIC RULES OF ORIGIN  ......................  440 
ANNEX ORIG -2: PRODUCT SPECIFIC RULES OF ORIGIN  ................................ ................................ ... 448 
ANNEX ORIG -2A: ORIGIN QUOTAS AND ALTERNATIVES TO THE PRODUCT -SPECIFIC RULES OF 
ORIGIN IN ANNEX ORIG -2 [PRODUCT -SPECIFIC RULES OF ORIGIN]  ................................ ................  496 
ANNEX ORIG -2B: TRANSITIONAL PRODUCT -SPECIFIC RULES FOR ELECTRIC ACCUMULATORS AND 
ELECTRIFIED VEHICLES  ................................ ................................ ................................ ....................  499 
ANNEX ORIG -3: SUPPLIER’S DECLARATION  ................................ ................................ ....................  503 
ANNEX ORIG -4: TEXT OF THE STATEMENT ON ORIGIN  ................................ ................................ .. 507 
ANNEX ORIG -5: JOINT DECLARATION CONCERNING THE PRINCIPALITY OF ANDORRA  .................  509 
ANNEX ORIG -6: JOINT DECLARATION CONCERNING THE REPUBLIC OF SAN MARINO  ..................  510 
ANNEX SPS -1: CRITERI A REFERRED TO IN ARTICLE SPS.19(d)  ................................ .........................  511 
ANNEX TBT -1: MOTOR VEHICLES AND  EQUIPMENT AND PARTS THEREOF  ................................ ... 512 
ANNEX TBT -2: MEDICINAL PRODUCTS  ................................ ................................ ............................  517 
ANNEX TBT -3: CHEMICALS  ................................ ................................ ................................ ..............  529 
ANNEX TBT -4: ORGANIC PRODUCTS  ................................ ................................ ...............................  532 
ANNEX -TBT-5: TRADE IN WINE  ................................ ................................ ................................ .......  540 
ANNEX TBT -XX – ARRANGEMENT REFERRED TO IN ARTICLE TBT.9(4) FOR THE REGULAR EXCHANGE 
OF INFORMATION IN RELATION TO THE SAFETY OF NON -FOOD PRODUCTS AND RELATED 
PREVENTIVE, RESTRICTIVE AND CORRECTIVE MEASURES  ................................ ..............................  548 
 
17 
 ANNEX TBT -ZZ – ARRANGEMENT REFERRED TO IN ARTICLE TBT.9(5) FOR THE REGULAR EXCHANG E 
OF INFORMATION REGARDING MEASURES TAKEN ON NON -COMPLIANT NON -FOOD PRODUCTS, 
OTHER THAN THOSE COVERED BY ARTICLE TBT.9(4)  ................................ ................................ ..... 549 
ANNEX CUSTMS -1: AUTHORISED ECONOMIC OPERATORS  ................................ ............................  550 
ANNEX SERVIN -1: EXISTING MEASURES  ................................ ................................ .........................  555 
ANNEX SERVIN -2: FUTURE MEASURES  ................................ ................................ ...........................  669 
ANNEX SERVIN -3: BUSINESS VISITORS FOR ESTABLISHMENT PURPOSES, INTRA -CORPORATE 
TRANSFEREES AND SHORT -TERM BUSINESS VISITORS  ................................ ................................ ... 766 
ANNEX SERVIN -4: CONTRACTUAL SERVICE SUPPLIERS AND INDEPENDENT PROFESSIONALS  .......  772 
ANNEX SERVIN -5: MOVEMENT OF NATURAL PERSONS  ................................ ................................ . 793 
ANNEX SERVIN -6: GUIDELINES FOR ARRANGEMENTS ON THE RECOGNITION OF PROFESSIONAL 
QUALIFICATIONS  ................................ ................................ ................................ .............................  795 
ANNEX PPROC -1: PUBLIC PROCUREMENT  ................................ ................................ ......................  800 
ANNEX ENER -1: LISTS OF ENERGY GOODS, HYDROCARBONS AND RAW MATERIALS  ....................  805 
ANNEX ENER -2: ENERGY AND ENVIRONMENTAL SUBSIDIES  ................................ .........................  807 
ANNEX ENER -3: NON -APPLICATION OF THIRD -PARTY  ACCESS AND OWNERSHIP UNBUNDLING TO 
INFRASTRUCTURE  ................................ ................................ ................................ ...........................  808 
ANNEX ENER -4:  ALLOCATION OF ELECTRICITY INTERCONNECTOR CAPACITY AT THE DAY -AHEAD 
MARKET TIMEFRAME  ................................ ................................ ................................ ......................  809 
ANNEX AVSAF -1: AIRWORTHINESS AND ENVIRONMENT CERTIFICATION  ................................ ..... 811 
ANNEX ROAD -1: TRANSPORT OF GOODS BY ROAD  ................................ ................................ ........  826 
ANNEX ROAD -2: MODEL OF AUTHORISATI ON FOR AN INTERNATIO NAL REGU LAR AND SPECIAL 
REGULAR SERVICE  ................................ ................................ ................................ ...........................  911 
ANNEX  ROAD -3: MODEL OF APPLICATION FOR AN AUTHORISATION FOR AN INTERNATIONAL 
REGULAR AND SPECIAL  REGULAR SERVICE  ................................ ................................ .....................  915 
ANNEX ROAD -4: MODEL OF JOURNEY FORM FOR OCCASIONAL SERVICES  ................................ ... 917 
ANNEX FISH.1  ................................ ................................ ................................ ................................ .. 919 
ANNEX FISH.2  ................................ ................................ ................................ ................................ .. 922 
ANNEX FISH.3  ................................ ................................ ................................ ................................ .. 924 
ANNEX FISH.4: PROTOCOL ON ACCESS TO WATERS  ................................ ................................ .......  926 
ANNEX LAW -1: EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA  ...........  927 
ANNEX LAW -2:  PASSENGER NAME RECORD DATA  ................................ ................................ ...... 1019  
ANNEX LAW -3: FORMS OF CRIME FOR WHICH EUROPO L IS COMPETENT  ................................ ... 1021  
ANNEX LAW -4: FORMS OF SERIOUS CRI ME FOR WHICH EUROJUS T IS COMPETENT  ...................  1023  
ANNEX LAW -5: ARREST WARRANT  ................................ ................................ ...............................  1025  
ANNEX LAW -6: EXCHANGE OF CRIMINAL  RECORD INFORMATION –  TECHNICAL AND PRO CEDURAL 
SPECIFICATIONS  ................................ ................................ ................................ ............................  1033  
ANNEX LAW -7: DEFINITION OF TERROR ISM ................................ ................................ .................  1057  
ANNEX LAW -8: FREEZING AND CONFISCATION  ................................ ................................ ............  1061  
 
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 ANNEX UNPRO -1: IMPLEMENTATION OF THE FINANCIAL CONDITIONS  ................................ ...... 1078  
ANNEX INST: RULES OF PROCEDURE FOR DISPUTE SETTLEMENT  ................................ ................  1081  
ANNEX INST: CODE OF CONDUCT FOR ARBITRATORS  ................................ ................................ .. 1088  
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  ................................ ................................ ................................ ..............................  1091  
TITLE I: GENERAL PROVISIONS  ................................ ................................ ................................ .. 1091  
TITLE II: ADMINISTRATIVE COOPERATION AND COMBATING VAT FRAUD  ...............................  1095  
TITLE III: RECOVERY ASSISTANCE  ................................ ................................ ..............................  1100  
TITLE IV: IMPLEMENTATION AND APPLICATION  ................................ ................................ .......  1109  
TITLE V: FINAL PROVISIONS  ................................ ................................ ................................ .......  1110  
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  ................................ ................................ ................................ . 1112  
PROTOCOL ON MUTUAL ADMINISTRATIVE ASSISTANCE IN CUSTOMS MATTERS  .......................  1156  
PROTOCOL ON SOCIAL SECURITY COORDINATION  ................................ ................................ .... 1162  
TITLE I: GENERAL PROVISIONS  ................................ ................................ ................................ .. 1162  
TITLE II: DETERMINATION  OF THE LEGISLATION APPLICABLE  ................................ ..................  1168  
TITLE III: SPECIAL PROVISIONS CONCERNING THE VARIOUS CATEGORIES OF BENEFITS  .........  1172  
TITLE IV: MISCELLANEOUS PROVISIONS  ................................ ................................ ...................  1188  
TITLE V: FINAL PROVISIONS  ................................ ................................ ................................ .......  1192  
ANNEX SSC -1: CERTAIN BENEFITS IN CASH TO WHICH THE PROTOCOL SHALL NOT APPLY  .........  1194  
ANNEX SSC -2: RESTRICTION OF RIGHTS TO BENEFITS IN KIND FOR MEMBERS OF THE FAMILY OF A 
FRONTIER WORKER  ................................ ................................ ................................ .......................  1209  
ANNEX SSC -3: MORE RIGHTS FOR PENSIONERS RETURNING TO THE COMPETENT STATE  ..........  1210  
ANNEX SSC -4: CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED OR SHALL NOT 
APPLY  ................................ ................................ ................................ ................................ ............  1211  
ANNEX SSC -5: BENEFITS AND AGREEMENTS WHICH ALLOW THE APPLICATION OF ARTICLE SSC.49 
[Overlapping of benefits of the same kind]  ................................ ................................ ..................  1216  
ANNEX SSC -6: SPECIAL PROVISIONS FOR THE APPLICATION OF THE LEGISLATION OF THE MEMBER 
STATES AND OF THE UNITED KINGDOM  ................................ ................................ .......................  1219  
ANNEX SSC-7: IMPLEMENTING PART  ................................ ................................ ............................  1232  
ANNEX SSC -8: TRANSITIONAL PROVISIONS REGARDING THE APPLICATION OF ARTICLE SSC.11 
[Detached workers]  ................................ ................................ ................................ ......................  1276  
 
  
 
19 
 TRADE AND COOPERATION AGREEMENT BETWEEN THE EUROPEAN UNION AND THE 
EUROPEAN ATOMIC ENERGY COMMUNITY, OF THE ONE PART, AND THE UNITED KINGDOM 
OF GREAT BRITAI N 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,  
 
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 ag reements,  
RECOGNISING the importance of global cooperation to address issues of shared interest,  
RECOGNISING the importance of transparency in international trade and investment to the benefit of 
all stakeholders ,  
SEEKING to establish clear and mutually a dvantageous rules governing trade and investment 
between the Parties,  
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 th e 
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,  
BUILDING upon their respective rights and obligations under the Marrakesh Agreement Establishing 
the World Trade Organization, done on 15 April 1994, and other multila teral and bilateral 
instruments of cooperation,  
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 the ir respective high levels of protection,  
BELIEVING in the benefits of a predictable commercial environment that fosters trade and investment 
between them and prevents distortion of trade and unfair competitive advantages, in a manner 
conducive to sustainab le development in its economic, social and environmental  dimensions,  
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,  
 
20 
 RECOGNIS ING the need to ensure an open and secure market for businesses, including medium -sized 
enterprises, and their goods and services through addressing unjustified barriers to trade and 
investment,  
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,  
DESIRING that this Agreement contributes to consumer wel fare through policies ensuring a high level 
of consumer protection and economic well -being, as well as encouraging cooperation  between 
relevant authorities,  
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,  
RECOGNISING the benefits of trade and investment in energy and raw materials and the importance 
of supporting the delivery of cost efficie nt, clean and secure energy supplies to the Union and the 
United Kingdom,  
NOTING the interest of the Parties in establishing a framework to facilitate technical cooperation and 
develop new trading arrangements for interconnectors which deliver robust and e fficient outcomes 
for all timeframes,  
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,  
RECOGNISING the benefits of sustainable energy, rene wable energy, in particular offshore generation 
in the North Sea, and energy efficiency,  
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 in cluding the continued 
sustainable management of the shared stocks,  
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 inte rnational law,  
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 an d in accordance with the principles of international law, including the 
United Nations Convention on the Law of the Sea of 10 December 1982,  
RECOGNISING the importance of the coordination of social security rights enjoyed by persons moving 
between the Part ies to work, to stay or to reside, as well as the rights enjoyed by their family 
members and survivors,  
CONSIDERING that cooperation in areas of shared interest, such as science, research and innovation, 
nuclear research or space, in the form of the parti cipation of the United Kingdom in the 
corresponding Union programmes under fair and appropriate conditions will benefit both Parties,  
 
21 
 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,  
DESIRING that  an agreement is concluded between the United Kingdom and the Union to provide a 
legal base for such cooperation,  
ACKNOWLEDGING that the Parties may supplement this Agreement with other agreements forming 
an integral part of their overall bilateral relatio ns 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:  
 
 
  
 
22 
 PART ONE: COMMON AND INSTITUTIONAL PROVISIONS  
TITLE I: GENERAL PRO VISIONS  
Article COMPROV.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 COMPROV.2: Supplementing agreements   
1. Where the Union and the United Kingdom conclude other bilateral agreements between 
them, such agreements shall constitute supplementing agreements to this Agreement, unless 
otherwise provided for in those agreements. Such supplementing agreements shall be an integral 
part of the overall bilateral relations as governed by this Agreement and shall form part of the 
overall framework.  
2. Paragraph  1 also applies to:  
(a) agreements between the Union and its Member States, of the one part, and the United 
Kingdom, of the other part; and  
(b) agreements between Euratom, of the one part, and the United Kingdom, of the other part.  
Article COMPROV.3: Good faith  
1. The Parties shall, in full mutual respect and good faith, assist each other in carrying out tasks 
that flow from this Agreement and a ny supplementing agreement.  
2. They shall take all appropriate measures, whether general or particular, to ensure the 
fulfilment of the obligations arising from this Agreement and from any supplementing agreement, 
and shall refrain from any measures which  could jeopardise the attainment of the objectives of this 
Agreement or any  supplementing agreement.  
TITLE II: PRINCIPLES  OF INTERPRETATION A ND DEFINITIONS  
Article COMPROV.13: Public international law  
1. The provisions of this Agreement and any supplement ing agreement shall be interpreted in 
good faith in accordance with their ordinary meaning in their context and in light of the object and 
purpose of the agreement in accordance with customary rules of interpretation of public 
international law, including those codified in the Vienna Convention on the Law of Treaties, done at 
Vienna on 23 May 1969.  
2. For greater certainty , neither this Agreement nor any supplementing agreement establishes 
an obligation to interpret their provisions in accordance with the d omestic law of either Party.  
3. For greater  certainty, an interpretation of this Agreement or any supplementing agreement 
given by the courts of either Party shall not be binding on the courts of the other Party.  
 
23 
 Article COMPROV.16: Private rights  
1. Without prejudice to Article MOBI.SSC.67 [Protection of individual rights] and with the 
exception, with regard to the Union, of Part Three [Law enforcement and judicial cooperation ],  
nothing in this Agreement or any supplementing agreement shall be constr ued as conferring rights 
or imposing obligations on persons other than those created between the Parties under public 
international law, nor as permitting this Agreement or any supplementing agreement to be directly 
invoked in the domestic legal systems of  the Parties.  
2. A Party shall not provide for a right of action under its law against the other Party on the 
ground that  the other Party has acted in breach of this Agreement or any supplementing agreement.  
Article COMPROV.17: Definitions   
1. For the pur poses of this Agreement and any supplementing agreement, and unless 
otherwise specified, the following definitions apply :  
(a) “data subject” means an identified or identifiable natural person; an identifiable person being 
a person who can be identified, direc tly 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;  
(b) “day” means a calendar day;  
(c) “Member State” means a Member State of the European Union;  
(d) “personal data” means any information relating to a data subject;  
(e) “State” means a Member State or the United Kingdom, as the context r equires;  
(f) “territory” of a Party means in respect of each Party the territories to which the Agreement 
applies in accordance with Article FINPROV.1 [Territorial scope];  
(g) “the transition period” means the transition period provided for in Article 126 of the 
Withdrawal Agreement; and  
(h) “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.  
2. Any reference t o the “Union”, “Party” or “Parties” in this Agreement or any supplementing 
agreement shall be understood as not including the European Atomic Energy Community, unless 
otherwise specified or where the context otherwise requires.  
TITLE III: INSTITUTI ONAL FRA MEWORK  
Article INST.1: Partnership Council  
1. A Partnership Council is hereby established. It shall comprise representatives of the Union 
and of the United Kingdom. The Partnership Council may meet in different configurations depending 
on the matters under  discussion.  
 
24 
 2. The Partnership Council shall be co -chaired by a Member of the European Commission and a 
representative of the  Government of the United Kingdom at ministerial level. It shall meet at the 
request of the Union or the United Kingdom, and, in any event, at least once a year, and shall set its 
meeting schedule and its agenda by mutual consent.  
3. The Partnership Council shall oversee the attainment of the objectives of this Agreement 
and any supplementing agreement. It shall supervise and facil itate the implementation and 
application of this Agreement and of any supplementing agreement. Each Party may refer to the 
Partnership Council any issue relating to the implementation, application and interpretation of this 
Agreement or of any supplementin g agreement.  
4. The Partnership  Council shall have the power to:  
(a) adopt decisions in respect of all matters where this Agreement or any supplementing 
agreement so provides;  
(b) make recommendations to the Parties regarding the implementation and application of this 
Agreement or of any supplementing agreement;  
(c) 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;  
(d) except in relation to Title III [Institut ional Framework] of Part One [Common and institutional 
provisions], 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;  
(e) discuss any matter related to the areas covered by this Agreement or by any supplementing 
agreement;  
(f) delegate certain of its powers to the Trade Partnership Committee or to a Spe cialised 
Committee, except those powers and responsibilities referred to in point (g) of Article 
INST.1(4) [Partnership Council];  
(g) by decision, establish Trade Specialised Committees and Specialised Committees, other than 
those referred to in Article INST. 2(1) [Committees], dissolve any Trade Specialised Committee 
or Specialised Committee, or change the tasks assigned to them; and  
(h) make recommendations to the Parties regarding the transfer of personal data in  specific  areas 
covered by this Agreement  or any  supplementing  agreement.   
5. The work of the Partnership Council shall be governed by the rules of procedure set out in 
ANNEX INST -1 [Rules of Procedure of the Partnership Council and Committees]. The Partnership 
Council may amend that Annex.  
Article INST. 2: Committees  
1. The following Committees are hereby established:  
 
25 
 (a) the Trade Partnership Committee, which addresses matters covered by Titles I to VII, Chapter 
4 [Energy goods and raw materials] of Title VIII, Titles IX to XII of Heading One [Trade] of Part  
Two, Heading Six [Other provisions] of Part Two, and Annex ENER -2 [ENERGY AND 
ENVIRONMENTAL SUBSIDIES] ; 
(b) the Trade Specialised Committee on Goods which addresses matters covered by Chapter 1 of 
Title I of Heading One of Part Two and Chapter four [Energy go ods and raw materials] of Title 
VIII of Heading One of Part Two;  
(c) 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 a dministrative assistance in customs matters and the provisions on 
customs enforcement of intellectual property rights, fees and charges, customs valuation and 
repaired goods;  
(d) the Trade Specialised Committee on Sanitary and Phytosanitary Measures, which add resses 
matters covered by Chapter 3 of Title I of Heading One of Part Two;  
(e) 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 ENER.25 [Cooperation 
on standards] of Title VIII [Energy] of Heading One of Part Two;  
(f) 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 [Energy Goods 
and Raw Mat erials] of Title VIII of Heading One of Part Two;  
(g) the Trade Specialised Committee on Intellectual Property, which addresses matters covered 
by  Title V of Heading One of Part Two;  
(h) the Trade Specialised Committee on Public Procurement, which addresses matte rs covered by 
Title VI of Heading One of Part Two;  
(i) the Trade Specialised Committee on Regulatory Cooperation, which addresses matters 
covered by Title X of Heading One of Part Two;  
(j) 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 ENER -2 [ENERGY AND ENVIRONMENTAL SUBSIDIES];  
(k) the Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxe s 
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;]  
(l) the Specialised Committee  on Energy,  
(i) which addresses matters covered by Title VIII of Heading One of Part Two, with the 
exception of Chapter 4 [Energy Goods and Raw Materials], Article ENER.25 
[Cooperation on Standards] and Annex ENER -2 [ENERGY AND ENVIRONMENTAL 
SUBSIDIES], and  
 
 
26 
 (ii) which can discuss and provide expertise to the relevant Trade Specialised Committee 
on matters pertaining to Chapter four [Energy Goods and Raw Materials] and Article 
ENER.25 [Cooperation on Standards] of Title VIII of Heading One of Part Two;  
(m) the Specialised  Committee on Air Transport, which addresses matters covered by Title I of 
Heading Two of Part Two;  
(n) the Specialised Committee on Aviation Safety, which addresses matters covered by Title II of 
Heading Two of Part Two;  
(o) the Specialised Committee on Road Transport, which addresses matters covered by Heading 
Three [Road Transport] of Part Two;  
(p) the Specialised Committee on Social Security Coordination, which addresses matters covered 
by Heading Four of Part Two and the Protocol on Social Security Coordinatio n; 
(q) the Specialised Committee on Fisheries, which addresses matters covered by Heading Five      
[Fisheries] of Part Two;  
(r) the Specialised Committee on Law Enforcement and Judicial Cooperation, which addresses 
matters covered by Part Three [Law enforceme nt and judicial cooperation in criminal 
matters]; and  
(s) the Specialised  Committee on Participation in Union Programmes, which addresses matters 
covered by Part Five [Union programmes].  
2. With respect to issues related to Titles I to VII, Chapter 4 [Energy g oods and raw materials] 
of Title VIII, Titles IX to XII of Heading One [Trade] of Part Two, Heading Six [Other provisions] of Part 
Two and Annex ENER -2 [ENERGY AND ENVIRONMENTAL SUBSIDIES] , the Trade Partnership 
Committee referred to in paragraph 1 of this  Article shall have the power to:  
(a) 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;  
(b) supervise the implementation of this Agreement or a ny supplementing agreement;  
(c) 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;  
(d) supervise the work of the Trade Specialised Comm ittees referred to in paragraph 1 of this 
Article;  
(e) 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 T itle I [Dispute settlement] of Part Six ;  
(f) exercise the powers delegated to it by the Partnership Council pursuant to point (f) of Article 
INST.1(4) [Partnership Council];  
 
27 
 (g) 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  
(h) establish, supervise, coordinate and dissolve Working Groups, or delegate their supervision to 
a Trade Specialised  Committee.  
3. With resp ect to issues related to their area of competence, Trade Specialised Committees 
shall have the power to:  
(a) monitor and review the implementation and ensure the proper functioning of this Agreement 
or any supplementing agreement;  
(b) 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;  
(c) 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;  
(d) adopt decisions in respect of all matters where this Agreement or any supplementing 
agreement so provides;  
(e) discuss technical issues arising from the i mplementation of this Agreement or of any 
supplementing agreement, without prejudice to Title I [Dispute Settlement] of Part Six; and  
(f) provide a forum  for the Parties to exchange information, discuss best practices and share 
implementation experience.  
4. With respect to issues related to their area of competence, Specialised Committees shall 
have the power to:  
(a) monitor and review the implementation and ensure the proper functioning of this Agreement 
or any supplementing agreement;  
(b) 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;  
(c) adopt decisions, including amendments, and recommendations in respect of all matters where 
this Agreement or any su pplementing agreement so provides or for which the Partnership 
Council has delegated its powers to a Specialised Committee in accordance with point (f) of 
Article INST.1(4) [Partnership Council];  
(d) discuss technical issues arising from the implementation of this Agreement or any 
supplementing agreement;  
(e) provide a forum for the Parties to exchange information, discuss best practices and share 
implementation experience;  
(f) establish, supervise, coordinate and dissolve Working Groups; and  
 
28 
 (g) provide a forum for consul tation pursuant to Article INST.13(7) [Consultations] of Title I 
[Dispute Sett lement] of Part Six.  
5. Committees shall comprise representatives of each Party. Each Party shall ensure that its 
representatives on the Committees have the appropriate expertise  with respect to the issues under 
discussion.  
6. The Trade Partnership Committee shall be co -chaired by a senior representative of the 
Union and a representative of the United Kingdom with responsibility for trade -related matters, or 
their designees. It sh all meet at the request of the Union or the United Kingdom, and, in any event, 
at least once a year, and shall set its meeting schedule and its agenda by mutual consent.  
7. The Trade Specialised Committees and the Specialised Committees shall be co -chaire d by a 
representative of the Union and a representative of the United Kingdom . Unless otherwise provided 
for in this Agreement, or unless the co -chairs decide otherwise, they shall meet at least once a year.  
8. Committees shall set their meeting schedule and agenda by mutual consent.  
9. The work of the Committees shall be governed by the rules of procedure set out in ANNEX 
INST -X [Rules of Procedure of the Partnership Council and Committees].  
10.  By derogation from paragraph 9, a Committee may adopt and subsequently amend its own 
rules that shall govern its work.  
Article INST.3: Working Groups  
1. The following Working Groups are hereby established:  
(a) the Working Group on Organic Products, under the supervision of the Trade Specialised 
Committee on Techn ical Barriers to Trade;  
(b) the Working Group on Motor Vehicles and Parts, under the supervision of the Trade Specialised 
Committee on Technical Barriers to Trade;  
(c) the Working Group on Medicinal Products, under the supervision of the Trade Specialised 
Committee on Technical Barriers to Trade;  
(d) the Working Group on Social Security Coordination, under the supervision of the Specialised 
Committee on Social Security Coordination;  
2. Working Groups shall, under the supervision of Committees, assist Commit tees in the 
performance of their tasks and, in particular, prepare the work of Committees and carry out any task 
assigned to them by the latter.  
3. Working Groups shall comprise representatives of the Union and of the United Kingdom and 
shall be co -chaired  by a representative of the Union and a representative of the United Kingdom .  
4. Working Groups shall set their own rules of procedure, meeting schedule and agenda by 
mutual consent.  
 
29 
 Article INST.4: Decisions and recommendations  
1. The decisions adopted by the Partnership Council, or, as the case may be, by a Committee, 
shall be binding on the Parties and on all the bodies set up under this Agreement and under any 
supplementing agreement, including the arbitration tribunal referred to in Title I [Dispute 
settlement] of Part Six. Recommendations shall have no binding force.  
2. The Partnership Council or, as the case may be, a Committee, shall adopt decisions and 
make recommendations by mutual consent.  
Article INST.5: Parliamentary cooperation  
1. The Europea n Parliament and the Parliament of the United Kingdom may establish a 
Parliamentary Partnership Assembly consisting of Members of the European Parliament and of 
Members of the Parliament of the United Kingdom, as a forum to exchange views on the 
partnershi p. 
2. Upon its establishment, the Parliamentary Partnership Assembly:  
(a) 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 t he requested information;  
(b) shall be informed of the decisions and recommendations of the Partnership Council; and  
(c) may make recommendations  to the Partnership Council.  
Article INST.6: 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 INST.7 [Domestic advisory groups] and INST.8 [Civil 
Society Forum] .   
Article INST.7: Domestic advisory groups  
1. Each Party shall consult on issues covered by this Agreement and any supplementing 
agreement its newly created or existing domestic advisory group or groups comprising a 
representation of independent civil so ciety organisations including non -governmental organisations, 
business and employers' organisations, as well as trade unions, active in economic, sustainable 
development, social, human rights, environmental and other matters. Each Party may convene its 
dom estic advisory group or groups in different configurations to discuss the implementation of 
different provisions of this Agreement or of any supplementing agreement.  
2. Each Party shall consider views or recommendations submitted by its domestic advisory 
group or groups. Representatives of each Party shall aim to consult with their respective domestic 
advisory group or groups at least once a year. Meetings may be held by virtual means.  
3. In order to promote public awareness of the domestic advisory groups,  each Party  shall 
endeavour to publish the list of organisations participating in its domestic advisory group or groups 
as well as the contact point for that or those groups.  
 
30 
 4. The Parties shall promote interaction between their respective domestic advis ory groups, 
including by exchanging where possible the contact details of members of their domestic advisory 
groups.  
Article INST.8: Civil Society Forum  
1. The Parties shall facilitate the organisation of a Civil Society Forum to conduct a dialogue on 
the implementation of Part Two of this Agreement. The Partnership Council shall adopt operational 
guidelines for the conduct of the Forum.  
2. The Civil Society Forum shall meet at least once a year, unless otherwise agreed by the 
Parties. The Civil Society For um may meet by virtual means.  
3. The Civil Society Forum shall be open for the participation of independent civil society 
organisations established in the territories of the Parties, including members of the domestic 
advisory groups referred to in Article INST.7 [Domestic advisory groups]. Each Party shall promote a 
balanced representation, including non -governmental organisations, business and employers´ 
organisations and trade unions, active in economic, sustainable development, social, human rights, 
envi ronmental and other matters.  
 
  
 
31 
 PART TWO: TRADE, TRANSPORT, FISHERIES AND OTHER ARRANGEMENTS  
HEADING ONE: TRADE  
TITLE I: TRADE IN GO ODS  
Chapter 1: National treatment and market access for goods (including trade remedies)  
Article GOODS.1: Objective  
The obje ctive 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 GOODS.2: Scope  
Except as otherwise provided, this Chapter applies to trade in goods of a Party.  
Article GOODS.3: Definitions  
For the purposes of this Chapter, the following definitions apply:  
(a) “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;  
(b) “Customs Valua tion Agreement” means the Agreement on Implementation of Article VII of 
GATT 1994;  
(c) “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, requ iring 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;  
(d) “import licensing procedure” means a n 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;  
(e) “originating goods” means, unless otherwise provided, a good qualifying under the rules  of 
origin set out in Chapter 2 [Rules of origin] of this Title;  
(f) “performance requirement” means a requirement  that:  
(i) a given quantity, value or percentage of goods be exported;  
(ii) goods of the Party granting an import licence be substituted for imported goods;  
 
32 
 (iii) 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;  
(iv) a person benefiting from an import licence produce goods in the territory of the Party 
granting the impor t licence, with a given quantity, value or percentage of domestic 
content; or  
(v) 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;  
(g) “remanufactured  good” means a good classified in HS Chapters 32, 40, 84 to 90, 94 or 95 that:  
(i) is entirely or partially composed of parts obtained from used goods;  
(ii) has similar life expectancy and performance compared with such goods, when new; 
and  
(iii) is given an equivalen t warranty to as that applicable to such goods when new; and  
(h) “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 co mpliance 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:  
(i) destroys the essential characteristics of a good, or creates a new or commercially 
different good;  
(ii) transforms an unfinished good into a finished good; or  
(iii) is used to improve or upgrade the technical performance of a good.  
Article GOODS.3A: 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 GOODS.4: National treatment on internal taxat ion 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 this end, Article III of GATT 
1994 and its Notes and Supplementar y Provisions are incorporated into and made part of this 
Agreement, mutatis mutandis .  
Article GOODS.4A: Freedom of transit  
Each Party shall accord freedom of transit  through its territory, via the routes most convenient for 
international transit, for traf fic in transit to or from the territory of the other Party or of any other 
third country. To this 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 un derstand that 
 
33 
 Article V of GATT 1994 includes the movement of energy goods via inter alia  pipelines or electricity 
grids.  
Article GOODS.5: Prohibition of customs duties  
Except as otherwise provided for in this Agreement, customs duties on all goods origin ating in the 
other Party shall be prohibited .  
Article GOODS.6: Export duties, taxes or other charges  
1. A Party may not adopt or maintain any duty, tax or other charge of any kind imposed on, or 
in connection with, the exportation of a good to the other Part y; or any internal tax or other charge 
on a good exported to the other Party that is in excess of the tax or charge that would be imposed 
on like goods when destined  for domestic consumption.  
2. For the purpose of this Article,  the term ‘other charge of any kind’ does not include fees or 
other charges that are permitted under Article GOODS.7 [Fees and formalities].  
Article GOODS.7: Fees and formalities  
1. Fees and other charges imposed by a Party on or in connection with importation or 
exportation of a good of the other Party shall be limited in amount to the approximate cost of the 
services rendered, and shall not represent an indirect protection to domestic goods or taxation of 
imports or exports for fiscal purposes. A Party shall not levy fees or other charge s on or in 
connection with importation or exportation on an ad valorem  basis.  
2. Each Party may impose charges  or recover costs only where specific services are rendered, in 
particular, but not limited to, the following:  
(a) attendance, where  requested, by customs staff outside official office hours or at premises 
other than customs premises;  
(b) 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 in formation or the provision of 
information concerning  the application of the customs laws and regulations;  
(c) the examination or sampling of goods for verification purposes, or the destruction of goods, 
where  costs other than the cost of using customs staff a re involved; and  
(d) exceptional  control measures, if these are necessary due to the nature of the goods or to a 
potential risk.  
3. Each Party shall promptly publish all fees and charges it imposes in connection with 
importation or exportation via an official web site in such  a manner as to enable governments, 
traders and other interested parties, to become acquainted with them. That information shall 
include the reason for the fee or charge for the service provided, the responsible authority, the fees 
and charges that will be applied, and when and how payment is to be made. New or amended fees 
and charges shall not be imposed until information in accordance with this paragraph has been 
published and made readily available.  
4. A Party shall not require consular  transactions, including related fees and charges, in 
connection with the importation of any good of the other  Party.  
 
34 
 Article GOODS.8: Repaired goods  
1. A Party  shall not apply a customs duty to a good, regardless of its origin, that re -enters the 
Party’s ter ritory after that good has been temporarily exported from its territory to the territory of 
the other Party for repair.  
2. Paragraph 1 does not apply to a good imported in bond, into free trade zones, or in similar 
status, that is then exported for repair an d is not re -imported in bond, into free trade zones, or in 
similar status.  
3. A Party shall not apply  a customs duty to a good, regardless of its origin, imported 
temporarily from the territory of the other Party for repair.   
Article GOODS.9: Remanufactured goods  
1. A Party shall not accord to remanufactured goods of the other Party treatment that is less 
favourable than that which it accords to equivalent goods in new condition.  
2. Article GOODS.10 [Import and export restrictions] applies to import and export pro hibitions 
or restrictions on remanufactured goods. If a Party adopts or maintains import and export 
prohibitions or restrictions on used goods, it shall not apply those measures to remanufactured 
goods.  
3. A Party may require that remanufactured goods be ide ntified as such for distribution or sale 
in its territory and that they meet all applicable technical requirements that apply to equivalent 
goods in new condition .  
Article GOODS.10: Import and export restrictions  
1. A Party shall not adopt or maintain any pr ohibition or restriction on the importation of any 
good of the other Party or on the exportation or sale for export  of any good destined for the 
territory of the other Party, except in accordance with Article XI of GATT 1994, including its Notes 
and Supple mentary Provisions. To this end, Article XI of GATT 1994 and its Notes and Supplementary 
Provisions are incorporated into and made part of this Agreement, mutatis mutandis .  
2. A Party shall not adopt  or maintain:  
(a) export and import price requirements, except as permitted in enforcement of countervailing 
and anti -dumping duty orders and undertakings; or  
(b) import  licensing conditioned on the fulfilment of a performance requirement.  
Article GOODS.11: 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.  
 
35 
 Article GOODS. 13: Import licensing procedures  
1. Each Party shall ensure that all import licensing procedures applicable to trade in goods 
between the Parties are neutral in application, and are administered in a fair, equitable, non -
discriminatory a nd transparent manner.  
2. A Party shall only adopt or maintain licensing procedures as a condition for importation into 
its territory from the territory of the other Party, if other appropriate procedures to achieve an 
administrative purpose are not reasonabl y available.  
3. A Party shall not adopt or maintain any non -automatic import licensing procedure, unless it 
is necessary to implement a measure that is consistent with this Agreement. A Party adopting such 
non-automatic import licensing  procedure shall indica te clearly the measure being implemented 
through that procedure.  
4. Each Party shall introduce and administer any import licensing procedure  in accordance with 
Articles 1 to 3 of the WTO Agreement on Import Licensing Procedures (‘the Import Licensing 
Agreemen t’). To this end, Articles  1 to 3 of the Import Licensing Agreement are incorporated into 
and made part of this Agreement mutatis mutandis . 
5. Any Party introducing or modifying any import licensing procedure shall make all relevant 
information available online on an official website. That information shall be made available, 
whenever practicable, at least 21 days prior to the date of the applicatio n of the new or modified 
licensing procedure and in any event no later than the date of application. That information shall 
contain the data required under Article 5 of the Import Licensing Agreement.  
6. At the request of the other Party, a Party shall prompt ly provide any relevant information 
regarding any import  licensing procedures that it intends to adopt or that it maintains, including the 
information referred to in Articles 1 to 3 of the Import Licensing Agreement.  
7. For greater certainty, nothing in this Article requires a Party to grant an import licence, or 
prevents a Party from implementing its obligations or commitments under United Nations Security 
Council Resolutions or under multilateral non -proliferation regimes and import control 
arrangements.   
Article GOODS. 14: Export licensing procedures  
1. Each Party shall publish any new export licensing procedure, or any modification to an 
existing export licensing procedure, in such a manner as to enable governments, traders and other 
interested parties to beco me acquainted with them. Such publication shall take place, whenever 
practicable, 45 days before the procedure or modification takes effect, and in any case no later than 
the date such procedure or modification takes effect and, where appropriate, publicat ion shall take 
place on any relevant government websites.  
2. The publication of export licensing procedures shall include the following information:  
(a) the texts of its export licensing procedures, or of any modifications it makes to those 
procedures;  
(b) the goods  subject to each licensing procedure;  
 
36 
 (c) 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 mainta ining an investment, or operating through a particular form of 
establishment in a Party’s territory;  
(d) a contact point or points from which interested persons can obtain further information on the 
conditions for obtaining an export licence;  
(e) the administrati ve body or bodies to which an application or other relevant documentation 
are to be submitted;  
(f) a description of any  measure or measures being implemented through the export licensing 
procedure;   
(g) the period during which each export licensing procedure wil l be in effect, unless the 
procedure remains in effect until withdrawn or revised in a new publication;  
(h) 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  
(i) 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.  
3. Within 45 days after the date of e ntry into force of this Agreement, each Party shall notify 
the other Party of its existing export licensing procedures. Each Party shall notify to the other Party 
any new export licensing procedures  and any modifications to existing export licensing proced ures 
within 60 days of publication. The notification shall include a reference to the sources where the 
information required pursuant to paragraph 2 is published and shall include, where appropriate, the 
address of the relevant government websites.  
4. For gre ater certainty, nothing in this Article requires a Party to grant an export licence, or 
prevents a Party from implementing its commitments under United Nations Security Council 
Resolutions as well as under multilateral non -proliferation regimes and export control arrangements  
including the Wassenaar Arrangement on Export  Controls for Conventional Arms and Dual -Use 
Goods and Technologies, the Australia Group, the Nuclear Suppliers Group, and the Missile 
Technology Control Regime, or from adopting, maintainin g or implementing independent  sanctions 
regimes.  
Article GOODS.15: 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 this end, 
Article VII of GATT 1994 including its Notes and Supplementar y 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 GOODS.16: Preference utilisation  
1. For the purpose of monitoring the fu nctioning of this Agreement and calculating preference 
utilisation rates, the Parties shall annually exchange import statistics for a 10 year -long period 
starting one year after the entry into force of this Agreement. Unless the Trade Partnership 
 
37 
 Committee  decides otherwise, this period shall  be automatically extended for five years, and 
thereafter the Trade Partnership Committee may decide to extend it further.  
2. The exchange of import statistics shall cover data pertaining to the most recent year 
available,  including value and, where applicable, volume, at the tariff line level for imports of goods 
of the other Party benefitting from preferential duty treatment under this Agreement and for those 
that receive non -preferential treatment.  
Article GOODS.17: Tra de Remedies  
1. The Parties affirm their rights and obligations under Article VI of GATT 1994, the Anti -
Dumping Agreement, the SCM Agreement, Article XIX of GATT 1994,  the Safeguards Agreement , and 
Article 5 of the Agreement on Agriculture.  
2. Chapter 2 [Rules of origin] of this Title does not apply  to anti -dumping, countervailing and 
safeguard investigations and measures.  
3. Each  Party shall apply anti -dumping and countervailing measures in accordance with the 
requirements of the Anti -Dumping Agre ement and the SCM Agreement, and pursuant to a fair and 
transparent process.   
4. Provided it does not unnecessarily delay the conduct of the investigation, each interested 
party  in an anti -dumping or countervailing investigation1 shall be granted a full oppo rtunity to 
defend its interests.   
5. Each Party's investigating authority may, in accordance with the Party's law, consider 
whether the amount of the anti -dumping duty to be imposed shall be the full margin of dumping or 
a lesser amount.  
6. Each Party's  investig ating authority shall, in accordance with the Party’s law, consider 
information provided as to whether imposing an anti -dumping or a countervailing duty would not be 
in the public interest.  
7. A Party shall not apply or maintain, with respect to the same good , at the same time:  
(a) a measure pursuant to Article 5 of the Agreement on Agriculture; and   
(b) a measure pursuant to Article XIX of GATT 1994 and the Safeguards Agreement.  
8. Title I [Dispute settlement] of Part Six does not apply to paragraphs 1 to 6 of this Art icle. 
Article GOODS.18: Use of existing WTO tariff rate quotas  
1. Products originating in one Party shall not be eligible to be imported into the other Party 
under existing WTO Tariff Rate Quotas (‘TRQs’) as defined in paragraph 2. This shall include those 
TRQs as being apportioned between the Parties pursuant to Article XXVIII GATT negotiations 
initiated by the European Union in WTO document G/ SECRET /42/Add.2 and by the UK in WTO 
document G/SECRET/44 and as set out in each Party’s respective internal legislat ion. For the 
                                                            
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.  
 
38 
 purposes of this Article, the originating status of the products shall be determined on the basis of 
non-preferential rules of origin applicable in the importing Party.  
2. For the purposes of paragraph 1, ‘existing WTO TRQs’ means those tariff ra te quotas which 
are WTO concessions of the European Union included in the draft EU28 schedule of concessions and 
commitments under GATT 1994  submitted to the WTO in document G/MA/TAR/RS/506 as amended 
by documents G/MA/TAR/RS/506/Add.1 and G/MA/TAR/RS/506/ Add.2.  
Article GOODS.19: Measures in case of breaches or circumventions of customs legislation  
1. The Parties shall co -operate in preventing, detecting and combating breaches or 
circumventions of customs legislation, in accordance with their obligations under  Chapter 2 [Rules of 
origin] of this Title and the Protocol on mutual administrative assistance in customs matters. Each 
Party  shall take appropriate and comparable measures to protect its own and the other Party’s 
financial interests regarding the levying of duties on goods entering the customs territories of the 
United Kingdom or the Union.  
2. Subject to the possibility  of exempti on 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:  
(a) 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;  
(b) the other  Party repeatedly and unjustifiably refus es or otherwise fails to comply with the 
obligations referred to in paragraph 1.  
3. The Party which has made a finding as referred to in paragraph 2 shall notify the Trade 
Partnership Committee and shall enter into consultations with the other Party within th e Trade 
Partnership Committee with a view to reaching a mutually acceptable solution.  
4. If the Parties fail to agree on a mutually acceptable solution within three months after the 
date of notification, the Party which has made the finding may decide to susp end temporarily the 
relevant preferential treatment of the product or products concerned. In this case, the Party which 
made the finding shall notify the temporary suspension, including the period during which it intends 
the temporary suspension to apply, to the Trade Partnership Committee without delay.  
5. The temporary suspension shall apply only for the period necessary to counteract the 
breaches or circumventions and to protect the financial interests of the Party concerned, and in any 
case not for longer than six months. The Party concerned  shall keep the situation under review and, 
where it decides that the temporary suspension is no longer necessary, it shall bring it to an end 
before the end of the period notified to the Trade Partnership Committee. Whe re the conditions 
that gave rise to the suspension persist at the expiry of the period notified to the Trade Partnership 
Committee, the Party concerned may decide to renew the suspension. Any suspension shall be 
subject to periodic consultations within the  Trade Partnership Committee.  
6. Each Party shall publish, in accordance  with its internal procedures, notices to importers 
about any decision concerning temporary suspensions referred to in paragraphs 4 and 5.  
7. Notwithstanding paragraph 4, if an importer is a ble to satisfy the importing customs 
authority that such products are fully compliant with the importing Party’s customs legislation, the 
 
39 
 requirements of this Agreement, and any other appropriate conditions related to the temporary 
suspension established b y the importing Party in accordance with its laws and regulations, the 
importing Party shall allow the importer to apply for preferential treatment and recover any duties 
paid in excess of the applicable preferential tariff rates when the products were imp orted.  
Article GOODS.20: 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 Partn ership Committee to 
examine the possibility of adopting decisions, as appropriate, to resolve the situation.  
Article GOODS.21: Cultural property  
1. The Parties shall cooperate in facilitating the return of cultural property illicitly removed 
from the territor y of a Party, having  regard to the principles enshrined in the UNESCO Convention on 
the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of 
Cultural Property signed in Paris on 17 November 1970.  
2. For the purposes of t his Article:  
(a) ‘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  
(b) ‘illicitly removed  from the ter ritory of a Party’ means:  
(i) 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  
(ii) 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.   
3. The competent  authorities  of the Parties shall cooperate with each other in particular by:  
(a) notifying the oth er 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;  
(b) addressing requests of the other Party for the retu rn of cultural property which has been 
illicitly removed from the territory of that Party;  
(c) preventing any actions to evade the return of such cultural property, by means of any 
necessary interim measures; and  
(d) taking any necessary measures for the physical preservation of cultural property which has 
been illicitly removed from the territory of the other Party.  
 
40 
 4. Each Party shall identify a contact point responsible for communicating with the contact 
point of the other Party with respect to any matters  arising under this Article, including with respect 
to the notifications and requests referred to in points (a) and (b) of paragraph 3.  
5. The envisaged cooperation between the Parties shall involve the customs authorities of the 
Parties responsible fo r manag ing export procedures for cultural property as appropriate and 
necessary.  
6. Title I [Dispute Settlement] of Part Six does not apply to this Article.  
 
Chapter 2: Rules of origin  
Section 1: Rules of origin  
Article ORIG.1: Objective  
The objective of this Ch apter 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 ORIG.2: Definitions  
For the purposes of this Chapte r, the following definitions apply:  
(a) "classification" means the classification of a product or material under a particular chapter, 
heading, or sub -heading of the Harmonised System;  
(b) "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;  
(c) "exporter" means a person, located in a Party, who, in accordance wi th 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;  
(d) "importer" means a person who imports the originating product and claims preferential tariff 
treatment  for it;  
(e) "material" means any substance used in the production of a product, including any 
components, ingredients, raw materials, or parts;  
(f) "non -originating material" means a material which does not qualify as originating under this 
Chapter, including a m aterial whose originating status cannot be determined;  
(g) "product" means the product resulting from the production, even if it is intended for use as a 
material in the production of another product;  
(h) "production" means any kind of working or processing includ ing assembly.  
 
41 
 Article ORIG.3: General requirements  
1. 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:  
(a) products wholly obtained in that Party within the meaning of Article ORIG.5 [Wholly obtained 
products];  
(b) products produced in that Party exclusively from originating materials in that Party; and  
(c) products produced in that Party incorporating non -originating materials provided they satisfy 
the requirements set out in ANNEX ORIG -2 [Product -specific rules of origin].  
2.  If a product has acqui red originating status, the non -originating materials used in the 
production of that product  shall not be considered as non -originating when that product is 
incorporated as a material in another product.  
3.  The acquisition of originating status shall be fulfilled without interruption in the United 
Kingdom or the Union.  
Article ORIG.4: Cumulation of origin  
1. A product originating in a Party shall be considered as originating in the other Party if that 
product is used as a material in the production of anothe r product in that other Party.  
2. Production carried out in a Party on a non -originating material may be taken into account for 
the purpose of determining whether a product is originating in the other Party.  
3. Paragraphs 1 and 2 do not apply if the production  carried out in the other Party does not go 
beyond the operations referred to in Article ORIG.7 [Insufficient production].  
4. In order for an exporter to complete the statement on origin referred to in point (a) of 
Article ORIG.18(2) [Claim for preferential t ariff treatment] for a product referred to in paragraph 2 of 
this Article, the exporter shall obtain from its supplier a supplier’s declaration as provided for in 
Annex ORIG -3 [Supplier’s declaration]  or an equivalent document that contains the same 
inform ation describing the non -originating materials concerned in sufficient detail to enable them to 
be identified.  
Article ORIG.5: Wholly obtained products  
1. The following products shall be considered as wholly obtained in a Party:  
(a) mineral products extracted or taken from its soil or from its seabed;  
(b) plants and vegetable products grown or harvested there;  
(c) live animals born and raised there;   
(d) products obtained from live animals raised there;  
(e) products obtained from slaughtered animals born and raised there;  
 
42 
 (f) products obtained by hunting or fishing conducted there;  
(g) 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;  
(h) products of sea fishing and othe r products taken from the sea outside any territorial sea by a 
vessel of a Party;  
(i) products made aboard of a factory ship of a Party exclusively from products referred to in 
point (h);  
(j) products extracted from the seabed or subsoil outside any territorial se a provided that they 
have rights to exploit or work such seabed or subsoil;  
(k) waste and scrap resulting from production operations conducted there;  
(l) waste and scrap derived from used products collected there, provided that those products are 
fit only for the recovery of raw materials;  
(m) products produced there exclusively from the products specified in points (a) to (l).  
2.  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:  
(a) is registered in a Member State or in the United Kingdom;  
(b) sails under the flag of a Member State or of the United Kingdom; and  
(c) meets one of the following conditions:  
 (i) it is at least 50% owned by nationals of a Member State or of the United Kingdom; or  
 (ii) it is owned by legal persons  which each:  
  (A) have their head office and main place of business in the Union or the United 
Kingdom; and  
  (B) are at least 50% owned by public entities, nationals or legal persons  of a Member 
State or th e United Kingdom.  
 Article ORIG.6: Tolerances  
1. If a product does not satisfy the requirements set out in ANNEX ORIG -2 [Product -specific 
rules of origin] due to the use of a non-originating material in its production, that product shall 
nevertheless be consi dered as originating in a Party, provided that:  
(a)  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 of Chapter 16, doe s not exceed 15% of the weight of the product;  
 
43 
  (b)  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 produ ct; or  
(c)  for a product classified under Chapters 50 to 63 of the Harmonised System, the tolerances set 
out in Note 7 and 8 of ANNEX ORIG -1 [Introductory Notes to the Product -Specific Rules of 
Origin] apply.  
2.  Paragraph 1 does not apply if the value or  weight of non -originating materials used in the 
production of a product exceeds any of the percentages for the maximum value or weight of non -
originating materials as specified in the requirements set out in ANNEX ORIG -2 [Product -specific 
rules of origin] . 
3.  Paragraph  1 of this Article does not apply to products wholly obtained in a Party within the 
meaning of Article ORIG.5 [Wholly obtained products]. If ANNEX ORIG -2 [Product -specific rules of 
origin] requires that the materials used in the production of a product are wholly obtained, 
paragraphs 1 and 2 of this Article apply.  
Article ORIG.7: Insufficient Production  
1. Notwithstanding point (c) of Article ORIG.3(1) [General requirements], 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:  
(a) preserving operations such as drying, freezing, keeping in brine and other similar operations 
where their sole purpos e is to ensure that the products remain in good condition during 
transport and storage;2 
(b) breaking -up or assembly of packages;  
(c) washing, cleaning; removal of dust, oxide, oil, paint or other coverings;  
(d)  ironing or pressing of textiles and textil e articles;  
(e) simple painting and polishing operations;  
(f) husking and partial or total milling of rice; polishing and glazing of cereals and rice; bleaching 
of rice;  
(g)  operations to colour or flavour sugar or form sugar lumps; partial or total milli ng of sugar in 
solid form;  
(h)  peeling, stoning and shelling, of fruits, nuts and vegetables;  
(i)  sharpening, simple grinding or simple cutting;  
(j) sifting, screening, sorting, classifying, grading, matching including the making -up of sets of 
articles;  
                                                            
2 Preserving operations such as chilling, freezing or ventilating are considered insufficient wi thin 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.  
 
44 
 (k)  simple placing in bottles, cans, flasks, bags, cases, boxes, fixing on cards or boards and all 
other simple packaging operations;  
(l)  affixing or printing marks, labels, logos and other like distinguishing signs on products or their 
packaging;  
(m)  simple mixing of products, whether or not of different kinds; mixing of sugar with any 
material;  
(n)  simple addition of water or dilution with water or another substance that does not materially 
alter the characteristics of the product, or dehydration or d enaturation of products;  
(o)  simple assembly of parts of articles to constitute a complete article or disassembly of products 
into parts;  
(p) slaughter of animals.  
2. For the purposes  of paragraph 1, operations shall be considered simple if neither special 
skills nor machines, apparatus or equipment especially produced or installed are needed for carrying 
out those operations.  
 Article ORIG.8: Unit of qualification  
1. For the purposes of this Chapter, the unit of qualification shall be the particular product 
which is considered as the basic unit when classifying the product under the Harmonised System.  
2. For a consignment consisting of a number of identical products classified under th e same heading 
of the Harmonised System, each individual product shall be taken into account when applying the 
provisions of this Chapter.  
Article ORIG.9: 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 ORIG.10: 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 ma terials in accordance with ANNEX ORIG -2 [Product -specific rules of origin].  
Article ORIG.11:  Accessories, spare parts and tools  
1. Accessories, spare parts, tools and instructional or other information materials shall be 
regarded as one product with the pi ece of equipment, machine, apparatus or vehicle in question if 
they:  
(a) are classified and delivered with, but not invoiced separately from, the product; and  
(b) are of the types, quantities and value which are customary for that product.  
 
45 
 2. Accessories, spare p arts, tools and instructional or other information materials referred to in 
paragraph 1 shall be disregarded in determining  the origin of the product except for the purposes of 
calculating the value of non -originating materials if a product is subject to a  maximum value of non -
originating materials as set out in ANNEX ORIG -2 [Product -specific rules of origin].  
Article ORIG.12:  Sets 
Sets, as defined  in General Rule 3 for the Interpretation of the Harmonised System, shall be 
considered as originating  in a Pa rty 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 ORIG.13: 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:  
(a) fuel, energy, catalysts and solvents;  
(b) plant, equipment, spare parts and materials used in the maintenance of equipment and 
buildings;  
(c) machines, tools, dies and moulds;  
(d)  lubricants, greases, compounding materials and other materials used in productio n or used to 
operate equipment and buildings;  
(e)  gloves, glasses, footwear, clothing, safety equipment and supplies;  
(f) equipment, devices and supplies used for testing or inspecting the product; and  
(g) other materials used in the production which ar e not incorporated into the product nor 
intended to be incorporated into the final composition of the product.  
Article ORIG.14: Accounting segregation  
1. Originating  and non -originating fungible materials or "fungible products" shall be physically 
segregat ed during storage in order to maintain their originating and non -originating status.  
2. For the purpose of paragraph 1, ‘fungible materials’  or "fungible products" means materials 
or products that are of the same kind and commercial quality, with the same technical and physical 
characteristics, and that cannot be distinguished from one another  for origin purposes.  
3. Notwithstanding paragraph 1, originating and non -originating fungible materials may be 
used in the production of a product without being physi cally  segregated during storage if an 
accounting segregation method is used.  
4.  Notwithstanding paragraph 1, originating and non -originating fungible products classified in 
Chapter 10, 15, 27, 28, 29, heading 32.01 to 32.07, or heading 39.01 to 39.14 of t he Harmonised 
System may be stored in a Party before exportation to the other Party without being physically 
segregated provided that an accounting segregation method is used.  
 
46 
 5. The accounting segregation method  referred to in paragraphs 3 and 4 shall be applied in 
conformity with a stock management method under  accounting principles which are generally 
accepted in the Party.  
6. The accounting segregation method shall be any method that ensures that at any time no 
more materials or products receive origin ating status  than would be the case if the materials or 
products had been physically segregated.  
7. A Party may require, under conditions set out in its laws or regulations, that the use of an 
accounting segregation method is subject to prior authorisation  by the customs authorities of that 
Party. The customs authorities of the Party shall monitor the use of such authorisations and may 
withdraw an authorisation if the holder makes improper use of the accounting segregation method 
or fails to fulfil any of t he other conditions laid down in this Chapter.  
Article ORIG.15: 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:  
(a) is the same as that exported ; and  
(b) 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 ORIG.16: Non -alteration  
1. An originating  product declared for home use in the importing Party shall not, after 
exportation and prior to being declared for home use, have been altered, transformed in any way or 
subjected t o operations other than to preserve it in good condition or than adding or affixing marks, 
labels, seals or any other documentation to ensure compliance with specific domestic requirements 
of the importing Party.  
2. The storage or exhibition of a product may take place in a third country, provided that the 
product remains under customs supervision  in that third country.  
3. The splitting of consignments  may take place in a third country if it is carried out by the 
exporter or under the responsibility of the  exporter, provided that the consignments remain under 
customs supervision in that third country.  
4. In the case of doubt as to whether the requirements provided for in paragraphs 1 to 3 are 
complied with, the customs authority of the importing Party may r equest the importer to provide 
evidence of compliance with those requirements, which may be given by any means, including 
contractual transport documents such as bills of lading or factual or concrete evidence based on the 
marking or numbering of packages or any evidence related to the product itself.  
Article ORIG.17: Review of drawback of, or exemption from, customs duties  
Not earlier than 2 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 this purpose, at the request 
of a Party, no later than 60 days from that request, the other Party shall provide the requesting Party 
 
47 
 with available information and detailed statistics covering the period from the entry into force of 
this Agreement, or the previous 5 years if that is shorter, on the operation of its duty -drawback and 
inward -processing scheme. I n the light of this r eview, 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 restriction s with respect to drawback of or exemption from customs duties.  
Section 2: Origin procedures  
Article ORIG.18: Claim for preferential tariff treatment  
1. The importing Party, on importation, shall grant preferential tariff treatment to a product 
originating in the other Party within the meaning of this Chapter on the basis of a claim by the 
importer for preferential tariff treatment. The importer shall be r esponsible for the correctness of 
the claim for preferential tariff treatment and for compliance with the requirements provided for in 
this Chapter.  
2. A claim for preferential tariff treatment shall be based on:  
(a) a statement on origin that the product is or iginating made out by the exporter; or  
(b) the importer’s knowledge that the product is originating.  
3. The importer making the claim for preferential tariff treatment based on a statement on 
origin as referred to in point (a) of paragraph 2 shall keep the stat ement on origin and, when 
required by the customs authority of the importing Party, shall provide a copy thereof to that 
customs authority.  
Article ORIG.18a: Time of the claim for preferential tariff treatment  
1. A claim for preferential  tariff treatment and  the basis for that claim as referred to in Article 
ORIG.18(2) [Claim for preferential tariff treatment] shall be included in the customs import 
declaration in accordance with the laws and regulations of the importing Party.  
2. By way of derogation from parag raph 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:  
(a) the cla im 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;  
(b) the importer provides the basis for the claim as referred to in Article ORIG.18(2) [Claim for 
preferential tariff treatment]; and   
(c) the product would have been considered originating and would have satisfied all other 
applicable requirements within the meaning of Section 1 [Rules of origin] 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 ORIG.18 [Claim for preferential tariff 
treatment] remain unchanged.  
 
48 
 Article ORIG.19: Statement on origin  
1. A statement on origin shall be made  out by an exporter of a product on the basis of 
information demonstrating that the product is originating, including information on the originating 
status of materials used in the production of the product. The exporter shall be responsible for the 
correctness of the statement on origin and the information provided.  
2. A statement on origin shall be made out using one of the language versions set out in ANNEX 
ORIG -4 [Text of the statement on origin] in an invoice or on any other document that describes the 
originating product in sufficient detail to enable the identification of that product. The exporter shall 
be responsible for providing sufficient detail to allow the identification of the originating product. 
The importing  Party shall not require the importer to submit a translation of the statement on origin.  
3. A statement on origin shall be valid for 12 months from the date it was made out  or for such 
longer period as provided by the Party of import up to a maximum of 24 m onths . 
4. A statement on origin may apply to:  
(a) a single shipment of one or more  products imported into a Party; or  
(b) multiple shipments of identical products imported into a Party within the period specified in 
the statement on origin, which shall not exceed 12 months.  
5. If, at the request of the importer, unassembled or disassembled products within the 
meaning of General  Rule 2(a) for the Interpretation of the Harmonised System that fall within 
Sections XV to XXI of the Harmonised System are imported by instalments, a single statement on 
origin for such products may be used in accordance with the requirements laid down by  the customs 
authority of the importing Party.   
Article ORIG.20: 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 ORIG.21: Importer’s knowledge  
1. For the purposes of a claim for preferential tariff treatment that is made under point (b) of 
Article ORIG.18(2) [Claim for preferential tariff treatment] , the importer’s knowledge that a product 
is originating  in the exporting Party shall be based on information demonstrating that the product is 
originating and satisfies the requirements provided for in this Chapter.  
2. Before claiming the preferential treatm ent, in the event that an importer is unable to obtain 
the information referred to in paragraph  1 of this Article as a result of the exporter deeming it to be 
confidential information or for any other reason, the exporter may provide a statement on origin so 
that the importer may claim the preferential tariff treatment on the basis of point (a) of  Article 
ORIG.18(2) [Claim for Preferential Tariff Treatment].  
 
49 
 Article ORIG.22: Record -keeping requirements  
1. For a minimum of three  years after the date of importat ion of the product, an importer 
making a claim for preferential  tariff treatment for a product imported into the importing Party shall 
keep:  
(a) if the claim was based  on a statement on origin, the statement on origin made out by the 
exporter; or  
(b) if the claim  was based on the importer's knowledge, all records demonstrating that the 
product satisfies the requirements for obtaining originating status.  
2. An exporter who has made out a statement on origin shall, for a minimum of four years after 
that statement on origin  was made out, keep a copy of the statement on origin and all other records 
demonstrating  that the product satisfies the requirements to obtain originating status.  
3. The records to be kept in accordance with this Article may be held in electronic forma t.  
Article ORIG.23: Small consignments  
1. By way of derogation from Articles ORIG.18 [Claim for Preferential Tariff Treatment] to 
ORIG.21 [Importer’s Knowledge], 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) a product  sent in a small package from private persons to private persons;   
(b) a product forming part of a traveller’s personal luggage ; and  
(c) for the United Kingdom, in addition to points (a) and (b), other low value consignments.  
2. The following products are excluded from the application of paragraph 1 of this Article:   
(a) 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 ORIG.18 [Claim for Preferential Tariff Treatment];  
(b) for the Uni on: 
(i) 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  
(ii) 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 
 
50 
 amounts. The Union may establish other limi ts which it will communicate to the 
United Kingdom; and  
(c) 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.  
3. The importer sha ll be responsible for the correctness of the declaration and for the 
compliance with the requirements  provided for in this Chapter. The record -keeping requirements 
set out in Article ORIG.22 [Record -keeping requirements] shall not apply to the importer und er this 
Article.  
Article ORIG.24: Verification  
1. The customs authority of the importing Party may conduct a verification as to whether a 
product is originating or whether the other requirements of this Chapter are satisfied, on the basis of 
risk assessment methods, which may include random selection. Such verifications may be conducted 
by means of a request for information from the importer who made the claim referred to in Article 
ORIG.18 [Claim for Preferential Tariff Treatment], at the time the import dec laration is submitted, 
before the release of the products, or after the release of the products.  
2. The information requested pursuant to paragraph 1 shall cover no more than the following 
elements:   
(a) if the claim was based on a statement on origin, that stat ement on origin; and  
(b) information  pertaining to the fulfilment of origin criteria, which is:  
(i) where the origin criterion is “wholly obtained”, the applicable category (such as 
harvesting, mining, fishing ) and the place of production;  
(ii) where the origin crite rion 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);  
(iii) 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;  
(iv) where the origin criterion is based on weight, the weight of the final product as well as 
the weight of the relevant non -originat ing materials used in the final product;  
(v) where the origin criterion is based on a specific production process, a description of 
that specific process.  
3. When providing  the requested information, the importer may add any other information 
that it considers relevant for the purpose of verification.  
4. If the claim for preferential  tariff treatment is based on a statement on origin, the importer 
shall provide that statement on origin but may reply to the customs authority of the importing Party 
that the importer is not in a position to provide the information referred to in point (b ) of paragraph 
2.  
 
51 
 5. If the claim for preferential tariff treatment is based on the importer’s knowledge, after 
having first requested information in accordance with paragraph 1, the customs authority of the 
importing Party conducting the verification may re quest the importer to provide additional 
information if that customs authority considers that additional information is necessary in order to 
verify the originating status  of the product or whether the other requirements of this Chapter are 
met. The custom s authority of the importing Party may request the importer for specific 
documentation and information, if appropriate.  
6. If the customs authority of the importing Party decides to suspend the granting of 
preferential tariff treatment to the product concern ed while awaiting the results of the verification, 
the release of the products shall be offered to the importer subject to appropriate precautionary 
measures including guarantees.  Any suspension of preferential tariff treatment shall be terminated 
as soon as possible after the customs authority of the importing Party has ascertained the 
originating status of the products concerned, or the fulfilment of the other requirements of this 
Chapter.  
Article ORIG.25: Administrative cooperation  
1. In order to ensure th e proper application of this Chapter, the Parties shall cooperate, 
through the customs authority of each Party, in verifying whether a product is originating and is in 
compliance with the other requirements provided  for in this Chapter.  
2. If the claim  for p referential tariff treatment was based on a statement on origin, as 
appropriate after having first requested information in accordance with Article ORIG.24(1) 
[Verification] 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 ORIG.1 8a(2) [Time of the claim for 
preferential treatment], 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:  
(a) the statement on origin;  
(b) the identity of the customs authority issuing the request;  
(c) the name of the exporter;  
(d) the subje ct and scope of the verification; and  
(e) 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.  
3. The customs authority of the exporting Party may, in accordance with its laws and 
regulations, request documentation or examination by calling for any evidence, or by visiting the 
premises of the exporter, to review records and observe the facilities used in  the production of the 
product.  
 
52 
 4. 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:  
(a) the requested documentation, where available;  
(b) an opinion on the originating status of the product;  
(c) the description of the product that is subject to examination and the tariff classification 
relevant to the application of this Chapter;  
(d) a description and exp lanation of the production process that is sufficient to support the 
originating status of the product;  
(e) information on the manner in which the examination of the product was conducted; and  
(f) supporting documentation, where appropriate.  
5. The customs authority of the exporting Party shall not provide the information referred to in 
points (a), (d) and (f) of paragraph 4 to the customs authority of the importing Party if that 
information is deemed confidential by the exporter.  
6. Each Party sha ll notify the other Party of the contact details of the customs authorities and 
shall notify the other Party of any change to those contact details within 30 days after the date of 
the change.  
Article ORIG.26: Denial of preferential tariff treatment  
1. Without prejudice to paragraph 3, the customs authority of the importing Party may deny 
preferential tariff treatment, if:  
(a) within  three months after the date of a request for information pursuant to Article ORIG.24(1) 
[Verification]:  
(i) no reply  has been  provided  by the importer;    
(ii) where the claim for preferential  tariff treatment was based on a statement on origin, 
no statement on origin has been provided; or  
(iii) where the claim for preferential tariff treatment was based on the importer’s 
knowledge, the infor mation provided by the importer is inadequate to confirm that 
the product is originating;  
(b) within  three months after the date of a request for additional information pursuant to Article 
ORIG.24(5) [Verification]:  
 (i) no reply has been provided by the impo rter; or  
 (ii) the information provided by the importer is inadequate to confirm that the product is 
originating;  
 
53 
  (c)  within 10 months3 after the date of a request  for information pursuant to Article ORIG.25(2) 
[Administrative Cooperation]:  
 (i) no re ply has been provided by the customs authority of the exporting Party; or  
 (ii) the information provided by the customs authority of the exporting Party is inadequate 
to confirm that the product is originating.  
2. The customs authority of the importing Part y may deny preferential tariff treatment to a 
product for which an importer claims preferential tariff treatment where the importer fails to 
comply with requirements under this Chapter other than those relating to the originating status of 
the products.  
3. If the customs authority of the importing Party has sufficient justification to deny 
preferential tariff treatment under paragraph 1 of this Article, in cases where the customs authority 
of the exporting Party has provided an opinion pursuant to point (b) o f Article ORIG.25(4) 
[Administrative cooperation] confirming the originating status of the products, the customs 
authority of the importing Party shall notify the customs authority of the exporting Party of its 
intention to deny the preferential tariff tre atment within two months after the date of receipt of 
that opinion.  
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 extend ed 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 exp iry 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 preferen tial tariff treatment to a product on the sole ground that Article ORIG.25(5) 
[Administrative cooperation]  has been applied.   
4. In all cases, the settlement of differences between the importer and the customs authority 
of the Party of import shall be under the law of the Party of import.  
Article ORIG.27: Confidentiality  
1. Each Party shall maintain, in accordance  with its laws and regulations, the confidentiality of 
any information provided to it by the other Party, pursuant to this Chapter, and shall protect t hat 
information from disclosure.  
2. Where, notwithstanding Article ORIG.25(5) [Administrative cooperation], confidential 
business information has been obtained from the exporter by the customs authority of the exporting 
                                                            
3 The period will be of 12 months for requests of information pu rsuant to Article ORIG.25(2) [Administrative 
cooperation] addressed to the customs authority of the exporting Party during the first three months of the 
application of this Agreement.  
 
54 
 Party or importing Party through the application of Articles ORIG.24 [Verification] and ORIG.25 
[Administrative cooperation], that information shall not be disclosed.  
3. Each Party shall ensure that confidential information collected pursuant to this Chapter shall 
not be used for purposes other than the administration and enforcement of decisions and 
determinations relating to origin and to customs matters, except with the permission of the person 
or Party who provided the confidential information.  
4. Notwithstanding paragraph 3, a Party may allow i nformation collected pursuant to this 
Chapter to be used in any administrative, judicial, or quasi -judicial proceedings instituted for failure 
to comply with customs -related laws implementing this Chapter. A Party shall notify the person or 
Party who provi ded the information in advance of such use.  
Article ORIG.28: 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 m easures, 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 prefe rential tariff treatment for a product, who does not comply with the 
requirements set out in Article ORIG.22 [Record -keeping requirements], or who does not provide the 
evidence, or refuses to submit to a visit, as referred to in Article ORIG.25(3) [Adminis trative 
cooperation].  
 Section 3: Other Provisions  
 Article ORIG.29: Ceuta and Melilla  
1. For purposes of this Chapter, in the case of the Union, the term “Party” does not include 
Ceuta and Melilla.  
2. Products originating in the United Kingdom, when imported into Ceuta and Melilla, shall in 
all respects be subject to the same customs treatment under this Agreement, as that which is 
applied to products originating in the customs territory of the Union under Protocol 2 of the Act of 
Accession of the Kingdom of S pain and the Portuguese Republic to the European Union. The United 
Kingdom shall grant to imports of products covered by this Agreement and originating in Ceuta and 
Melilla the same customs treatment as that which is granted to products imported from and 
originating in the Union.  
3. The rules of origin and origin procedures referred to in this Chapter apply mutatis mutandis 
to products exported from the United Kingdom to Ceuta and Melilla and to products exported from 
Ceuta and Melilla to the United Kingdom.   
4. Ceuta and Melilla shall be considered as a single territory.  
5. Article ORIG.4 [Cumulation of origin] applies to import and exports of products between the 
Union, the United Kingdom and Ceuta and Melilla.    
6. The exporters shall enter “the United Kingdom” o r “Ceuta and Melilla” in field 3 of the text 
of the statement on origin, depending on the origin of the product.   
 
55 
 7. The customs authority of the Kingdom of Spain shall be responsible for the application and 
implementation of this Chapter in Ceuta and Melill a.  
Article ORIG.30: 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 eit her 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 ORIG.18 [Cl aim for preferential tariff treatment] to the customs authority of the 
importing Party, within 12 months of that date.  
Article ORIG.31: Amendment to this chapter and its annexes  
The Partnership Council may amend this Chapter and its Annexes.  
 
Chapter 3: Sa nitary and phytosanitary measures  
Article SPS.1: Objectives  
The objectives of this Chapter are to:  
(a) protect human, animal and plant life or health in the territories of the Parties while facilitating 
trade between the Parties;  
(b) further the impleme ntation of the SPS Agreement;  
(c) ensure that the Parties’ sanitary and phytosanitary (“SPS”) measures do not create unnecessary 
barriers to trade;  
(d) promote greater transparency and understanding on the application of each Party’s SPS 
measures;   
(e) enhance cooperation between the Parties in the fight against antimicrobial resistance, promotion 
of sustainable food systems, protection of animal welfare, and on electronic certification;  
(f) enhance cooperation in the relevant international organisa tions to develop international 
standards, guidelines and recommendations on animal health, food safety and plant health; 
and 
(g) promote implementation by each Party of international standards, guidelines and 
recommendations.  
Article SPS.2: Scope  
 
1. This Ch apter applies to all SPS measures of a Party that may, directly or indirectly, affect 
trade between the Parties.  
2. This Chapter also lays down separate provisions regarding cooperation on animal welfare, 
antimicrobial resistance and sustainable food systems.  
 
56 
 Article SPS.3: Definitions  
1. For the purposes of this Chapter, the following definitions apply:  
(a) the definitions contained in Annex A of the SPS Agreement;  
(b) the definitions adopted under the auspices of the Codex Alimentarius Commission (the 
“Codex”);  
(c) the definitions adopted under the auspices of the World Organisation for Animal Health (the 
“OIE”); and  
(d) the definitions adopted under the auspices of the International Plant Protection Convention 
(the “IPPC”).   
2. For the purposes of this Chapter:  
(a)  “import cond itions” means any SPS measures that are required to be fulfilled for the import 
of products; and  
(b) "protected zone" for a specified regulated plant pest means an officially defined geographical 
area in which that pest is not established in spite of favourabl e conditions and its presence in 
other parts of the territory of the Party, and into which that pest is not allowed to be 
introduced.  
3. The Trade Specialised Committee on Sanitary and Phytosanitary Measures may adopt other 
definitions for the purposes of thi s Chapter, taking into consideration the glossaries and definitions 
of the relevant international organisations, such as the Codex, OIE and IPPC.  
4. The definitions under the SPS Agreement prevail to the extent that there is an inconsistency 
between the definitions adopted by the Trade Specialised Committee on Sanitary and Phytosanitary 
Measures or adopted under the auspices of the Codex, the OIE, the IPPC and the definitions under 
the SPS Agreement. In the event of an inconsistency between definitions ad opted by the Trade 
Specialised Committee on Sanitary and Phytosanitary Measures and the definitions set out in the 
Codex, OIE or IPPC, the definitions set out in the Codex, OIE or IPPC shall prevail.  
Article SPS.4: Rights and obligations  
The Parties reaff irm 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 SPS.5: General principles    
1. The Parties shall apply SPS measures for achieving their appropria te level of protection that 
are based on risk assessments in accordance with relevant provisions, including Article 5 of the SPS 
Agreement.  
2. The Parties shall not use SPS measures to create unjustified barriers to trade.  
3. Regarding trade -related SPS proced ures and approvals established under this Chapter, each 
Party shall ensure that these procedures and related SPS measures:  
 
57 
 (a) are initiated and completed without undue delay;  
(b) do not include unnecessary, scientifically and technically unjustified or unduly bu rdensome 
information requests that might delay access to each other’s markets;   
(c) 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  
(d) are proportionate to the risks identified and not more trade restrictive than necessary to 
achieve the importing Party's appropriate level of protection.  
4. The Parties shall not use the procedures referr ed to in paragraph 3, or any requests for 
additional information, to delay access to their markets without scientific and technical justification.  
5. Each Party shall ensure that any administrative procedure it requires concerning the import 
conditions on fo od safety, animal health or plant health is not more burdensome or trade restrictive 
than necessary to give the importing Party adequate confidence that these conditions are met. Each 
Party shall ensure that the negative effects on trade of any administrat ive procedures are kept to a 
minimum and that the clearance processes remain simple and expeditious while meeting the 
importing Party’s conditions.  
6. The importing Party shall not put in place any additional administrative system or procedure 
that unnecessa rily hampers trade.   
Article SPS.6: Official certification  
1. Where the importing Party requires official certificates, the model certificates shall be:  
(a) set in line with the principles as laid down in the international standards of the Codex, 
the IPPC and t he OIE; and  
(b) applicable to imports from all parts of the territory of the exporting Party.   
2. The Trade Specialised Committee on Sanitary and Phytosanitary Measures may agree on 
specific cases where the model certificates referred to in paragraph 1 would be established only 
for a part or parts of the territory of the exporting Party. The Parties sh all promote the 
implementation of electronic certification and other technologies to facilitate trade.  
Article SPS.7: Import conditions and procedures    
1. Without prejudice to the rights and obligations each Party has under the SPS Agreement and 
this Chapter, the import conditions of the importing Party shall apply to the entire territory of the 
exporting Party in a consistent manner.  
2. The exporting Party sh all ensure that products exported to the other Party, such as animals 
and animal products, plants and plant products, or other related objects, meet the SPS requirements 
of the importing Party.    
3. The importing Party may require that imports of particular products are subject to 
authorisation. Such authorisation shall be granted where a request is made by the relevant 
competent authority of the exporting Party which objectively demonstrates, to the satisfaction of 
the importing Party, that the authorisation  requirements of the importing Party are fulfilled. The 
 
58 
 relevant competent authority of the exporting Party may make a request for authorisation in respect 
of the entire territory of the exporting Party. The importing Party shall grant such requests on tha t 
basis, where they fulfil the authorisation requirements of the importing Party as set out in this 
paragraph.  
4. The importing Party shall not introduce authorisation requirements which are additional to 
those which apply at the end of the transition period , unless the application of such requirements to 
further products is justified to mitigate a significant risk to human, animal or plant health.   
5. The importing Party shall establish and communicate to the other Party import conditions 
for all products. The  importing Party shall ensure that its import conditions are applied in a 
proportionate and non -discriminatory manner.  
6. Without prejudice to provisional measures under Article 5(7) of the SPS Agreement, for 
products, or other related objects, where a phytos anitary concern exists, the import conditions shall 
be restricted to measures to protect against regulated pests of the importing Party and shall be 
applicable to the entire territory of the exporting Party.  
7. Notwithstanding paragraphs 1 and 3, in the case  of import authorisation requests for a 
specific product, where the exporting Party has requested to be examined only for a part, or certain 
parts, of its territory (in the case of the Union, individual Member States), the importing Party shall 
promptly pr oceed to the examination of that request. Where the importing Party receives requests 
in respect of the specific product from more than one part of the exporting Party, or, where further 
requests are received in respect of a product which has already been authorised, the importing Party 
shall expedite completion of the authorisation procedure, taking into account the identical or similar 
SPS regime applicable in the different parts of the exporting Party.  
8. Each Party shall ensure that all SPS control, inspec tion and approval procedures are initiated 
and completed without undue delay. Information requirements shall be limited to what is necessary 
for the approval process to take into account information already available in the importing Party, 
such as on the legislative framework and audit reports of the exporting Party.  
9. Except in duly justified circumstances related to its level of protection, each Party shall 
provide a transition period between the publication of any changes to its approval procedures and 
their application to allow the other Party to become familiar with and adapt to such changes. Each 
Party shall not unduly prolong the approval process for applications submitted prior to publication of 
the changes.  
10. In relation to the processes set out in pa ragraphs 3 to 8, the following actions shall be taken:   
(a) 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;  
(b) the exporting Party shall:  
(i) provide  all relevant  information  required  by the importing  Party;  and 
(ii) give reasonable  access  to the importing  Party  for audit  and other  relevant  procedures.   
(c) 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:  
 
59 
 (i) the pests  not known  to occur  within  any part of its own  territory;   
(ii) the pests  known  to occur within  its own  territory  and under  official  control;   
(iii) the pests  known  to occur  within  parts  of its own  territory  and for which  pest  free 
areas  or protected  zones  are established;  and  
(iv) non-quarantine  pests  known  to occur  within  its own  territory  and unde r official  
control  for specified  planting  material.   
11. The importing Party shall accept consignments without requiring that the importing Party 
verifies compliance of those consignments before their departure from the territory of the exporting 
Party.  
12. A Party may collect fees for the costs incurred to conduct specific SPS frontier checks, which 
should not exceed the recovery of the costs.  
13. The importing Party shall have the right to carry out import checks on products imported 
from the exporting Party for the purposes of ensuring compliance with its SPS import requirements.  
14. The import checks carried out on products imported from the exporting Party shall be based 
on the SPS risk associated with such importations. Import checks shall be carried out only to t he 
extent necessary to protect human, animal or plant life and health, without undue delay and with a 
minimum effect on trade between the Parties.  
15. Information on the proportion of products from the exporting Party checked at import shall 
be made available by the importing Party upon request of the exporting Party.  
16. If import checks reveal non -compliance with the relevant import conditions the action taken 
by the importing Party must be based on an assessment of the risk involved and not be more trade 
restric tive than required to achieve the Party's appropriate level of SPS protection.  
Article SPS.8 Lists of approved establishments    
1. Whenever justified, the importing Party may maintain a list of approved establishments 
meeting its import requirements as a cond ition to allow imports of animal products from these 
establishments.  
2. Unless justified to mitigate a significant risk to human or animal health, lists of approved 
establishments shall only be required for the products for which they were required at the en d of 
the transition period.  
3. The exporting Party shall inform the importing Party of its list of establishments meeting the 
importing Party’s conditions which shall be based on guarantees provided by the exporting Party.  
4. Upon a request from the exporting Party, the importing Party shall approve establishments 
which are situated in the territory of the exporting Party, based on guarantees provided by the 
exporting Party, without prior inspection of individual establishments.  
5. Unless the importing Party requ ests additional information and subject to guarantees being 
provided by the exporting party, the importing Party shall take the necessary legislative or 
 
60 
 administrative measures, in accordance with its applicable legal procedures, to allow imports from 
thos e establishments without undue delay.  
6. The list of the approved establishments shall be made publicly available by the importing 
Party.  
7. Where the importing Party decides to reject the request of the exporting Party to accept 
adding an establishment to the  list of approved establishments, it shall inform the exporting Party 
without delay and shall submit a reply, including information about the non -conformities which led 
to the rejection of the establishment’s approval.  
Article SPS.9: Transparency and exchange of information  
1. Each Party shall pursue transparency as regards SPS measures applicable to trade and shall 
for those purposes undertake the following actions:  
(a) promptly communicate to the other Party any changes to its SPS measures and approva l 
procedures, including changes that may affect its capacity to fulfil the SPS import 
requirements of the other Party for certain products;  
(b) enhance mutual understanding of its SPS measures and their application;  
(c) exchange information with the othe r 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;  
(d) upon re quest of the other Party, communicate the conditions that apply for the import of specific 
products within 20 working days;  
(e) upon request of the other Party, communicate the state of play of the procedure for the 
authorisation of specific products with in 20 working days;  
(f) communicate to the other Party any significant change to the structure or organisation of a 
Party's competent authority;  
(g) on request, communicate the results of a Party's official control and a report that concerns the 
results o f the control carried out;  
(h) on request, communicate the results of an import check provided for in case of a rejected or a 
non-compliant consignment; and  
(i) on request, communicate, without undue delay, a risk assessment or scientific opinion produced 
by a Party that is relevant to this Chapter.  
2. Where a Party has made available the information in paragraph 1 via notification to the 
WTO’s Central Registry of Notifications or to the relevant international standard -setting body, in 
accordance with its rele vant rules, the requirements in paragraph 1, as they apply to that 
information, are fulfilled.  
 
61 
 Article SPS.10: Adaptation to regional conditions     
1. The Parties shall recognise the concept of zoning including disease or pest -free areas, 
protected zones and areas of low disease or pest prevalence and shall apply it to the trade between 
the Parties, in accordance with the SPS Agreement, including the gui delines to further the practical 
implementation of Article 6 of the SPS Agreement (WTO/SPS Committee Decision G/SPS/48) and the 
relevant recommendations, standards and guidelines of the OIE and IPPC. The Trade Specialised 
Committee on Sanitary and Phytosan itary Measures may define further details for these procedures, 
taking into account any relevant SPS Agreement, OIE and IPPC standards, guidelines or 
recommendations.  
2. The Parties may also agree to cooperate on the concept of compartmentalisation as referre d 
to in Chapters 4.4 and 4.5 of the OIE Terrestrial Animal Health Code and Chapters 4.1 and 4.2 of the 
OIE Aquatic Animal Health Code . 
3. When establishing or maintaining the zones referred to in paragraph 1, the Parties shall 
consider factors such as geograp hical  location, ecosystems, epidemiological surveillance and the 
effectiveness of SPS controls.  
4. With regard to animals and animal products, when establishing or maintaining import 
conditions upon the request of the exporting Party, the importing Party shal l recognise the disease -
free areas established by the exporting Party as a basis for consideration towards the determination 
of allowing or maintaining the import, without prejudice to paragraphs 8 and 9.   
5. The exporting Party shall identify the parts of i ts territory referred to in paragraph 4 and, if 
requested, provide a full explanation  and supporting data based on the OIE standards, or in other 
ways established by the Trade Specialised Committee on Sanitary and Phytosanitary Measures, 
based on the knowl edge acquired through experience of the exporting Party’s relevant authorities.  
6. With regard to plants, plant products, and other related objects, when establishing or 
maintaining phytosanitary import conditions, on request of the exporting Party, the impor ting Party 
shall recognise the pest -free areas, pest -free places  of production, pest -free production sites, areas 
of low pest prevalence and protected zones established by the exporting Party as a basis for 
consideration towards the determination to allow or maintain the import, without prejudice to 
paragraphs 8 and 9.  
7. The exporting Party shall identify its pest -free areas, pest -free places of production, pest -
free production sites and areas of low pest prevalence or protected zones. If requested by the 
importing Party, the exporting Party shall provide a full explanation and supporting data based on 
the International Standards for Phytosanitary Measures developed under the IPPC, or in other ways 
established by the Trade Specialised Committee on Sanitary and  Phytosanitary Measures, based on 
the knowledge acquired through experience of the exporting Party's relevant phytosanitary 
authorities.  
8. The Parties shall recognise disease -free areas and protected zones which are in place at the 
end of the transition per iod. 
9. Paragraph 8 shall also apply to subsequent adaptations to the disease -free areas and 
protected zones (in the case of the United Kingdom pest -free areas), except in cases of significant 
changes in the disease or pest situations.  
 
62 
 10. The Parties may carry out audits and verifications pursuant to Article 11 to implement 
paragraphs 4 to 9 of this Article.  
11. The Parties shall establish close cooperation with the objective of maintaining confidence in 
the procedures in relation to the establishment of disease - or pest -free areas, pest -free places of 
production, pest -free production sites and areas of low pest or disease prevalence and protected 
zones, with the aim to minimise trade disruption.  
12. The importing Party  shall base its own determination of the animal or plant health status of 
the exporting Party or parts thereof on the information provided by the exporting Party in 
accordance with the SPS Agreement, OIE and IPPC standards, and take into consideration any 
determination made by the exporting Party.  
13. Where the importing Party does not accept the determination made by the exporting Party 
as referred to in paragraph 12 of this Article, the importing Party shall  objectively justify and explain 
to the exporting P arty the reasons for that rejection and, upon request, hold consultations, in 
accordance with Article SPS 12(2).  
14. Each Party shall ensure that the obligations set out in paragraphs 4 to 9, 12 and 13 are 
carried out without undue delay. The importing Party w ill expedite the recognition of the disease or 
pest status when the status has been recovered after an outbreak.  
15. Where a Party considers that a specific region has a special status with respect to a specific 
disease and which fulfils the criteria laid down  in the OIE Terrestrial Animal Health Code Chapter 1.2 
or the OIE Aquatic Animal Health Code Chapter 1.2, it may request recognition of this status. The 
importing Party may request additional guarantees in respect of imports of live animals and animal 
prod ucts appropriate to the agreed status.  
Article SPS.11: Audits  and verifications  
1. The importing Party  may carry out audits and verifications of the following:   
(a) all or part of the other Party’s authorities’ inspection and certification system;  
(b) the results of the controls carried out under the exporting Party’s inspection and certification 
system.  
2. The Parties shall carry out those audits and verifications in accordance with the provisions of 
the SPS Agreement, taking into account the relevant international standards, guidelines and 
recommendations of the Codex Alimentarius, OIE or IPPC.  
3. 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 exporti ng Party or 
audit and verification visits to the exporting Party, which may include:  
(a) an assessment of all or part of the responsible authorities’ total control programme, including, 
where appropriate, reviews of regulatory audit and inspection activities;   
(b) on-the-spot checks; and  
(c) the collection of information and data to assess the causes of recurring or emerging problems 
in relation to exports of products.  
 
63 
 4. The importing Party shall share with the exporting Party the results and conclusions of the 
audits and verifications carried out pursuant to paragraph 1. The importing Party may make these 
results publicly available.  
5. Prior to the commencement of an audit or verification, the Parties shall discuss the 
objectives and scope of the audit or verification, th e criteria or requirements against which the 
exporting Party will be assessed, and the itinerary and procedures for conducting the audit or 
verification which shall be laid down in an audit or verification plan. Unless otherwise agreed by the 
Parties, the importing Party shall provide the exporting Party with an audit or verification plan at 
least 30 days prior to the commencement of the audit or verification.  
6. The importing Party shall provide the exporting Party the opportunity to comment on the 
draft audi t or verification report. The importing Party shall provide a final report in writing to the 
exporting Party normally within two months from the date of receipt of those comments.  
7. Each Party shall bear its own costs associated with such an audit or verification.   
Article SPS.12: Notification and consultation     
1. A Party shall notify the other Party without undue delay of:  
(a) a significant change to pest or disease status;  
(b) the  emergence of a new animal disease;  
(c) a finding of epidemiological importance with respect to an animal disease;  
(d) a significant food safety issue identified by a Party;  
(e) 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;  
(f) on request, the results of a Party’s official control and a report that concerns the results of the  
control carried out; and  
(g) any significant changes to the functions of a system or database.   
2. If a Party has a significant concern with respect to food safety, plant health, or animal health, 
or an SPS measure that the other Party has proposed or impl emented, that Party may request 
technical consultations with the other Party. The requested Party should respond to the request 
without undue delay. Each Party shall endeavour to provide the information necessary to avoid a 
disruption to trade and, as the case may be, to reach a mutually acceptable solution.  
3. Consultations referred  to in paragraph 2 may be held via telephone conference, 
videoconference, or any other means of communication mutually agreed on by the Parties.  
Article SPS.13: Emergency measure s  
1. If the importing Party considers that there is a serious risk to human, animal or plant life and 
health, it may take without prior notification the necessary measures for the protection of human, 
animal or plant life and health. For consignments that ar e in transit between the Parties, the 
 
64 
 importing Party shall consider the most suitable and proportionate solution to avoid unnecessary 
disruptions to trade.  
2. The Party taking the measures shall notify the other Party of an emergency SPS measure as 
soon as possible after its decision to implement the measure and no later than 24 hours after the 
decision has been taken. If a Party requests technical consultations to address the emergency SPS 
measure, the technical consultations must be held within 10 days of the notification of the 
emergency SPS measure. The Parties shall consider any information provided through the technical 
consultations.  These consultations shall be carried out in order to avoid unnecessary disruptions to 
trade. The Parties may consider op tions for the facilitation of the implementation or the 
replacement of the measures.  
3. The importing Party shall consider, in a timely manner, information that was provided by the 
exporting Party when it makes its decision with respect to consignments that,  at the time of 
adoption of the emergency SPS measure, are being transported between the Parties, in order to 
avoid unnecessary disruptions to trade.  
4. The importing Party shall ensure that any emergency measure taken on the grounds 
referred to in paragraph  1 of this Article is not maintained without scientific evidence or, in cases 
where scientific evidence is insufficient, is adopted in accordance with Article 5(7) of the SPS 
Agreement . 
Article: SPS.14: 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 SPS.15: Implementation and competent authorities  
1. For the purposes of the implementation of this Chapter, each Party shall take all of the 
following into account:  
(a) decisions of the WTO SPS Committee;  
 
(b) the work of the relevant international standard setting bodies;   
 
(c) any knowledge and past experience it has of trading with  the exporting Party; and  
 
(d) information provided by the other Party.  
2. The Parties shall, without delay, provide each other with a description of the competent 
authorities of the Parties for the implementation of this Chapter. The Parties shall notify each o ther 
of any significant change to these competent authorities.  
3. Each Party shall ensure that its competent authorities have the necessary resources to 
effectively implement this Chapter.  
Article SPS. 16: Cooperation on animal welfare  
1. The Parties recognise that animals are sentient beings. They also recognise the connection 
between improved welfare of animals and sustainable food production systems.  
 
65 
 2. The Parties undertake to cooperate in international fora to promote the development of the 
best possible anim al welfare practices and their implementation. In particular, the Parties shall 
cooperate to reinforce and broaden the scope of the OIE animal welfare standards, as well as their 
implementation, with a focus on farmed animals.  
3. The Parties shall exchange i nformation, expertise and experiences in the field of animal 
welfare, particularly related to breeding, holding, handling, transportation and slaughter of food -
producing animals.  
4. The Parties shall strengthen their cooperation on research in the area of an imal welfare in 
relation to animal breeding and the treatment of animals on farms, during transport and at 
slaughter.  
Article SPS. 17: Cooperation on antimicrobial resistance   
1. The Parties shall provide a framework for dialogue and cooperation with a view to  
strengthening the fight against the development of anti -microbial resistance.  
2. The Parties recognise that anti -microbial resistance is a serious threat to human and animal 
health. Misuse of anti -microbials in animal production, including non -therapeutic u se, can contribute 
to anti -microbial resistance that may represent a risk to human life. The Parties recognise that the 
nature of the threat requires a transnational and One Health approach.  
3. With a view to combating antimicrobial resistance, the Parties s hall endeavour to cooperate 
internationally with regional or multilateral work programmes to reduce the unnecessary use of 
antibiotics in animal production and to work towards the cessation of the use of antibiotics as 
growth promotors internationally to c ombat antimicrobial resistance in line with the One Health 
approach, and in compliance with the Global Action Plan.  
4. The Parties shall collaborate in the development of international guidelines, standards, 
recommendations and actions in relevant internation al organisations aiming to promote the prudent 
and responsible use of antibiotics in animal husbandry and veterinary practices.  
5. The dialogue referred to in paragraph 1 shall cover, inter alia :  
(a) 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 a nd 
relating to animal production and veterinary practices;   
(b) collaboration  in the implementation of the recommendations of OIE, WHO and Codex, in 
particular CAC -RCP61/2005;  
(c) the exchange  of information on good farming practices;  
(d) the promotion  of research,  innovation and development;  
(e) the promotion of multidisciplinary approaches to combat antimicrobial resistance, including 
the One Health approach  of the WHO, OIE and Codex Alimentarius.  
 
66 
 Article SPS. 18: 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 SPS.19: 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:  
(a)  promptly  clarifying and addressing, wher e 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;  
(b) discussing  ongoing processes on the developm ent of new regulations;  
(c)  discussing as expeditiously as possible concerns expressed by a Party with regard to the SPS 
import conditions  and procedures applied by the other Party;  
(d)  regularly  reviewing the Parties’ SPS measures, including certificati on 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 a ppropriate 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 SPS -1:  Criteria referred to in Article 
SPS.19.(d).  
(e) exchanging  views, information, and experiences with respect to the cooperation activities on 
protecting animal welfare and the fight against antimicrobial resistance carried out under SPS. 
16 and 17;  
(f) on request  of a Party, considering what constitute s a significant change in the disease or pest 
situation referred to in Article SPS 10(9);  
(g) adopting  decisions to:  
(i) add definitions as referred to in Article SPS 3(3);  
(ii) define  the specific cases referred to in Article SPS 6(2);  
(iii) define  details for the procedures referred to in Article SPS 10(1);  
(iv) establish  other ways to support the explanations referred to in Article SPS 10(5) and 
(7). 
 
Chapter 4: Technical barriers to trade  
 
67 
 Article TBT.1: Objective  
The objective of this Chapter is to f acilitate trade in goods between the Parties by preventing, 
identifying and eliminating unnecessary technical barriers to trade.  
Article TBT.2: Scope  
1. This Chapter applies to the preparation, adoption and application of all standards, technical 
regulations and conformity assessment procedures, which may affect trade in goods between the 
Parties.  
2. This Chapter  does not apply to:   
(a) purchasing specification s prepared by governmental bodies for production or consumption 
requirements of such bodies; or  
(b) SPS measures  that fall within scope of Chapter 3 [Sanitary and phytosanitary measures].  
3. The Annexes to this Chapter apply, in respect of products within their scope, in addition to 
this Chapter. Any provision in an Annex to this Chapter that an international standard or body or 
organisation is to be considered or recognised as relevant, does not prevent a standard developed 
by any other body or organisation from  being considered to be a relevant international standard 
pursuant to Article TBT.4 (4) and (5).  
Article TBT.3: Relationship with the TBT Agreement  
1. Articles 2 to 9 of and Annexes 1 and 3 to the TBT Agreement are incorporated into and made 
part of this Agreement  mutatis mutandis.  
2. Terms referred to in this Chapter and in the Annexes to this Chapter shall have the same 
meaning as they have in the TBT Agreement.  
Article TBT.4: Technical regulations  
1. Each Party shall carry out impact assessments of planned tec hnical regulations in accordance 
with its respective rules  and procedures. The rules and procedures referred to in this paragraph and 
in paragraph 8 may provide for exceptions.  
2. Each Party  shall assess the available regulatory and non -regulatory alternative s to the 
proposed technical regulation that may fulfil the Party's legitimate objectives, in accordance with 
Article 2.2 of the TBT Agreement.   
3. Each Party shall use relevant international standards as a basis for its technical regulations 
except when it c an demonstrate  that such international standards would be an ineffective or 
inappropriate means for the fulfilment of the legitimate objectives pursued.  
4. International standards developed by the International Organization for Standardization 
(ISO) , International Electrotechnical Commission (IEC), International Telecommunication Union (ITU) 
and Codex Alimentarius Commission (Codex) shall be the relevant international standards within the 
meaning of Article 2, Article 5 and Annex 3 of the TBT Agreement . 
 
68 
 5. A standard developed by other international organisations, could also be considered a 
relevant international standard within the meaning of Article 2, Article 5 and Annex 3 of the TBT 
Agreement, provided that:  
(a) it has been developed by a standardising  body which seeks to establish consensus either:  
(i) 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 for the subject matter to wh ich the international standardisation activity 
relates, or,  
(ii) among governmental bodies of participating WTO Members, and,  
(b) it has been developed in accordance with the Decision of the WTO Committee on Technical 
Barriers to Trade on Principles for the De velopment of International Standards , Guides and 
Recommendations with relation to Articles 2, 5, and Annex 3 of the TBT Agreement.4  
6. Where a Party does not use international standards as a basis for a technical regulation, on 
request of the other Party, it  shall identify any substantial deviation from the relevant international 
standard, explain the reasons why such standards were judged inappropriate or ineffective for the 
objective pursued, and provide the scientific or technical evidence on which that as sessment was 
based.  
7. Each Party shall review its technical regulations to increase the convergence of those 
technical regulations with relevant international standards, taking into account, inter alia , any new 
developments in the relevant international sta ndards or any changes in the circumstances that have 
given rise to divergence from any relevant international standards.   
8. In accordance with  its respective rules and procedures and without prejudice to Title X 
[Good Regulatory Practices and Regulatory Cooperation], when developing a major technical  
regulation which may have a significant effect on trade, each Party shall ensure that procedures  exist 
that allow persons to express their opinion in a public consultation, except where urgent problems 
of safety, health, environment or national security arise or threaten to arise. Each Party shall allow 
persons of the other Party to participate in su ch consultations on terms that are no less favourable 
than those accorded to its own nationals, and shall make the results of those consultations public.  
Article TBT.5: Standards  
1. 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:  
(a) to participate, within the limits of their resources, in the preparation of international 
standards by relevant i nternational standardising bodies;  
(b) 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 protecti on, fundamental climatic or geographical factors or 
fundamental technological problems;   
                                                            
4 G/TBT/9, 13 November 2000, Annex 4.  
 
69 
 (c) to avoid  duplications of, or overlaps with, the work of international standardising bodies;   
(d) 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;  
(e) to cooperate  with the relevant standardising bodies of the other Party in international 
standardisation acti vities, including through cooperation in the international standardising 
bodies or at regional level;  
(f) to foster  bilateral cooperation with the standardising bodies of the other Party; and  
(g)  to exchange  information between standardising bodies.  
2.  The Parties  shall exchange information on:   
(a) their respective use of standards in support of technical regulations;  and  
(b) their respective  standardisation processes, and the extent to which they use international, 
regional or sub -regional standards as a basis for their national standards.  
3.  Where standards are rendered mandatory in a draft technical regulation or conformity 
assessment procedure, through incorporation  or reference, the transparency obligations set out in 
Article TBT.7 [Transparency] and in Ar ticles 2 or 5 of the TBT Agreement shall apply.  
Article TBT.6: Conformity assessment  
1. Article TBT.4 [Technical regulations] concerning the preparation, adoption and application of 
technical regulations shall also apply to conformity assessment  procedures,  mutatis mutandis .   
2. Where a Party requires conformity assessment  as a positive assurance that a product 
conforms with a technical regulation, it shall:  
(a) select conformity  assessment procedures that are proportionate to the risks involved, as 
determined on  the basis of a risk -assessment;  
(b) 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 witho ut a mandatory third -party assessment, as assurance 
of conformity among the options for showing compliance with technical regulations;  
(c) where requested by the other Party, provide information  on the criteria used to select the 
conformity assessment procedu res for specific products.  
3. 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 sha ll:  
(a) 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 th at accreditation 
 
70 
 operated with authority derived from government and on a non -commercial basis can play in 
the qualification of conformity assessment bodies;  
(b) use relevant international  standards for accreditation and conformity assessment;  
(c) encourage accr editation 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;   
(d) if two or more conf ormity  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 authoriti es of a Party for a particular product or set of products;  
(e) 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;  
(f) 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 subcon tractors to meet the same requirements the conformity 
assessment body must meet to perform such testing or inspections itself; and  
(g) publish on a single website  a list of the bodies that it has designated to perform such 
conformity assessment and the releva nt information on the scope of designation of each such 
body.   
4.  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 r equires 
that conformity assessment is performed by its specified government authorities, that Party shall:  
(a) 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  
(b) make publicly available the conformity assessment fees.  
5. Notwithstanding  paragraphs 2 to 4, each Party shall  accept a  supplier’s declaration of 
conformity as proof of compliance with its technical regulations in those product areas where it does 
so on the date of entry into force of this Agreement.  
6. Each Party shall  publish and maintain a list of the product areas referred to in para graph 5 
for information purposes, together with the references to the applicable technical regulations.  
7. Notwithstanding  paragraph 5, either Party may introduce requirements for the mandatory 
third party testing or certification of the product areas referr ed to in that paragraph, provided that 
such requirements are justified on grounds of legitimate  objectives and are proportionate to the 
purpose of giving the importing Party adequate confidence that products conform with the 
applicable technical regulation s or standards, taking account of the risks that non -conformity would 
create.  
 
71 
 8. A Party proposing to introduce the conformity assessment procedures referred to in 
paragraph 7 shall notify the other Party at an early stage and shall take the comments of the other 
Party into account in devising any such conformity assessment procedures.  
Article TBT.7: Transparency  
1. Except where urgent problems of safety, health, environmental protection or national 
security arise or threaten to arise, each Party shall allow t he other Party to provide written 
comments on notified proposed technical regulations and conformity assessment procedures within 
a period of at least 60 days from the date of the transmission of the notification of such regulations 
or procedures to the WT O Central Registry of Notifications. A Party shall give positive consideration 
to a reasonable request to extend that comment period.  
2. Each Party shall provide the electronic version of the full notified text together with the 
notification.  In the event th at the notified text is not in one of the official  WTO languages, the 
notifying Party shall provide a detailed and comprehensive description of the content of the 
measure in the WTO notification format.   
3. If a Party receives written comments on its propose d technical regulation or conformity 
assessment procedure from the other Party, it shall:  
(a) 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 acc ount; and  
(b) reply in writing to the comments no later than the date of publication of the technical 
regulation or conformity assessment procedure.  
4. Each Party shall endeavour to publish on a website its responses to the comments it receives 
following the notification  referred  to in paragraph 1 no later than on the date of publication of the 
adopted technical regulation or conformity assessment procedure.  
5. Each Party shall, where  requested by the other Party, provide information regarding the 
objectives of, legal basis for and rationale for, any technical regulation or conformity assessment 
procedure that the Party has adopted or is proposing to adopt.  
6. Each Party shall ensure tha t the technical regulations and conformity assessment procedures 
it has adopted are published on a website that is accessible free of charge.  
7. Each Party shall provide information  on the adoption and the entry into force of technical 
regulations or conform ity assessment procedures and the adopted final texts through an addendum 
to the original notification to the WTO.  
8. Each Party shall allow a reasonable interval between the publication of technical regulations 
and their entry into force, in order to allow time for the economic operators of the other Party to 
adapt. ‘Reasonable interval’ means a period of at least six months, unless this would be ineffective in 
fulfilling the legitimate objectives pursued.   
9. A Party shall give positive consideration to a rea sonable request from the other Party 
received prior to the end of the comment  period set out in paragraph 1 to extend the period of time 
between the adoption of the technical regulation and its entry into force, except where the delay 
would be ineffective in fulfilling the legitimate objectives pursued.   
 
72 
 10. Each Party shall ensure that the enquiry point established in accordance with Article 10 of 
the TBT Agreement provides information and answers in one of the official WTO languages to 
reasonable enquiries fr om the other Party or from interested persons of the other Party regarding 
adopted technical regulations and conformity assessment procedures.    
Article TBT.8: Marking and labelling  
1. The technical regulations of a Party may include or exclusively address m andatory marking 
or labelling requirements. In such cases, the principles of Article 2.2 of the TBT Agreement apply to 
these technical regulations.  
2. Where a Party requires mandatory marking or labelling of products, all of the following 
conditions shall apply:  
(a) it shall only require information which is relevant for consumers or users of the product or 
information that indicates that the product confor ms to the mandatory technical 
requirements;  
(b) 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;  
(c) 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 othe r Party without undue delay 
and on a non -discriminatory basis;  
(d) unless the information listed in points (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:  
(i) information in other languages in addition to the language required in the importing 
Party of the goods;  
(ii) internationally -accepted nomenclatures, pictograms, symbols or graphics; and  
(iii) additional information to that  required in the importing Party of the goods;  
(e) 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 labellin g 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  
(f) 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.  
 
73 
 Article TBT.9: Cooperation on market surveillance and non -food product safety and co mpliance  
1. The Parties recognise the importance of cooperation on market surveillance, compliance 
and the safety of non -food products  for the facilitation of trade and for the protection of consumers 
and other users, and the importance of building mutual tr ust based on shared information.   
2. To guarantee the independent and impartial functioning of market surveillance, the Parties 
shall ensure:  
(a) the separation of market surveillance  functions from conformity assessment functions; and  
(b) 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.   
3. The Parties shall cooperate  and exchange information in the area of non -food prod uct safety 
and compliance, which may include in particular the following:  
(a) market surveillance and enforcement  activities and measures;   
(b) risk assessment methods and product  testing;  
(c) coordinated product recalls or other similar actions;   
(d) scientific, tech nical and regulatory  matters in order to improve non -food product safety and 
compliance;   
(e) emerging issues of significant health  and safety relevance;   
(f) standardisation -related activities ;  
(g) exchanges of officials.  
4. The Partnership Council shall use its best endeavours to establish in Annex TBT -XX, as soon 
as possible and preferably   within six months of entry into force of this Agreement, an arrangement 
for the regular exchange of information between the Rapid Alert System for non -food products 
(RAPEX), or its successor, and the   database relating to market surveillance and product safety 
established under the General Product Safety Regulations 2005, or its successor, in relation to the 
safety of non -food products and related preventive, restrictive and c orrective measures.  
The arrangement shall set out the modalities under which:  
(a)    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;  
(b)    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  
(c)     the Parties are to inform each other of any follow -up actions and measures taken in response to 
the information exchanged.   
 
74 
 5. The Partnership Council may establish in Annex TBT -ZZ an  arrangement on 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 paragraph 4.  
6. Each Party shall use the information obtai ned pursuant to paragraphs 3, 4 and 5 for the sole 
purpose of protecting consumers, health, safety or the environment.   
7. Each Party shall treat the information obtained pursuant to paragraphs 3, 4 and 5 as 
confidential.   
8. The arrangements referred to in para graphs 4 and 5 shall specify the type of information to 
be exchanged, the modalities for the exchange and the application of confidentiality and personal 
data protection rules.   The Partnership Council shall have the power to adopt decisions in order to 
determine or amend the arrangements set out in Annexes TBT -XX and TBT -ZZ. 
9. For the purposes of this Article, ‘market surveillance’ means activities conducted and 
measures taken by market  surveillance and enforcement  authorities, including activities conducted 
and measures taken in cooperation with economic operators, on the basis of procedures of a Party 
to enable that Party to monitor or address safety of products and their compliance with the 
requirements set out in  its laws and regulations.  
10. Each Party shall ensure that any measure taken by its market surveillance or enforcement 
authorities to withdraw or recall from its market or to prohibit or restrict the making available on its 
market of a product imported from the territory of the other Party, for reasons related to non -
compliance with the applicable legislation, is proportionate, states the exact grounds on which the 
measure is based and is communicated without delay to the relevant economic operator.  
Article T BT.10: Technical discussions   
1.  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 o n the matter. The request shall be made in writing to the other Party 
and shall identify:  
(a) the measure at issue;  
(b) the provisions of this Chapter  or of an Annex to this Chapter to which the concerns relate; and  
(c) the reasons for the request , including a description of the requesting Party’s concerns 
regarding the measure.  
2. A Party shall deliver its request to the contact point of the other Party designated pursuant 
to Article TBT.12 [Contact points].  
3. At the request of either Party, the Part ies shall meet to discuss the concerns raised in the 
request, in person or via videoconference or teleconference, within 60 days of the date of the 
request and shall endeavour to resolve the matter as expeditiously as possible.  If a requesting Party 
believ es that the matter is urgent, it may request that any meeting take place within a shorter time 
frame. In such cases, the responding Party shall give positive consideration to such a request.  
 
75 
 Article TBT.11: Cooperation  
1. The Parties shall cooperate in the f ield of technical regulations, standards and conformity 
assessment procedures, where it is in their mutual interest, and without prejudice to the autonomy 
of their own respective decision -making and legal orders. The Trade Specialised  Committee on 
Technica l Barriers to Trade may exchange views with respect to the cooperation activities carried 
out under this Article or the Annexes to this Chapter.  
2. For the purposes of paragraph 1, the Parties shall seek to identify, develop and promote 
cooperation activitie s of mutual interest. These activities may in particular relate  to: 
(a) the exchange of information, experience and data related to technical regulations, standards 
and conformity assessment procedures;  
(b) ensuring efficient interaction and cooperation of their r espective regulatory authorities at 
international, regional or national  level;  
(c) exchanging information, to the extent possible, about international agreements and 
arrangements regarding technical barriers to trade to which one or both Parties are party; an d 
(d) establishment of or participation in trade facilitating initiatives.  
3.  For the purposes of this Article and the provisions on cooperation under the Annexes to this 
Chapter, the European Commission shall act on behalf of the European Union.  
Article TBT. 12: Contact Points   
1. Upon the entry into force of this Agreement, each Party shall designate a contact point for 
the implementation of this Chapter and shall notify the other Party of the contact details for the 
contact point, including information regar ding the relevant officials. The Parties shall promptly notify 
each other of any change of those contact details .   
2. The contact point shall  provide any information or explanation requested by the contact 
point of the other Party in relation to the imple mentation of this Chapter within a reasonable period 
of time and, if possible, within 60 days of the date of receipt of the request.  
Article TBT.13: Trade Specialised Committee on Technical Barriers to Trade  
The Trade Specialised Committee on Technical Bar riers to Trade shall supervise the implementation 
and operation of this Chapter and the Annexes to it and shall promptly  clarify and address, where 
possible, any issue raised by a Party relating to the development, adoption or application of 
technical regu lations, standards and conformity assessment procedures under this Chapter or the 
TBT Agreement.  
 
Chapter 5: Customs and trade facilitation  
Article CUSTMS.1: Objective  
The objectives  of this Chapter are:  
 
76 
 (a) 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;  
 (b) to reinforce administrative  cooperation between the Parties in the field of VAT and mutual 
assistance in claims related to taxes and duties;  
(c) 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  
(d) 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 CUSTMS.1a: Definitions  
For the purposes of this Chapter and AN NEX CUSTMS -1 [Authorised Economic Operators] 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 
recover y of claims relating to taxes and duties, the following definitions apply:  
(a) “Agreement on Pre -shipment Inspection” means the Agreement on Pre -shipment 
Inspection, contained in Annex 1A to the WTO Agreement;  
 
(b) “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;  
 
(c) “Common Transit Convention” means the Convention of 20 May 1987 on a common tran sit 
procedure;  
 
(d) “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;  
 
(e) "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;  
 
(f) “information” means any data, document, image, report, communication or authenticated 
copy, in  any format, including in electronic format, whether or not processed or analysed;  
 
 
77 
 (g) “person” means any person  as defined in point (m) of Article OTH.1 [Definitions] of Title XVII 
[OTHER PROVISIONS]5; 
 
(h)  “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  
 
(i) “WTO Trade Facilitation Agreement” means the Agreement  on Trade Facilitation annexed to 
the Protocol Amend ing the WTO Agreement (decision of 27 November 2014).  
Article CUSTMS.2: Customs cooperation  
1. The relevant authorities of the Parties shall cooperate on customs matters to support the 
objectives set out in Article CUSTMS.1 [Objective], taking into account the resources of their 
respective authorities. For the purpose of this Title [Trade in goods], the Convention of 20 May 1987 
on the Simplification of Formalities in Trade in Goods applies.  
2. The Parties shall develop cooperation, including in the following a reas:  
(a) exchanging information concerning customs legislation, the implementation of customs 
legislation and customs procedures; particularly in the following areas:  
(i) the simplification  and modernisation of customs procedures;  
(ii) the facilitation  of tra nsit movements and transhipment;  
(iii) relations with the business community; and  
(iv) supply chain  security and risk management;  
(b) working together  on the customs -related aspects of securing and facilitating the international 
trade supply chain in accordanc e with the SAFE Framework;  
(c) 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;  
(d) strengthening their coop eration 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, UN ECE;  
(e) 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;  
                                                            
5 For greater certainty, it is und erstood 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.  
 
78 
 (f) strengthening their cooperation on risk manageme nt 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 c ustoms 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;  
(g) establishing  mutual recognition of Authorised Economic Operator  programmes to secure and 
facilitate trade;  
(h) 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;  
(i) enforcing intellectual  property rights by customs authorities, including exchanging information 
and best practices in customs operations focusing in particular on intellectual property  rights 
enforcement;  
(j) maintaining compatible customs procedures, where appropriate and practicable to do so, 
including the application of a single administrative document for customs declaration; and  
(k) exchanging, where relevant and appropriate and under arra ngements to be agreed, certain 
categories of customs -related information between the customs authorities of the Parties 
through structured and recurrent communica tion, 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 P rotocol on mutual administrative assistance in customs matters.  
3. Without prejudice to other forms of cooperation envisaged in this Agreement, the customs 
authorities of the Parties shall provide each other with mutual administrative assistance in the 
matters covered by this Chapter in accordance with the Protocol on mutual administrative 
assistance in customs matters.  
4. Any exchange of information between the Parties under this Chapter shall be subject to the 
confidentiality and protection of information  set out in Article 12 of the Protocol on mutual 
administrative assistance in customs matters [Information exchange and confidentiality], mutatis 
mutandis , as well as to any confidentiality requirements set out in the legislation of the Parties.  
Article CU STMS.3: Customs and other trade related legislation and procedures  
1. Each Party shall ensure that its customs provisions and procedures:  
(a) are consistent with international instruments and standards applicable in the area of customs 
and trade, including the WT O 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 S AFE Framework and the Customs Data Model of the WCO;  
 
79 
 (b) 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;  
(c) are based on legislation that is proportionate and non -discriminatory, avoids unnecessary 
burdens on economic operators, provides for further facilitation for operato rs 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  
(d) 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, consist ent and transparent.  
2. In order to improve working methods and to ensure non -discrimination, transparency, 
efficiency, integrity and the accountability of operations, each Party shall:  
(a) simplify and review requirements and formalities wherever possible with a  view to ensuring 
the rapid release and clearance of goods;  
(b) work towards the further simplification and standardisation of the data and documentation 
required by customs and other agencies; and  
(c) promote coordination between all border agencies, both intern ally and across borders, to 
facilitate border -crossing processes and enhance control, taking into account joint border 
controls where feasible and appropriate.  
Article CUSTMS.4: Release of goods  
1. Each Party shall adopt or maintain customs procedures that:  
(a) provide for the prompt release of goods within a period that is no longer than necessary to 
ensure compliance with its laws and regulations;  
(b) 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;  
(c) 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  
(d) allow for the release of goods prior to the final determination of customs duties, taxes, fees 
and charges, if such a determination i s not done prior to, or upon arrival, or as rapidly as 
possible after arrival and provided that all other regulatory requirements have been met.  
 
80 
 2. As a condition for such release, each Party may require a guarantee for any amount not yet 
determined in the f orm of a surety, a deposit or another appropriate instrument provided for in its 
laws and regulations. Such guarantee shall not be greater than the amount the Party requires to 
ensure payment of customs duties, taxes, fees and charges ultimately due for th e goods covered by 
the guarantee. The guarantee shall be discharged when it is no longer required.  
3. The Parties shall ensure that the customs and other authorities responsible for border 
controls and procedures dealing with importation, exportation and tran sit of goods cooperate with 
one another and coordinate their activities in order to facilitate trade and expedite the release of 
goods.  
Article CUSTMS.5: Simplified customs procedures  
1. Each Party shall work towards simplification of its requirements and for malities for customs 
procedures in order to reduce the time and costs thereof for traders or operators, including small 
and medium -sized enterprises.  
2. 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 : 
(a) customs declarations containing a reduced set of data or supporting  documents;   
(b) 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 ; 
(c) self-assessment of and the deferred payment of customs duties and taxes until after the release 
of those import ed goods; and  
(d) the use of a guarantee with a reduced amount or a waiver from the obligation to provide a 
guarantee.   
3. Where a Party chooses to adopt one of these measures, it will offer, where considered 
appropriate and practicable by that Party  and in accordance with its laws and regulations, these 
simplifications to all traders who meet the relevant criteria.  
Article CUSTMS.6: Transit and transhipment  
1. For the purposes of Article GOODS.4a [Freedom of Transit], the Common Transit Convention 
shall  apply.  
2. Each Party shall ensure the facilitation and effective control of transhipment operations and 
transit movements through their respective territories.  
3. Each Party shall promote and implement regional transit arrangements with a view to 
facilitating t rade in compliance with the Common Transit Convention.  
4. Each Party shall ensure cooperation and coordination between all concerned authorities and 
agencies in their respective territories in order to facilitate traffic in transit.  
 
81 
 5. Each Party shall allow goo ds intended for import to be moved within its territory under 
customs control from a customs office of entry to another customs office in its territory from where 
the goods would be released or cleared.  
Article CUSTMS.7: Risk management  
1. Each Party shall ad opt or maintain a risk management system for customs controls with a 
view to reducing the likelihood and the impact of an event which would prevent the correct 
application of customs legislation, compromise the financial interest of the Parties or pose a t hreat 
to the security and safety of the Parties and their residents, to human, animal or plant health, to the 
environment or to consumers.  
2. Customs controls, other than random checks, shall primarily be based on risk analysis using 
electronic data -processin g techniques.  
3. Each Party shall design and apply risk management in such a manner as to avoid arbitrary or 
unjustifiable discrimination, or disguised restrictions to international trade.  
4. Each Party shall concentrate customs controls and other relevant borde r controls on high -
risk consignments and shall expedite the release of low -risk consignments. Each Party may also 
select consignments for such controls on a random basis as part of its risk management.  
5. Each Party shall base risk management on the assessmen t of risk through appropriate 
selectivity criteria.  
Article CUSTMS.8: Post -clearance audit  
1. With a view to expediting the release of goods, each Party shall adopt or maintain post -
clearance audit to ensure compliance with customs and other related laws and regulations.  
2. Each Party shall select persons and consignments for post -clearance audits in a risk -based 
manner, which may include using appropriate selectivity criteria. Each Party shall conduct post -
clearance audits in a transparent manner. Where a person  is involved in the audit process and 
conclusive results have been achieved, the Party shall notify the person whose record is audited of 
the results, the person’s rights and obligations and the reasons for the results, without delay.  
3. The information obtai ned in post -clearance audits may be used in further administrative or 
judicial proceedings.  
4. The Parties shall, wherever practicable, use the results of post -clearance audit for risk 
management purposes.  
Article CUSTMS.9: Authorised Economic Operators  
1. Each Party shall maintain a partnership programme for operators who meet the specified 
criteria in Annex CUSTMS -1 [Authorised Economic Operators].  
2. The Parties shall recognise their respective programmes for Authorised Economic Operators 
in accordance with Annex  CUSTMS -1 [Authorised Economic Operators].  
 
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 Article CUSTMS.10: Publication and availability of information  
1. Each Party shall ensure that its customs legislation and other trade -related laws and 
regulations, as well as its general administrative procedures an d relevant information of general 
application that relate to trade, are published and readily available to any interested person in an 
easily accessible manner, including, as appropriate, through the Internet.  
2. Each Party shall promptly publish new legislat ion 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 
proc edures. Such publication shall include:  
(a) relevant notices of administrative nature;  
(b) importation, exportation and transit procedures (including port, airport, and other entry -point 
procedures) and required forms and documents;  
(c) applied rates of duty and taxes  of any kind imposed on or in connection with importation or 
exportation;  
(d) fees and charges imposed by or for governmental agencies on or in connection with 
importation, exportation or transit;  
(e) rules for the classification or valuation of products for custo ms purposes;  
(f) laws, regulations and administrative rulings of general application relating to rules of origin;  
(g) import, export or transit restrictions or prohibitions;  
(h) penalty provisions against breaches of import, export or transit formalities;  
(i) appeal procedures;  
(j) agreements or parts thereof with any country or countries relating to importation, 
exportation or transit;  
(k) procedures relating to the administration of tariff quotas;  
(l) hours of operation and operating procedures for customs offices at ports and border crossing 
points; and  
(m) points of contact for information enquiries.  
3. Each Party shall ensure there is a reasonable time period between the publication of new or 
amended legislation, procedures and fees or charges and their entry into force.  
4. Each Party shall make the following available through the internet:  
(a) 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;  
(b) the forms and documen ts required for importation into, exportation from, or transit through 
the territory of that Party; and  
 
83 
 (c) 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.  
5. Each Party shall establish or maintain one or more enquiry points to answer enquiries of 
governments, traders and other interested parties regarding customs and other trade -related 
matters within a reasonable time. The Parties shall not require the payment of a fee for answering 
enquiries.  
Article CUSTMS.11: Advance rulings  
1. Each Party, through its customs authorities, shall issue advance rulings upon application by 
economic operators setting forth the treatment to be accorded to the goods concerned. Such rulings 
shall be issued in writing or in electronic format in a time bound manner and shall contain all 
necessary information in accordance with the legislation of the issuing Party.  
2. Advance rulings  shall be valid for a period of at least three years from the starting date of 
their validity unless the ruling no longer conforms to the law or the facts or circumstances 
supporting the original ruling have changed.  
3. A Party may refuse to issue an advance ruling if the question raised in the application is the 
subject of an administrative or judicial review, or if the application does not relate to any intended 
use of the advance ruling or any intended use of a customs procedure. If a Party declines to issu e an 
advance ruling, it shall promptly notify the applicant in writing, setting out the relevant facts and the 
basis for its decision.  
4. Each Party shall publish, at least:  
(a) the requirements for applying for an advance ruling, including the information to be provided 
and the format;  
(b) the time period by which it will issue an advance ruling; and  
(c) the length of time for which the advance ruling is valid.  
5. If a Party revokes, modifies, invalidates or annuls an advance ruling, it shall provide written 
notice to the a pplicant setting out the relevant facts and the basis for its decision. A Party shall only 
revoke, modify, invalidate or annul an advance ruling with retroactive effect if the ruling was based 
on incomplete, incorrect, false or misleading information.  
6. An a dvance ruling issued by a Party shall be binding on that Party in respect of the applicant 
that sought it. The Party may provide that the advance ruling is binding on the applicant.  
7. Each Party shall provide, at the written request of the holder, a revie w of an advance ruling or of a 
decision to revoke, modify or invalidate an advance ruling.  
8. Each Party shall make publicly available information on advance rulings, taking into account the 
need to protect personal and commercially confidential informatio n. 
9. Advance rulings shall be issued with regard to:  
 
84 
 (a) the tariff classification of goods;  
(b) the origin of goods; and  
(c) any other matter the Parties may agree upon.  
Article CUSTMS.12: 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 broker s. 
Article CUSTMS.13: 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 compani es, before customs clearance.  
Article CUSTMS.14: Review and appeal  
1. Each Party shall provide effective, prompt, non -discriminatory and easily accessible 
procedures that guarantee the right of appeal against administrative actions, rulings and decisions of 
customs or other competent authorities that affect the import or export of goods or goods in transit.  
2. The procedures referred to in paragraph 1 shall include:  
(a) an administrative appeal to or review by an administrative authority higher than or 
independent o f the official or office that issued the decision; and  
(b) a judicial appeal or review of the decision.  
3. Each Party shall ensure that, in cases where the decision on appeal or review under point (a) 
of paragraph 2 is not given within the time period provided fo r in its laws and regulations or is not 
given without undue delay, the petitioner has the right to further administrative or judicial appeal or 
review or any other recourse to judicial authority in accordance with that Party’s laws and 
regulations.  
4. Each Party shall ensure that the petitioner is provided with the reasons for the 
administrative decision so as to enable the petitioner to have recourse to appeal or review 
procedures where necessary.  
Article CUSTMS.15: Relations with the business community  
1. Each Party shall hold timely and regular consultations with trade representatives on 
legislative proposals and general procedures related to customs and trade facilitation issues. To that 
end, appropriate consultation between administrations and the business community shall be 
maintained by each Party.  
2. Each Party shall ensure that its customs and related requirements and procedures continue 
to meet the needs of the trading community, follow best practices, and restrict trade as little as 
possible.  
 
85 
 Article CUS TMS.16: Temporary admission  
1. For the purposes of this Article, ‘temporary admission’ means the customs procedure under 
which certain goods, including means of transport, can be brought into a customs territory with 
conditional relief from the payment of imp ort duties and taxes and without the application of import 
prohibitions or restrictions of an economic character, on the condition that the goods are imported 
for a specific purpose and are intended for re -exportation within a specified period without havi ng 
undergone any change except normal depreciation due to the use made of those goods.  
2. 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:  
(a) 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, confer ences or congresses); products obtained 
incidentally during the event from temporarily imported goods, as a result of the 
demonstration of displayed machinery or apparatus;  
(b) professional equipment (equipment for the press, for sound or television broadcasti ng 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 equip ment 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 pe rform 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 ea rth moving and like projects; ancillary apparatus for the equipment mentioned above, 
and accessories therefor); component parts imported for repair of professional equipment 
temporarily admitted;  
(c) 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 a nd 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 o f containers granted temporary admission; pallets; 
samples; advertising films; other goods imported in connection with a commercial operation);  
(d) 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 mach ines made available to a customer by a supplier or repairer, pending the 
delivery or repair of similar goods);  
 
86 
 (e) goods imported exclusively for educational, scientific or cultural purposes (scientific 
equipment, pedagogic material, welfare material for seafa rers, 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, che cking, gauging or repair of such equipment;  
(f) 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 go ods 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);  
(g) 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);  
(h) goods imported for humanitarian pu rposes (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 s imilar catastrophes); and  
(i) 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 t ransport, medical purposes (delivery of snake poison, etc.).  
3. Each Party shall, for the temporary admission  of the goods referred to in paragraph 2 and 
regardless of their origin, accept a carnet as prescribed for the purposes of the ATA and Istanbul 
Conven tions issued in the other Party, endorsed there and guaranteed by an association forming 
part of the international guarantee chain, certified by the competent authorities and valid in the 
customs territory of the importing Party.  
Article CUSTMS 17. 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.  
Articl e CUSTMS 18. Facilitation of roll -on, roll -off traffic  
1. In recognition of the high volume of sea -crossings and, in particular, the high volume of roll 
on, roll off traffic between their respective customs  territories, the Parties agree to cooperate in 
order to facilitate such traffic as well as other alternative modes of traffic.  
2. The Parties acknowledge : 
(a) the right of each Party to adopt trade facilitating customs formalities and procedures for 
traffic between the Parties within their respective legal frameworks; and  
 
87 
 (b) 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.  
3. To this effect the Parties:  
(a) shall adopt or maint ain 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  
(b) undertak e to facilitate the use by operators of the transit procedure, including simplifications 
of the transit  procedure as provided for under the Common Transit Convention.  
4. The Parties agree to encourage cooperation between their respective customs authoritie s 
on bilateral sea -crossing routes, and to exchange information on the functioning of ports handling 
traffic between them and on the applicable rules and procedures. They will make public, and 
promote knowledge by operators of, information on the measures they have in place and the 
processes established by ports to facilitate such traffic.  
Article CUSTMS.19: 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 re covery of claims relating to taxes and duties.  
Article CUSTMS. 20: Trade Specialised Committee on Customs Cooperation and Rules of Origin  
1.  The Trade Specialised Committee on Customs Cooperation and Rules of Origin shall:  
(a) hold regular consultations ; and  
(b) in relation to the review of the provisions of  the Annex CUSTMS -1 [Authorised Economic 
Operators]:  
(i) jointly validate  programme members to identify strengths and weaknesses in 
implementing Annex CUSTMS -1 [Authorised Economic Operators]; and  
(ii) exchange views on data to be shared and treatment of operators.  
2. The Trade Specialised Committee  on Customs Cooperation and Rules of Origin may adopt 
decisions or recommendations:  
(a) 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 ;  
(b) on the arrangements relating to the automatic exchange of information as referred to in 
Article 10 [Automatic exchange of information] of the Protocol on mutual administrative 
assistance in customs matters, and on other issues relating to the implementation of that 
Protocol;  
 
88 
 (c) on any issues  relating to the implementation of the Annex CUSTMS -1 [Authorised Economic 
Operators]; and  
(d) on the procedures for the consultation established in Article ORIG.26 [Denial of preferential 
tariff treatment] on any technical or administrative matters relati ng to the implementation of 
Chapter 2 [Rules of Origin] of this Title, including on interpretative notes aimed at ensuring the 
uniform administration of the rules of origin.  
Article CUSTMS.21: Amendments  
1.  The Partnership Council may amend:  
(a) Annex CUS TMS -1 [Authorised Economic Operators], the Protocol on mutual administrative 
assistance in customs matters and the list of goods set out in paragraph 2 of CUSTMS.16 
[Temporary admission]; and  
(b) 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.   
2.  The Trade Specialised Committee on Administrative Cooperation in VAT and recovery of 
taxes and duties may amend the val ue referred to in Article 33(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.  
TITLE II: SERVICES A ND INVESTMENT  
Chapter 1:  General provisions  
Article SERVIN.1.1: Objective and scope  
1. The Parties affirm their commitment to establish a favourable climate for the development 
of trade and investment  between them.  
2. 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 promot ion and protection of cultural diversity.  
3. This Title does not apply to measures affecting natural persons of a Party seeking access to 
the employment market of the other Party or to measures regarding nationality, citizenship, 
residence or employment on a permanent basis.  
4. This Title shall not prevent a Party from applying measures to regulate the entry of natural 
persons into, or their temporary stay in, its territory, including those 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 Title.  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 Title.  
5. This Title does not apply to:  
 
89 
 (a) air services  or related services in support of air services6, other than:  
(i) aircraft  repair  and maintenance services;  
(ii) computer reservation system services;  
(iii) ground handling services;  
(iv) the following services provided using a manned aircraft, subject to compliance with 
the Parties respective laws and regulations governing the admission of aircraft s 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  
(v) the selling and marketing of air transpor t services;  
(b) audio -visual  services;  
(c) national maritime cabotage7; and  
(d) inland waterways transport.  
6. This Title does  not apply to any measure of a Party with respect to public procurement of a 
good or service  purchased for governmental purposes, and not with a view to commercial resale or 
with a view to use in the supply of a good or service for commercial sale, whether or not that 
procurement is ‘covered procurement’ within the meaning of Article PPROC.2 [Incorporation of 
certain provisions of the GPA and cov ered procurement].  
7. Except  for Article SERVIN.2.6 [Performance requirements], this Title does not apply to 
subsidies or grants provided by the Parties, including government -supported loans, guarantees and 
insurance.  
                                                            
6  Air ser vices 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; th e rental of aircraft 
with crew; and airport operation services.  
7  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 o f 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, done in Montego  Bay, Jamaica, on 10 December 1982, 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, done in Montego Bay, Jamaica, on 10 
December 1982, and traffic originating and terminating in the same  port or point located in the United 
Kingdom.  
 
90 
 Article SERVIN.1.2: Definitions  
For the p urposes of this Title:  
(a) "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 operators8; 
(b) "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;  
(c) "computer reservation system services"  means services provide d 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;  
(d) "covered enterprise"  means an enterprise in the territory of a Party esta blished 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;  
(e) "cross -border trade in services " means the supply of a serv ice: 
(i) from the territory of a Party into the territory of the other Party; or  
(ii) in the territory of a Party to the service consumer of the other Party;  
(f) "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;  
(g) "enterprise"  means a legal person or a branc h or a representative office of a legal person;  
(h) "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 vi ew to creating or maintaining lasting economic links;  
(i) "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 aircr aft; 
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 essent ial centralised airport 
infrastructure, such as de -icing facilities, fuel distribution systems, baggage handling systems 
and fixed intra airport transport systems;  
(j) "investor of a Party" means a natural or legal person of a Party that seeks to establish, i s 
establishing or has established an enterprise in accordance with point (h) in the territory of 
the other Party;  
                                                            
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 SERVIN.1.2 [Definitions].  
 
91 
 (k) "legal person of a Party"9 means:  
(i) for the Union:  
(A) a legal person constituted or organised under the law of the Union or at 
least one of i ts 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  
(B) shipping  companies established outside the Union, and controlled by natural 
persons of a M ember State, whose vessels are registered in, and fly the flag 
of, a Member State;  
(ii) for the United Kingdom :  
(A) 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  
(B) 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;  
(l) "operation " means the conduct, managem ent, maintenance, use, enjoyment, or sale or other 
form of disposal of an enterprise;  
(m) "professional qualifications " means qualifications attested by evidence of formal qualification, 
professional experience, or other attestation of competence;  
(n) "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 pri cing of air 
transport services nor the applicable conditions;  
(o) "service" means any service in any sector except services supplied in the exercise of 
governmental authority;  
(p) "services supplied in the exercise of governmental authority" means any service whi ch is 
supplied neither on a commercial basis, nor in competition with one or more service suppliers;  
(q) "service supplier" means any natural or legal person that seeks to supply or supplies a service;  
                                                            
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.  
 
92 
 (r) "service supplier of a Party" means a natural or legal person of a Party that seeks to supply or 
supplies a service.  
Article SERVIN.1.3: Denial of benefits  
1. A Party may  deny the benefits of this Title and Title IV [Capital movements, payments, 
transfers and temporary safeguard measures]  of this Heading to an in vestor 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:  
(a) prohibit transacti ons with that investor, service supplier or covered enterprise; or  
(b) would be violated or circumvented if the benefits of this Title and Title IV [Capital 
movements, payments , transfers and temporary safeguard measures]  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.  
2. For greater certainty, paragraph 1 is applicable to Title IV [Capital movements, payment s, 
transfers and temporary safeguard measures] of this Heading to the extent that it relates to services 
or investment with respect to which a Party has denied the benefits of this Title.  
Article SERVIN.1.4: Review  
1. With a view to introducing possible improvements to the provisions of this Title, and 
consistent with their  commitments  under international agreements, the Parties shall review their 
legal framework relating to trade in services and investment, including t his Agreement, in 
accordance with Article FINPROV.3 [Review].  
2. The Parties shall endeavour, where appropriate, to review the non -conforming measures 
and reservations set out in Annex SERVIN -1 [Existing measures] , Annex SERVIN -2 [Future measures] , 
Annex SERVIN -3 [Business visitors for establishment purposes, intra -corporate transferees and 
short -term business visitors]  and Annex SERVIN -4 [Contractual service suppliers and independent 
professionals] and the activities for short term business visitors set o ut in Annex SERVIN -3 [Business 
visitors for establishment purposes, intra -corporate transferees and short -term business visitors] , 
with a view to agreeing to possible improvements in their mutual interest.   
3. This Article shall not apply with respect to f inancial services.  
Chapter 2: Investment  liberalisation  
Article SERVIN.2.1: 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 : 
(a) investors of the other Party;  
(b) covered enterprises; and  
(c) for the purposes of Article SERVIN.2.6 [Performance requirements], any enterprise in the 
territory of the Party which adopts or maintains the measure.  
 
93 
 Article SERVIN.2.2: 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:   
(a) impose  limitations on:   
(i) 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;  
(ii) the total value of tran sactions or assets in the form of numerical quotas or the 
requirement of an economic needs test;  
(iii) the total number of operations or on the total quantity of output expressed in terms 
of designated numerical units in the form of quotas or the requirem ent of an 
economic needs test;10 11 
(iv) 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  
(v) 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  
(b) restrict or re quire specific types of legal entity or joint venture through which an investor of 
the other Party may perform an economic activity.   
Article SERVIN.2.3: National treatment  
1. Each Party shall accord to investors of the other Party and to covered enterprises treatment 
no less favourable than that it accords, in like situations, to its own investors and to their 
enterprises, with respect to their  establishment and operation in its territory.   
2. The treatment accorded by a Party under paragraph 1 means:  
(a) with respe ct 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 
(b) 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.  
                                                            
10  Points (a) (i) to (iii) of Article SERVIN.2.2 [Market access] do not cover measures taken in order to limit 
the production of an  agricultural or fishery product.   
11  Point (a)(iii) of Article SERV IN.2.2 [Market access] does not cover measures by a Party which limit inputs 
for the supply of services.  
 
94 
 Article SERVIN.2.4: Most favoured nation trea tment  
1. Each Party shall accord to investors of the other Party and to covered enterprises treatment 
no less favourable  than that it accords, in like situations, to investors of a third country and to their 
enterprises, with respect to establishment in its t erritory.  
2. Each Party shall accord to investors of the other Party and to covered enterprises treatment 
no less favourable than that it accords, in like situations, to investors of a third country and to their 
enterprises, with respect to operation in its t erritory.  
3. 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:   
(a) an international  agreement for the avoidance  of double taxation or ot her international 
agreement or arrangement relating wholly or mainly to taxation; or   
(b) measures providing for recognition, including the recognition of the standards or criteria for 
the authorisation, licencing, or certification of a natural person or ente rprise 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.  
4. For greater  certainty , the “treatment” referred to in paragraphs 1 and 2 does not  include 
investor -to-state dispute  settlement procedures provided for in other international agreements.  
5. For greater certainty, the existence of substantive  provisions in other international 
agreements concluded  by a Party with a third country, or the mere formal transpositio n of those 
provisions into domestic law to the extent that it is necessary in order to incorporate them into the 
domestic legal order, do not in themselves constitute the “treatment” referred to in paragraphs 1 
and 2. Measures of a Party pursuant to those provisions may constitute such treatment and thus 
give rise to a breach of this Article.   
Article SERVIN.2.5: 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 SERVIN.2.6: Performance requirements  
1. A Party shall not impose or enforce any requirement, or enforce any commitment or 
undertaking, in connection with the establishment or operation of any ent erprise in its territory:  
(a) to export  a given level or percentage of goods  or services;  
(b) to achieve a given level or percentage of domestic content;  
(c) 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;  
(d) 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;  
 
95 
 (e) 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;  
(f) to transfer technology, a production process or other prop rietary knowledge to a natural or 
legal person or any other entity in its territory12; 
(g) 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;  
(h) to locate the headq uarters for a specific region of the World which is broader than the 
territory of the Party or the world market in its territory;  
(i) to employ a given number or percentage of natural persons of that Party;  
(j) to achieve a given level or value of research and dev elopment in its territory;  
(k) to restrict the exportation or sale for export; or  
(l) 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 li cence 
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 interf erence with that licence 
contract by an exercise of non -judicial governmental authority of a Party, to adopt:  
(i) a rate or amount of royalty below a certain level; or  
(ii) 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.  
2. A Party shall no t 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:  
(a) achieving a given level or percentage of domestic cont ent;  
(b) 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;  
(c) relating in any way the volume or value of impo rts to the volume or value of exports or to the 
amount of foreign exchange inflows associated with that enterprise;  
                                                            
12  For greater certainty, point (f) of Article SERVIN.2.6(1) [Performance requirements] is without prejudice 
to the provisions of Article DIGIT.12 [Tra nsfer of or access to source code].  
 
96 
 (d) 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  
(e) restricting the exportation or sale for export.  
3. Paragraph 2 shall not be construed as preventing a Party from conditioning the receipt or 
continued receipt of an advantage, in connection  with the establishment or operation of any 
enterprise in its territory, on compliance with a requirement to locate production, supply a service, 
train or employ workers, construct or expand particular facilities, or carry out research and 
development, in its territory.  
4. Points (f) and (l) of paragraph 1 do not apply where:  
(a) 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 
competiti on law to prevent or remedy a restriction or a distortion of competition; or  
(b) 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.  
5. Points (a) to (c) of paragraph 1 and points (a) and (b) of paragraph 2 do not apply to 
qualification requirements for goods or services with respect to participation in export promotion 
and foreign aid programmes.  
6.  For greater certainty, this Article does not preclude the enforcement by the competent 
authorities of a Party of any commitment or undertaking given between persons other than a Party 
which was not directly or indirectly imposed or required by that Party.  
7.  For greater certainty, points (a) and (b) of paragraph 2 do not apply to requirements 
imposed by an importing Party in relation  to the content of goods necessary to qualify 
for preferential tariffs or preferential quotas.  
8.  Point (l) of paragraph 1 does not apply if the requirement is imposed or enforced, or the 
commitment or undertaking is enforced, by a tribunal as equitable r emuneration under the Party's 
copyright laws.  
9.  A Party shall neither impose nor enforce any measure inconsistent with its obligations under 
the Agreement on Trade -Related Investment Measures (TRIMs), even where such measure has been 
listed by that Party  in ANNEX SERVIN -1 [Existing measures] or ANNEX SERVIN -2 [Future measures].  
10.  For greater certainty, this Article shall not be construed as requiring a Party to permit a 
particular service to be supplied on a cross -border basis where that Party adopts o r maintains 
restrictions or prohibitions on such provision of services which are consistent with the reservations, 
conditions or qualifications specified with respect to a sector, subsector or activity listed in ANNEX 
SERVIN -1 [Existing measures] or ANNEX SERVIN -2 [Future measures].  
11.  A condition for the receipt or continued receipt of an advantage referred to in paragraph 2 
does not constitute a requirement or a commitment or undertaking for the purposes of paragraph 1.  
 
97 
 Article SERVIN.2.7: Non -conformin g measures and exceptions  
1. Articles SERVIN.2.2 [Market access], SERVIN.2.3 [National treatment], SERVIN.2.4 [Most 
favoured nation treatment], SERVIN .2.5 [Senior management and boards of directors] and 
SERVIN.2.6 [Performance requirements], do not apply to:  
(a) any existing  non-conforming measure of a Party at the level of:  
(i) for the Union:  
(A) the Union, as set out in the Schedule of the Union in Annex SERVIN.1 
[Existing measures];  
(B) The central government of a Member State, as set out in  the Schedule of th e 
Union in Annex SERVIN.1 [Existing measures];  
(C) a regional government of a Member State, as set out in the Schedule of the 
Union in Annex SERVIN.1 [Existing measures]; or  
(D) a local government, other than that referred to in point (C); and  
(ii) for t he United Kingdom:   
(A) the central government, as set out in the Schedule of the United Kingdom in  
Annex SERVIN.1 [Existing measures];  
(B) a [regional government], as set out in the Schedule of the United Kingdom in  
Annex SERVIN.1 [Existing measures];  
or  
(C) a local government;  
(b) the continuation or prompt renewal of any non -conforming measure referred to in point (a); 
or  
(c) a modification to any non -conforming measure referred to in points (a) and (b)  of this 
paragraph , provided that it does not decrease the conformity of the measure, as it existed 
immediately before the modification, with Articles SERVIN.2.2 [Market access], Article 
SERVIN.2.3 [National treatment], Articles SERVIN.2.4 [Most favoured nation treatment], 
SERVIN.2.5 [Senior management and boa rds of directors] or SERVIN.2.6 [Performance 
requirements].  
2. Articles SERVIN.2.2 [Market access], SERVIN.2.3 [National treatment], SERVIN.2.4 [Most 
favoured nation treatment], SERVIN.2.5 [Senior management and boards of directors] and 
SERVIN.2.6 [Performanc e requirements] do not apply to a measure of a Party which is consistent 
with the reservations, conditions or qualifications specified  with respect to a sector, subsector or 
activity listed in Annex SERVIN.2 [Future measures].  
3. Articles SERVIN.2.3 [National  treatment] and SERVIN.2.4 [Most favoured nation treatment] 
do not apply to any measure that constitutes an exception to, or a derogation from, Articles 3 or 4 of 
the TRIPS Agreement, as specifically provided for in Articles 3 to 5 of that Agreement.  
 
98 
 4. For g reater certainty, Articles SERVIN.2.3 [National treatment] and SERVIN.2.4 [Most 
favoured nation treatment] shall not be construed as preventing a Party from prescribing 
information requirements, including for statistical purposes, in connection with the es tablishment or 
operation of investors of the other Party or of covered enterprises, provided that it does not 
constitute a means to circumvent that Party’s obligations under those Articles.  
Chapter 3: Cross -border  trade in services  
Article SERVIN.3.1: Scope  
This Chapter applies to measures of a Party affecting the cross -border trade in services by service 
suppliers of the other Party.  
Article SERVIN.3.2: 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:  
(a) impose limitations  on: 
(i) the number of services 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;  
(ii) the total value of service transactions or assets in the form of numerical quotas or the 
requirement of an economic  needs test; or  
(iii) the total number of service operations or on the total quantity of service output 
express ed in the terms of designated numerical units in the form of quotas or the 
requirement of an economic needs test13; or 
(b) restrict or require specific types of legal entity or joint venture through which a service 
supplier may supply a service.  
Article SER VIN.3.3: 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 SERVIN.3.4:  National treatmen t 
1. Each Party  shall accord to services and service suppliers of the other Party treatment no less 
favourable than that it accords, in like situations , to its own services and services suppliers.  
2. A Party may meet the requirement of paragraph 1 by according t o services and service 
suppliers of the other Party either formally identical treatment or formally different treatment to 
that it accords to its own services and service suppliers.  
                                                            
13  Point (a) (iii) of Article SERVIN.3.2 [Market access] does not cover  measures by a Party which limit 
inputs for the supply of services.  
 
99 
 3. Formally identical or formally different treatment shall be considered to be less favourable if 
it modifies the conditions of competition in favour of services or service suppliers of the Party 
compared to services or service suppliers of the other Party.  
4. Nothing in this Article shall be construed as requiring either Party to co mpensate for 
inherent competitive disadvantages which result from the foreign character of the relevant services 
or services suppliers.  
Article SERVIN .3.5: Most favoured nation treatment  
1. Each Party shall accord  to services and service suppliers of the other Party treatment no less 
favourable than that it accords, in like situations, to services and service suppliers of a third country.  
2. 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:  
(a) an international  agreement for the avoidance of double taxation or other international 
agreement or arrangement relating wholly or mainly to taxation; or  
(b) 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 Fin ancial Services.  
3. For greater certainty, the existence of substantive provisions in other international 
agreements concluded by a Party with a third country, or mere formal transposition of those 
provisions into domestic law to the extent that it is necessa ry in order to incorporate them into the 
domestic legal order, do not in themselves constitute the "treatment" referred to in paragraph 1. 
Measures of a Party pursuant to those provisions may constitute such treatment and thus give rise 
to a breach of this  Article.  
Article SERVIN.3.6: Non -conforming measures  
1. Articles SERVIN.3.2 [Market access], SERVIN.3.3 [Local presence], SERVIN.3.4 [National 
treatment ] and SERVIN. 3.5 [Most favoured nation treatment] do not apply to:  
(a) any existing  non-conforming  measure of  a Party at the level of:  
(i) for the Union:  
(A) the Union, as set out in the Schedule of the Union in Annex SERVIN -1 
[Existing measures ];  
(B) the central government of a Member State, as set out in the Schedule of the 
Union in Annex SERVIN -1 [Existing measures ];  
(C) a regional government of a Member State, as set out in the Schedule of the 
Union in Annex SERVIN -1 [Existing measures ]; or  
(D) a local government, other than that referred to in point (C); and  
(ii) for the United Kingdom:  
 
100 
 (A) the central g overnment, as set out in the Schedule of the United Kingdom  in 
Annex SERVIN -1 [Existing measures ]; 
(B) a regional government, as set out in the Schedule of the United Kingdom  in 
Annex SERVIN -1 [Existing measures ]; or  
(C) a local government;  
(b) the continuati on or prompt renewal of any non -conforming measure referred to in point (a); 
or  
(c) a modification of 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 SERVIN.3.2 [Market access], SERVIN.3.3 
[Local presence]], SERVIN.3.4  [National treatment] and SERVIN.3.5  [Most favoured nation 
treatm ent].  
2. Articles 3.2 [Market access], SERVIN.3.3 [Local presence], SERVIN.3.4 [National treatment] and 
SERVIN.3.5  [Most favoured nation treatment] do not apply to any measure of a Party which is  
consistent with the reservations, conditions or qualifications specified with respect to a sector, 
subsector or activity listed in Annex SERVIN -2 [Future measures] . 
Chapter 4: Entry and temporary stay of natural persons for business purposes  
Article SERVIN .4.1: Scope and definitions  
1. This Chapter applies  to measures of a Party affecting the performance of economic activities 
through the entry and temporary stay in its territory of natural persons of the other Party, who are 
business visitors for establishme nt purposes, contractual service suppliers, independent 
professionals, intra -corporate transferees and short -term business visitors.  
2. To the extent that commitments are not undertaken in this Chapter, all requirements 
provided for in the law of a Party rega rding the entry and temporary stay of natural persons shall 
continue to apply, including laws and regulations concerning the period of stay.  
3. Notwithstanding the provisions of this Chapter, all requirements provided for in the law of a 
Party regarding work and social security measures shall continue to apply, including laws and 
regulations concerning minimum wages and collective wage agreements.  
4. Commitments on the entry and temporary stay of natural persons for business purposes do 
not apply in cases where t he intent or effect of the entry and temporary stay is to interfere with or 
otherwise affect the outcome of any labour or management dispute or negotiation, or the 
employment of any natural person who is involved in that dispute.  
5. For the purposes of this Chapter:  
(a) "business visitors  for establishment purposes" means natural persons working in a senior 
position within a legal person of a Party, who:  
(i) are responsible for setting up an enterprise of such legal person in the territory of the 
other Party;  
 
101 
 (ii) 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  
(iii) do not receive remuneration from a source located within the other Party;  
(b) "contra ctual 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 c ontract, not 
exceeding 12 months, to supply services to a final consumer in the other Party requiring the 
temporary presence of its employees who:  
(i) 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;  
(ii) 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 obje ct 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 Party14; and  
(iii) do not receive remuneration from a sour ce located within the other Party;  
(c) "independent professionals" means natural persons engaged in the supply of a service and 
established as self -employed in the territory of a Party who:  
(i) have not established in the territory of the other Party;  
(ii) 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  
(iii) 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 profession al 
qualifications legally required to exercise that activity in the other Party15;  
(d) "intra -corporate transferees" means natural persons, who:  
(i) 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;  
(ii) at the time of application reside outside the territory of the other Party;  
                                                            
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 whet her this is equivalent to a university degree required in its territory.  
 
102 
 (iii) are temporarily transferred to an enterprise of the legal person in the territory of the 
other Party which is a member of the same grou p as the originating legal person, 
including its representative office, subsidiary, branch or head company16; and  
(iv) belong to one of the following categories:  
(A) managers17;  
(B) specialists; or  
(C) trainee employees;  
(e) "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 r esponsibilities include:  
(i) directing the enterprise or a department or subdivision thereof;  
(ii) supervising and controlling the work of other supervisory, professional or managerial 
employees; and  
(iii) having the authority to recommend hiring, dismissi ng or other personnel -related 
actions;  
(f) "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; an d 
(g) "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 
6. The service co ntract referred to under points (b) and (c) of paragraph 5 shall comply with the 
requirements of the law of the Party where the contract is executed.  
                                                            
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.  
 
103 
 Article SERVIN.4.2: Intra -corporate transferees and business visitors for establishment purposes  
1. Subject to the relevant  conditions and qualifications specified in Annex SERVIN -3 [Business 
visitors for establishment purposes, intra -corporate transferees, and short -term business visitors]:  
(a) each Party shall allow:  
(i) the entry and temporary stay of intra -corporate transferees;  
(ii) 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  
(iii) the employment in its territory of intra -corporate transf erees of the other Party;  
(b) 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 establis hment 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  
(c) 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 natu ral persons.  
2. The permissible length of stay shall be for a period of up to three years for managers and 
specialists, up to one year for trainee employees and up to 90 days within any six -month period for 
business visitors for establishment purposes.  
Article SERVIN.4.3: Short -term business visitors  
1. Subject to the relevant conditions and qualifications specified in Annex SERVIN -3 [Business 
visitors for establishment purposes, intra -corporate transferees and short term business visitors], 
each Party shall al low 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 SERVIN -3 [Business visitors for 
establishment purposes, intra -corporate transferees and short term business visitors], subject to the 
following conditions:  
(a) the short -term business visitors are not engaged  in selling their goods or supplying services to 
the general public;  
(b) the short -term business visitors do not, on their own behalf, receive remuneration from 
within the Party where they are staying temporarily; and  
(c) 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 wher e they are staying temporarily, and a consumer there, except as provided for in 
Annex SERVIN -3 [Business visitors for establishment purposes, intra -corporate transferees and 
short term business visitors].  
2. Unless otherwise specified in Annex SERVIN -3 [Busi ness visitors for establishment purposes, 
intra -corporate transferees and short term business visitors], a Party shall allow entry of short -term 
 
104 
 business visitors without the requirement of a work permit, economic needs test  or other prior 
approval procedu res of similar intent.  
3. If short -term business visitors of a Party are engaged in the supply of a service to a consumer 
in the territory of the Party where they are staying temporarily in accordance with Annex SERVIN -3 
[Business visitors for establishment purposes, intra -corporate transferees and short term business 
visitors], that Party shall accord to them, with regard to the supply of that service, treatment no less 
favourable than that it accords, in like situations, to its own service suppliers.  
4. The pe rmissible length of stay shall be for a period of up to 90 days in any six -month period.  
Article SERVIN.4.4: Contractual service suppliers and independent professionals  
1. In the sectors, subsectors  and activities specified in Annex SERVIN -4 [Contractual ser vice 
suppliers and independent professionals] and subject to the relevant conditions and qualifications 
specified therein:  
(a) a Party shall allow the entry and temporary stay of contractual service suppliers and 
independent professionals in its territory;  
(b) 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  
(c) 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 supplie rs.  
2. Access accorded under this Article relates only to the service which is the subject of the 
contract and does not confer entitlement to use the professional title of the Party where the service 
is provided.  
3. The number of persons covered by the service  contract shall not be greater than necessary 
to fulfil the contract, as it may be required by the law of the Party where the service is supplied.  
4. The permissible length of stay shall be for a cumulative period of 12 months, or for the 
duration of the con tract, whichever is less.  
Article SERVIN.4.5: 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 SERVIN.4.2(1) [Intra -corporate transferees and  business 
visitors for establishment purposes] , Article SERVIN.4.3(3)  [Short -term business visitors] and points 
(b) and (c) of Article SERVIN.4.4(1) [Contractual service suppliers and independent professionals] do 
not apply to:  
(a) any existing non-conforming  measure of a Party at the level of:  
(i) for the Union:  
(A) the Union, as set out in the Schedule of the Union in Annex SERVIN -1 
[Existing measures ];  
 
105 
 (B) the central government of a Member State, as set out in the Schedule of the 
Union in Annex SERVIN -1 [Existing measures ];  
(C) a regional government of a Member State, as set out in  the Schedule of the 
Union in Annex SERVIN -1 [Existing measures ]; or  
(D) a local government, other than that referred to in point (C); and  
(ii) for the United Kingdom:  
(A) the central government, as set out in the Schedule of the United Kingdom in 
Annex SERVIN -1 [Existing measures ]; 
(B) a [regional subdivision], as set out in the Schedule of the United Kingdom in 
Annex SERVIN -1 [Existing measures ]; or  
(C) a local government;  
(b) the continuation or prompt renewal of any non -conforming measure referred to in point (a);  
(c) a modification of 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 SERVIN.4.2(1) [ Intra -
corporate transferees and business visitors for establishment purposes] , Article SERVIN.4.3(3) 
[Short -term business visitors]  and points (b) and (c) of Article SERVIN.4.4(1) [ Contractual 
service suppliers and independent professionals] ; or  
(d) any measure of a Party consistent with a condition or qualification specified in Annex SERVIN -
2 [Future measures] . 
Article SERVIN.4.6: Transparency  
1. Each Party shall  make publicly available  information on relevant measures that pertain to 
the entry and temporary stay of natural persons of the other Party, referred to in Article 
SERVIN.4.1(1) [Scope and definitions].  
2. The information referred to in paragraph 1 shall, t o the extent possible, include the 
following information relevant to the entry and temporary stay of natural persons:  
(a) categories  of visa, permits or any similar type of authorisation regarding the entry and 
temporary stay;  
(b) documentation required and condi tions to be met;  
(c) method of filing an application and options on where to file, such as consular offices or online;  
(d) application fees and an indicative timeframe of the processing of an application;  
(e) the maximum length of stay under each type of authorisation  described in point (a);  
(f) conditions for any available extension or renewal;  
(g) rules regarding accompanying dependants;  
 
106 
 (h) available review or appeal procedures; and  
(i) relevant laws of general application pertaining to the entry and temporary stay of natural 
persons for business purposes.  
3. With respect to the information referred to in paragraphs 1 and 2, each Party shall 
endeavour to promptly inform the other Party of the introduction of any new requirements and 
procedures or of the changes in any requirements  and procedures that affect the effective 
application for the grant of entry into, temporary stay in and, where applicable, permission to work 
in the former Party.  
Chapter 5: Regulatory framework  
Section 1: Domestic  regulation  
Article SERVIN.5.1: Scope and  definitions  
1. This Section applies to measures by the Parties relating to licensing requirements and 
procedures, qualification requirements and procedures, formalities and technical standards that 
affect:  
(a) cross -border  trade in services;  
(b)  establishment or operation; or  
(c) 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 SERVIN.4.1 [Scope and definitions].  
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.  
2. This Section does not apply to licensin g requirements and procedures, qualification 
requirements and procedures, formalities and technical standards pursuant to a measure:  
(a) that does  not conform with Article SERVIN.2.2 [Market access] or 2.3 [National treatment] and 
is referred to in points (a)  to (c) of Article SERVIN.2.7(1) [Non -conforming measures and 
exceptions] or with Article SERVIN.3.2 [Market access], Article SERVIN.3.3 [Local presence] or 
Article SERVIN.3.4 [National treatment] and is referred to in points (a) to (c) of Article 
SERVIN.3 .6(1)  [Non -conforming measures] or with points (b) and (c) of Article SERVIN 4.2(1) 
[Intra -corporate transferees and business visitors for establishment purposes], or Article 
SERVIN 4.3(3) [Short -term business visitors]] or with points (b) and (c) of Artic le SERVIN 4.4(1) 
[Contractual service suppliers and independent professionals] and is referred to in Article 
SERVIN 4.5(1) [Non -conforming measures]; or  
(b) referred to in Article SERVIN.2.7(2) [Non -conforming measures and exceptions] or Article 
SERVIN.3.6(2)  [Non -conforming measures].  
3. For the purposes of this Section:  
(a) "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 
 
107 
 order to demonstrate compliance with licensing requirements, qualification requirements, 
technical standards or formalities for the purposes of obtaining, maintaining or renewing that 
permission; and  
(b) "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 SERVIN.5.2: 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 jur isdiction of multiple competent authorities, multiple applications for 
authorisation may be required.  
Article SERVIN.5.3: 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 appli cation.  
Article SERVIN.5.4: Electronic applications and acceptance of copies  
If a Party requires authorisation, it shall ensure that its competent authorities:  
(a) to the extent possible provide for applications to be completed by electronic means, including  
from within the territory of the other Party;  and  
(b) 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 i ntegrity of the authorisation process.  
Article SERVIN.5.5: Processing of applications  
1. If a Party requires authorisation , it shall ensure that its competent authorities:  
(a) process applications throughout the year. Where that is not possible, this information  should 
be made public in advance, to the extent feasible;  
(b) to the extent practicable, provide an indicative timeframe for the processing of an application. 
That timeframe shall be reasonable to the extent practicable;  
(c) at the request of the applicant, prov ide without undue delay information concerning the 
status of the application;  
(d) to the extent practicable, ascertain without undue delay the completeness of an application 
for processing under the Party’s domestic laws and regulations;  
 
108 
 (e) 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:  
(i) the processing of the application is completed; and  
(ii) the applicant  is informed of the decision concerning the application, to the extent 
possible, in writing;20 
(f) 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:  
(i) inform the applicant that the application is incomplete;  
(ii) 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  
(iii) provide the applicant with the opportunity to provide the add itional information that 
is required to complete the application;21 
however, if none of the above is practicable, and the application is rejected due to 
incompleteness, competent authorities shall ensure that they inform the applicant within a 
reasonable pe riod of time; and  
(g) 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 procedur es for resubmission of an application; an 
applicant shall not be prevented from submitting another application solely on the basis of a 
previously rejected application.  
2. The Parties shall ensure that their competent authorities grant an authorisation as so on as it 
is established, on the basis of an appropriate examination, that the applicant meets the conditions 
for obtaining it.  
3. The Parties shall ensure that, once granted, an authorisation enters into effect without 
undue delay, subject to the applicable t erms and conditions.22 
                                                            
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.  
 
109 
 Article SERVIN.5.6: Fees  
1. For all economic  activities other than financial services, each Party shall ensure that the 
authorisation fees charged by its competent  authorities are reasonable and transparent and do not 
in themselves restr ict the supply of the relevant service or the pursuit of any other economic 
activity. Having regard to the cost and administrative burden, each Party is encouraged to accept 
payment of authorisation fees by electronic means.  
2. With regard to financial servic es, each Party shall ensure that its competent authorities, with 
respect to authorisation fees that they charge, provide applicants with a schedule of fees or 
information on how fee amounts are determined, and do not use the fees as a means of avoiding 
the Party’s commitments or obligations.  
3. Authorisation fees do not include fees for the use of natural resources, payments for 
auction, tendering or other non -discriminatory means of awarding concessions or mandated 
contributions to universal service provisio n.  
Article SERVIN.5.7: 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 
inter vals 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 SERVIN.5.8: Publication and information available  
1. If a Party requires authorisation, the Party shall promptly publish the information necessary 
for persons carrying out or seeking to carry out the activit ies referred to in Article SERVIN.5.1(1) 
[Scope and definitions]  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:  
(a) the licensing and qualification requirements and procedures and formalities;  
(b) contact information of relevant  competent authorities;  
(c) authorisation fees;  
(d) applicable technical standards;  
(e) procedures for appeal or review of decisions concerning applications;  
(f) procedures for monitoring or enforcing compliance with the terms and conditions of licences 
or qualifications;  
(g) opportunities for public involvement, such as through hearings or comments; and  
(h) indicative timeframes for the processing of an application.  
 
110 
 For the purposes of this Section, "publish" means to include in an official publication, such as an 
official journa l, 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.  
2. Each Party shall require each of it s competent authorities to respond to any request for 
information or assistance, to the extent practicable.  
Article SERVIN.5.9: 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 SERVIN.5.10: Condi tions for authorisation  
1. Each Party shall ensure that measures relating to authorisation are based on criteria which 
preclude the competent authorities from exercising their power of assessment in an arbitrary 
manner and may include , inter alia , competence  and the ability to supply a service or any other 
economic activity, including to do so in compliance with a Party’s regulatory requirements such as 
health and environmental requirements. For the avoidance of doubt, the Parties understand that in 
reaching decisions a competent authority may balance criteria.  
2. The criteria referred to in paragraph 1 shall be:  
(a) clear and unambiguous ; 
(b) objective and transparent;  
(c) pre-established;  
(d) made public in advance;  
(e) impartial; and  
(f) easily accessible.  
3. If a Party adopts or mainta ins a measure relating to authorisation, it shall ensure that:  
(a) 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  
(b) the procedures themselves do not prevent fulfilment of the requirements.  
Article SERVIN.5.11: 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 impartiali ty, objectivity and transparency, including, in 
particular, adequate publicity about the launch, conduct and completion of the procedure. In 
 
111 
 establishing the rules for the selection procedure, a Party may take into account legitimate policy 
objectives, inc luding considerations of health, safety, the protection of the environment and the 
preservation of cultural heritage.  
Section 2: Provisions of general application  
Article SERVIN.5.12: 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, administrativ e 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 decisio ns" 
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 pro cedures 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 SERVIN.5.13: Professional qualifications  
1. Nothing in this Article shall prevent a Party from requiring that natural persons possess the 
necessary professional  qualifications specified in the territory where the activity is performed, for 
the sector of activity concerned23.   
2. The professional  bodies o r 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:  
(a) the economic value of an envisaged arrangement on the recognition of professional 
qualifications; and  
(b) 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.  
3. On receipt of a joint recommendation, the Partnership Council shall review its consistency 
with this Title within a reasonable period of time. The Partnership Cou ncil may, following such 
review, develop and adopt an arrangement on the conditions for the recognition of professional 
qualifications by decision as an annex to this Agreement, which shall be considered to form an 
integral part of this Title.24 
                                                            
23  For greater certainty, this Article shall not be construed to prevent the negotiation and conclusion of 
one or more ag reements 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 qual ifications 
but shall set, in the mutual interest of both Parties, the conditions for the competent authorities 
granting recognition.  
 
112 
 4. An arrangem ent referred to under paragraph 3 shall provide for the conditions for 
recognition of professional qualifications acquired in the Union and professional qualifications 
acquired in the United Kingdom relating to an activity covered by this Title and Title I II [Digital Trade] 
of Heading One.  
5. The Guidelines for arrangements on the recognition of professional qualifications set out in 
Annex SERVIN -6 [Guidelines for arrangements on the recognition of professional qualifications]  shall 
be taken into account in the development of the joint recommendations referred to in paragraph 2 
of this Article and by the Partnership Council when assessing whether to adopt such an 
Arrangement, as referred to in paragraph 3 of this Article.  
Secti on 3: Delivery services  
Article SERVIN.5.14: Scope and definitions  
1. This Section applies to measures of a Party affecting the supply of delivery services in 
addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2  of this Chapter.   
2. For the  purposes of this Section:   
(a) "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;   
(b) "expres s 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, possi bility of 
changing the destination and addressee in transit or confirmation of receipt;   
(c) "express mail services " means international express delivery services supplied through the 
EMS Cooperative, which is the voluntary association of designated postal ope rators under 
Universal Postal Union (UPU);   
(d) "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;   
(e) "postal item " means an item up to 31.5kg 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;   
(f) "postal monopoly " means th e exclusive right to supply specified delivery services within a 
Party’s territory or a subdivision thereof pursuant to the law of that Party; and   
(g) "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 SERVIN.5.15: Universal service   
1. Each Party has the right  to define the kin d of universal service obligation it wishes to 
maintain and to decide on its scope and implementation. Any universal service obligation shall be 
administered in a transparent, non -discriminatory and neutral manner with regard to all suppliers 
subject to th e obligation.  
 
113 
 2. If a Party requires inbound express mail services to be supplied on a universal service basis, 
it shall not accord preferential treatment to those services over other international express delivery 
services.  
Article SERVIN.5.16: Universal ser vice 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 meas ures or administrative fees.  
Article SERVIN.5.17: 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 practi ces such as:   
(a) 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   
(b) 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 SERVIN.5.18: Licences   
1. If a Party requir es a licence for the provision of delivery services, it shall make publicly 
available:   
(a) all the licensing requirements and the period of time normally required to reach a decision 
concerning an application for a licence; and  
(b) the terms and conditions of lic ences.  
2. The procedures, obligations and requirements of a licence shall be transparent, non -
discriminatory and based on objective criteria.  
3. If a licence application is rejected by the competent authority, it shall inform the applicant of 
the reasons for the  rejection in writing. Each Party shall establish an appeal procedure through an 
independent body available to applicants whose licence has been rejected. That body may be a 
court.  
Article SERVIN.5.19: Independence of the regulatory body  
1. Each Party shall establish  or maintain a regulatory body which shall be legally distinct from 
and functionally independent from any supplier of delivery services. If a Party owns or controls a 
supplier of delivery services, it shall ensure the effective structural separatio n of the regulatory 
function from activities associated with ownership or control.   
2. The regulatory bodies shall  perform their tasks in a transparent and timely manner and have 
adequate financial and human resources to carry out the task assigned to them. Their decisions shall 
be impartial with respect to all market participants.   
Section 4: Telecommunications servi ces 
 
114 
 Article SERVIN.5.20: 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 SERVIN.5.21: Definitions  
For the purposes of this Section:  
(a) "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 s ervices via that network or service or have the 
potential to do so;  
(b) "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;  
(c) "esse ntial facilities" means facilities of a public telecommunications network or a public 
telecommunications service that:  
(i)  are exclusively  or predominantly  provided by a single or limited number of suppliers; 
and 
(ii) cannot feasibly  be economically or te chnically substituted in order to provide a 
service;  
(d) "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 ; 
(e) "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;  
(f) "Internet access service" means a public telecommunications service that provides access to 
the Internet and thereby connect ivity to virtually all end points of the Internet, irrespective of 
the network technology and terminal equipment used;  
(g) "leased circuit" means telecommunications services or facilities, including those of a virtual 
nature, that set aside capacity for the de dicated use by, or availability to, a user between two 
or more designated points;  
(h) "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;  
 
115 
 (i) "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;  
(j) "number portability" means the ability of subscribers who so request to retain the same 
telephone numbers, at the sa me 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;  
(k) "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;  
(l) "public telecommunications service" means any telecommunications service that is offered t o 
the public generally;  
(m) "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;  
(n) "telecommunications" means the transmission and reception of signals by any 
electromagnetic means;  
(o) "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;  
(p) "telecommunications regulatory authority" means the body or bodies charged by a Party with 
the regulation of telecommunications networks and telecommunications services covered by 
this Secti on; 
(q) "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;  
(r) "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  
(s) "user" means any natural or legal person using a public telecommunications service.  
Article SERVIN.5.22: Telecommunications regulatory authority  
1. Each Party shall establish  or maintain a telecommunications regulatory authority that:  
(a) is legally distinct  and functionally independent from any supplier of telecommunications 
networks, telecommunications services or  telecommunications equipment;  
(b) uses procedures and issues decisions that are impartial with respect to all market participants;  
 
116 
 (c) 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 
SERVIN.5.24 [Interconnection], SERVIN.5.25 [Access and use], SERVIN.5.26 [Resolution of 
telecommunications disputes], SERVIN.5.28 [Interconnection with major supplies] and 
SERVIN.5.29 [Access to m ajor suppliers’ essential facilities];  
(d) has the regulatory power, as well as adequate financial and human resources, to carry out the 
tasks mentioned in point (c);  
(e) has the power to ensure that suppliers of telecommunications networks or 
telecommunications s ervices provide it, promptly upon request, with all the information25, 
including financial information, which is necessary to enable it to carry out the tasks 
mentioned in point (c); and  
(f) exercises its powers transparently and in a timely manner.  
2. Each Party shall ensure that the tasks assigned to the telecommunications regulatory 
authority are made public in an easily accessible and clear form, in particular where those tasks are 
assigned to more than one body.  
3. A Party that retains ownership or control of sup pliers of telecommunications networks or 
telecommunications services shall ensure the effective structural separation of the regulatory 
function from activities associated with ownership or control.  
4. Each Party shall ensure that a user or supplier of teleco mmunications networks or 
telecommunications services affected by a decision of the telecommunications regulatory authority 
has a right of appeal before an appeal body which is independent of the regulatory authority and 
other affected parties. Pending the outcome of the appeal, the decision shall stand, unless interim 
measures are granted in accordance with the Party's law.  
Article SERVIN.5.23: Authorisation to provide telecommunications networks or services  
1. Each Party shall permit the provision of telecomm unications networks or 
telecommunications services without a prior formal authorisation.  
2. Each Party shall make publicly available all the criteria, applicable procedures and terms and 
conditions under which suppliers are permitted to provide telecommunicat ions networks or 
telecommunications services.  
3. Any authorisation criteria and applicable procedures shall be as simple as possible, objective, 
transparent, non -discriminatory and proportionate. Any obligations and conditions imposed on or 
associated with an  authorisation shall be non -discriminatory, transparent and proportionate, and 
shall be related to the services or networks provided.  
4. Each Party shall ensure that an applicant for an authorisation receives in writing the reasons 
for any denial or revocatio n of an authorisation or the imposition of supplier -specific conditions. In 
such cases, the applicant shall have a right of appeal before an appeal body.  
                                                            
25  Information requested shall  be treated in accordance with the requirements of confidentiality.  
 
117 
 5. Administrative fees imposed on suppliers shall be objective, transparent, non -discriminatory 
and comme nsurate with the administrative costs reasonably incurred in the management, control 
and enforcement of the obligations set out in this Section26.  
ARTICLE SERVIN.5.24: Interconnection  
Each Party shall ensure that a supplier of public telecommunications net works 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 publ ic telecommunications networks or public 
telecommunications services.  
Article SERVIN.5.25: Access and use  
1. Each Party shall ensure  that any covered enterprise or service supplier of the other Party is 
accorded access to and use of public telecommunications networks or public telecommunications 
services on reasonable and non -discriminatory27 terms and conditions. This obligation shall be 
applied, inter alia , to paragraphs 2 to 5.  
2. 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 te lecommunications service 
offered within or across its border, including private leased circuits, and to this end shall ensure, 
subject to paragraph 5, that such enterprises and suppliers are permitted:  
(a) to purchase  or lease and attach terminal or other equi pment which interfaces with the 
network and which is necessary to conduct their operations;  
(b) to interconnect private leased or owned circuits with public telecommunications networks or 
with circuits leased or owned by another covered enterprise or service s upplier; and  
(c) 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.  
3. Each Party shall ensure that covered enterprises or service supplier s of the other Party may 
use public telecommunications networks and public telecommunications services for the movement 
of information within and across borders, including for their intra -corporate communications, and 
for access to information contained in  databases or otherwise stored in machine -readable form in 
the territory of either Party.  
4. Notwithstanding paragraph 3, a Party may take such measures as are necessary to ensure 
the security and confidentiality of communications, subject to the requirement that such measures 
are not applied in a manner which would constitute either a disguised restriction on trade in services 
                                                            
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 S ERVIN.2.3 [National treatment], SERVIN.3.3 [Local presence], 
SERVIN.2.4 [Most favoured nation treatment] and SERVIN.3.4 [National treatment], 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.  
 
118 
 or a means of arbitrary or unjustifiable discrimination or of nullification or impairment of benefits 
under this Title.  
5. Each Party sha ll ensure that no condition is imposed on access to and use of public 
telecommunications networks or services other than as necessary:  
(a) to safeguard the public service responsibilities of suppliers of public telecommunications 
networks or public telecommuni cations services, in particular their ability to make their 
services available to the public generally; or  
(b) to protect the technical integrity of public telecommunications networks or services.  
Article SERVIN.5.26: Resolution of telecommunications disputes  
1. Each Party shall ensure  that, in the event of a dispute arising between suppliers of 
telecommunications networks or telecommunications services in connection with rights and 
obligations that arise from this Section, and upon request of either party involve d in the dispute, the 
telecommunications regulatory authority issues a binding decision within a reasonable timeframe to 
resolve the dispute.  
2. The decision by the telecommunications regulatory authority shall be made available to the 
public, having regard t o the requirements of business confidentiality. The parties concerned shall be 
given a full statement of the reasons on which it is based and shall have the right of appeal referred 
to in Article SERVIN.5.22(4) [Telecommunications regulatory authority].  
3. The procedure referred to in paragraphs 1 and 2 shall not preclude either party concerned 
from bringing an action before a judicial authority.  
Article SERVIN.5.27: Competitive safeguards on major suppliers  
Each Party shall introduce or maintain appropriate m easures 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 inc lude in particular:  
(a) engaging in anti-competitive cross -subsidisation;  
(b) using information obtained from competitors with anti -competitive results; and  
(c) not making available to other services suppliers on a timely basis technical information about 
essential fa cilities and commercially relevant information which are necessary for them to 
provide services.  
Article SERVIN.5.28: Interconnection with major suppliers  
1. 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:  
(a) under non -discriminatory  terms and conditions (including as regards rates, technical 
standards, specifications, qu ality and maintenance) and of a quality no less favourable than 
 
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 that provided for the own like services of such major supplier, or for like services of its 
subsidiaries or other affiliates;  
(b) 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  
(c) 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.  
2. The procedures applicable for interconnection to a major supplier shall be made publicly 
available.  
3. Major suppliers shall make publicly available either their interconnection agreements or 
their reference interconnection offers as appropriate.  
Article SERVIN.5.29: 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 SERVIN.5.30: Scarce resources  
1. Each Party shall ensure that the allocation and granting of rights of use of scarce resources, 
including radio spectrum, numbers and rights of way, is carried out in an open, objective, timely, 
transparent, non -discriminatory and proportionate manner and by taking into account general 
interest objectives. Procedures, and conditions and obligations attached to rights of use, shall be 
based on objective, transparent, non -discriminatory and proportionate criteria.  
2. The current use of allocated frequency bands shall be made publicly available,  but detailed 
identification of radio spectrum allocated for specific government uses is not required.  
3. Parties may rely on market -based approaches, such as bidding procedures, to assign 
spectrum for commercial use.  
4. The Parties understand that measures of a  Party allocating and assigning spectrum and 
managing frequency are not in and of themselves inconsistent with Articles SERVIN.2.2 [Market 
access] and SERVIN.3.2 [Market access]. Each Party retains the right to establish and apply spectrum 
and frequency ma nagement measures that may have the effect of limiting the number of suppliers 
of telecommunications services, provided that it does so in a manner consistent with this 
Agreement. This includes the ability to allocate frequency bands taking into account cu rrent and 
future needs and spectrum availability.  
Article SERVIN.5.31: Universal service  
 
120 
 1. Each Party has the right to define the kind of universal service obligations it wishes to 
maintain and to decide on their scope and implementation.  
2. Each Party shall ad minister the universal service obligations in a proportionate, transparent, 
objective and non -discriminatory  way, which is neutral with respect to competition and not more 
burdensome than necessary for the kind of universal service defined by the Party.  
3. Each Party shall ensure that procedures for the designation of universal service suppliers are 
open to all suppliers of public telecommunications networks or public telecommunications services. 
Such designation shall be made through an efficient, transparent  and non -discriminatory 
mechanism.  
4. If a Party decides to compensate the universal service suppliers, it shall ensure that such 
compensation does not exceed the net cost caused by the universal service obligation.  
Article SERVIN.5.32: Number portability  
Each Party shall ensure that suppliers of public telecommunications services provide number 
portability on reasonable terms and conditions.  
Article SERVIN.5.33: Open Internet access  
1. Each Party shall ensure that, subject to its laws and regulations, suppliers of Internet access 
services enable users of those services to:  
(a) access and distribute  information  and content, use and provide applications and services of 
their choice, subject to non -discriminatory, reasonable, transparent and proportionate 
network manage ment; and  
(b) 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.  
2. For greater certainty, nothing in this Article shall prevent the Parties from adopting 
measures with the aim of protecting public safety with regards to users online.  
Article SERVIN. 5.34: Confidentiality of information  
1. Each Party shall ensure that suppliers that acquire information from another supplier in the 
process of negotiating arrangements purs uant to Articles SERVIN.5.24 [Interconnection], 
SERVIN.5.25 [Access and use], SERVIN.5.28 [Interconnection with major suppliers] and SERVIN.5.29 
[Access to major suppliers' essential facilities] use that information solely for the purpose for which 
it was supplied and respect at all times the confidentiality of information transmitted or stored.  
2. Each Party shall ensure the confidentiality of communications and related traffic data 
transmitted in the use of public telecommunications networks or public teleco mmunications 
services subject to the requirement that measures applied to that end do not constitute a means of 
arbitrary or unjustifiable discrimination or a disguised restriction on trade in services.  
Article SERVIN. 5.35: Foreign shareholding  
With regard to the provision of telecommunications networks or telecommunications services 
through establishment and notwithstanding Article SERVIN.2.7 [Non -conforming measures and 
 
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 exceptions], a Party shall not impose joint venture requirements or limit t he participation of foreign 
capital in terms of maximum percentage limits on foreign shareholding or the total value of 
individual or aggregate foreign investment.  
Article SERVIN.5.36: International mobile roaming28 
1. The Parties shall endeavour  to cooperate on promoting transparent and reasonable rates for 
international mobile roaming services in ways that can help promote the growth of trade among the 
Parties and enhance consumer welfare.  
2. Parties may choose to take  steps to enhance transparency and competiti on with respect to 
international mobile roaming rates and technological alternatives to roaming services, such as:  
(a) ensuring that information  regarding retail rates is easily accessible to end users; and  
(b) minimising impediments to the use of technological al ternatives to roaming, whereby end 
users visiting the territory of a Party from the territories of other Parties can access 
telecommunications services using the device of their choice.  
3. Each Party shall encourage suppliers of public telecommunications serv ices in its territory to 
make publicly available information on retail rates for international mobile roaming services for 
voice, data and text messages offered to their end users when visiting the territory of the other 
Party.  
4. Nothing in this Article shal l require a Party to regulate rates or conditions for international 
mobile roaming services.  
Section 5: Financial services  
Article SERVIN. 5.37  Scope  
1. This Section applies to measures of a Party affecting the supply of financial services in 
addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2 of this Chapter.  
2. For the purposes of this Section, the term "activities performed  in the exercise of 
governmental authority"  referred to in point (f) of Article SERVIN.1.2 [Definitions]  means th e 
following29: 
(a) activities conducted by a central bank or a monetary authority  or by any other public entity in 
pursuit of monetary or exchange rate policies;  
(b) activities forming part of a statutory system of social security or public retirement plans; and  
                                                            
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, th is modification applies to “services supplied in exercise of governmental 
authority” in point (o) of Article SERVIN.1.2 [Definitions] as it applies to “activities performed in the 
exercise of governmental authority” in point (f) of Article SERVIN.1.2 [Defi nitions].  
 
122 
 (c) 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.  
3. For the purposes of the application of point (f) of Article SERVIN.1.2 [Definitions] to this 
Section, if a Party allows any of the activities referred to in points (b) or (c) of paragraph 2 of this 
Article to be conducted by its financial service suppliers in competition with a public entity or a 
financial service supplier, “activities performed in the exe rcise of governmental authority” does not 
include those activities.  
4. Point (a) of Article SERVIN.1.2 [Definitions] does not apply to services covered by this 
Section.  
Article SERVIN. 5.38 : Definitions  
For the purposes of this Title:  
(a) "financial service ” means  any service of a financial nature offered by a financial service 
supplier of a Party and includes the following activities : 
(i) insurance and insurance -related services:  
(A) direct insurance (including co -insurance):  
(aa) life;  
(bb) non-life;  
(B) reinsurance and retrocession;  
(C) insurance intermediation, such as brokerage and agency; and  
(D) services auxiliary to insurance, such as consultancy, actuarial, risk 
assessment and claim settlement services;  
(ii) banking and other financial services (exclud ing insurance):  
(A) acceptance of deposits and other repayable funds from the public;  
(B) lending of all types, including consumer credit, mortgage credit, factoring 
and financing of commercial transaction;  
(C) financial leasing;  
(D) all payment and money transmission services, including credit, charge and 
debit cards, travellers cheques and bankers drafts;  
(E) guarantees and commitments;  
(F) trading for own account or for account of customers, whether on an 
exchange, in an over -the-counter market or otherwise, the following:  
(aa) money market  instruments (including cheques, bills, certificates of 
deposits);  
 
123 
 (bb) foreign exchange;  
(cc) derivative products including, but not limited to, futures and 
options;  
(dd) exchange rate and interest rate instruments, including prod ucts 
such as swaps, forward rate agreements;  
(ee) transferable securities; and  
(ff) other negotiable instruments and financial assets, including bullion;  
(G) 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;  
(H) money broking;  
(I) asset management, such as cash or portfolio management, all forms of 
collective investment management, pension fund management, custodial, 
depository and trus t services;  
(J) settlement and clearing services for financial assets, including securities, 
derivative products, and other negotiable instruments;  
(K) provision and transfer of financial information, and financial data processing 
and related software; an d  
(L) 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 restruc turing and strategy;  
(b) "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;  
(c) "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;  
(d) "public entity" mean s: 
(i) 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 princi pally 
engaged in supplying financial services on commercial terms; or  
(ii) a private entity, performing functions normally performed by a central bank or 
monetary authority, when exercising those functions;  
 
124 
 (e) "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 SERVIN. 5.39 : Prudential carve -out 
1. Nothing in this Agreement  shall prevent a Party from adopting or maintaining  measures for 
prudential reasons30, such as:  
(a) the protection  of investors, depositors, policy -holders or persons to whom a fiduciary duty is 
owed by a financial service supplier; or  
(b) ensuring the integrity and stability of a Party’s financial system.  
2. Where such measures  do not conform with the provisions of this Agr eement, they shall not 
be used as a means of avoiding the Party’s commitments or obligations under the Agreement.  
Article SERVIN. 5.40 : Confidential information  
Without prejudice to Part Three [Law enforcement and judicial cooperation in criminal matters], 
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 SERVIN. 5.41 : 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 particu lar 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 P rinciples 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 SERVIN. 5.42 : Financial services ne w to the territory of a Party  
1. Each Party shall permit a financial service  supplier of the other Party established in its 
territory to supply any new financial service that it would permit its own financial service suppliers to 
supply in accordance with its  law in like situations, provided that the introduction of the new 
financial service does not require the adoption of a new law or the amendment of an existing law. 
This does not apply to branches of the other Party established in the territory of a Party.  
2. A Party may determine the institutional and legal form through which the service may be 
supplied and require authorisation for the supply of the service. Where such authorisation is 
                                                            
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.  
 
125 
 required, a decision shall be made within a reasonable time and the autho risation may only be 
refused for prudential reasons.  
Article SERVIN.5.43: 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 o ther Party to supply financial services in 
its territory, the Party shall ensure observance by that self -regulatory organisation of the obligations 
under Articles SERVIN.2.3 [National treatment], SERVIN.2.4 [Most favoured nation treatment], and 
SERVIN.3.4 [National treatment] and SERVIN.3.5  [Most favoured nation treatment].  
Article SERVIN.5.44: 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 lend er of last 
resort facilities.  
Section 6: International maritime transport services  
Article SERVIN.5.45: Scope and definitions  
1. This Section applies to measures of a Party affecting the supply of international maritime 
transport services in addition to Chapt ers 1, 2, 3, 4 and Section 1 of this Chapter.  
2. For the purposes of this Section and Chapters 1, 2, 3 and 4 of this Title:  
(a) "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 wit h 
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;  
(b) "door -to-door or multimodal transpo rt 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;  
(c) "international cargo" means cargo transported between a port of one Party and a por t of the 
other Party or of a third country, or between ports of different Member States;  
(d) "maritime auxiliary services" means maritime cargo handling services, customs clearance 
services, container station and depot services, maritime agency services and, m aritime freight 
forwarding services and storage and warehousing services;  
(e) "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:  
(i) loading or discharging of cargo to or from a ship;  
 
126 
 (ii) the lashing or unlashing of cargo; and  
(iii) the reception or delivery and safekeeping of cargoes before shipment or after 
discharge;  
(f) “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;  
(g) “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;  
(h) "maritime agency services" means activities that consist of representing, within a given 
geographic area, as an agent the business interests of one or more shippi ng lines or shipping 
companies, for the following purposes:  
(i) 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 nece ssary related services, preparation of documentation and 
provision of business information; and  
(ii) acting on behalf of the lines or companies organising the call of the ship or taking over 
cargoes when required;  
(i) "feeder services" means, without prejudice  to the scope of activities, which might be 
considered as 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 lo cated 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;  
(j) "maritime freight forwarding services" means the activity consi sting 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;  
(k) "port services" means services provided inside a m aritime 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  
(l) "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 SERVIN.5.46: Obligations  
1. Without prejudice  to non -conforming measures or other measures referred to in Articles 
SERVIN.2.7 [Non -conforming  measures and exceptions] and SERVIN.3.6 [Non -conforming measures], 
each Party shall implement the principle of unrestricted access to the international maritime 
markets and trades on a commercial and non -discriminatory basis by:  
 
127 
 (a) 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 : 
(i) access to ports;  
(ii) the use of port infrastructure;  
(iii) the use of mariti me auxiliary services; and  
(iv) customs facilities and the assignment of berths and facilities for loading and 
unloading; including related fees and charges;  
(b) 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 un berthing services and shore -based operational services 
essential to ship operations, including communications, water and electrical supplies;  
(c) 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  
(d) permitting international maritime t ransport 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.  
2. In applying the principle referred to  in paragraph 1, a Party shall:  
(a) 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;  
(b) not adopt or maintain a measure that requires all or part of any intern ational cargo to be 
transported exclusively by vessels registered in that Party or owned or controlled by natural 
persons of that Party;  
(c) abolish and abstain from introducing any unilateral measures or administrative, technical and 
other obstacles which cou ld constitute a disguised restriction or have discriminatory effects 
on the free supply of international maritime transport services; and  
(d) 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  
 
128 
 Article SERVIN.5.47: Scope  
1. This Section  applies to measures of a Party affecting the  supply of designated legal services  in 
addition to Chapters 1, 2, 3, 4 of this Title and to Sections 1 and 2 of this Chapter.  
2. Nothing in this Section shall affect the right of a Party to regulate and supervise the supply of 
designated legal services in its territory in a non -discriminatory manner.  
Article SERVIN.5.48:  Definitions  
For the purposes of this Section:  
(a) "designated legal services " means legal services in relation to home jurisdiction law and public  
international law, excluding Union law;  
(b) "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 i n more than 
one jurisdiction, any of those jurisdictions;  
(c) "home jurisdiction law " means the law of the lawyer’s home jurisdiction31;  
(d) "home jurisdiction professional title " means:  
(i) 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  
(ii) 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;  
(e) "lawyer " means:  
(i) a natural person of the Union who is authorised in a Member State to supply legal services 
under a home jurisdiction professional title; or  
(ii) 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;  
(f) "lawyer of the other Party " means:  
(i) where "the other Party " is the Union, a lawyer r eferred to in point (e) (i); or  
(ii) where "the other Party " is the United Kingdom, a lawyer referred to in point (e) (ii); and  
(g) "legal  services " means the following services:  
(i) legal advisory services; and  
(ii) legal arbitration, conciliation and mediation services (but excluding such services when 
supplied by natural persons as set out in Article SERVIN 4.1 [Scope and definitions].32 
                                                            
31 For greater certainty, for the purpo ses of this Title, European Union law is part of the home jurisdiction law 
of the lawyers referred to in point (e) (i) of Article SERVIN 5.48 [Definitions].  
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 involv ing 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 med iation services refers to the same services when 
the dispute involves parties from two or more countries.  
 
129 
 "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 justic e 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 SERVIN.5.49: Obligations  
1.  A Party shall allow a lawyer of the other Pa rty to supply in its territory designated legal 
services under that lawyer’s home jurisdiction professional title in accordance with Articles SERVIN 
2.2 [Market access], SERVIN 2.3 [National treatment], SERVIN 3.2 [Market access], SERVIN 3.4 
[National trea tment] and SERVIN 4.4. [Contractual service suppliers and independent professionals].  
2.  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:  
(a) 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  
(b) amount to or be equivalent to any requirement to requalify into or be admitted to  the legal 
profession of the host jurisdiction.  
3.  Paragraph 4 applie s to the provision of designated legal services pursuant to paragraph 1 
through establishment.  
4.  A Party shall allow a legal person of the other Party to establish a branch in its territory 
through which designated legal services33 are supplied pursuant t o paragraph 1, in accordance with 
and subject to the conditions set out in Chapter 2 [Investment Liberalisation] of this Title. This shall 
be without prejudice to requirements that a certain percentage of the shareholders, owners, 
partners, or directors of  a legal person be qualified or practice a certain profession such as lawyers 
or accountants.  
Article SERVIN.5.50: Non -conforming measures  
1. Article 5.49 [Obligations] does not apply to:  
(a) any existing non -conforming measure of a Party at a level of:  
(i) for the Union:  
(A) the Union, as set out in the Schedule of the Union in Annex SERVIN -1 [Existing 
measures];  
(B) the central government of a Member State, as set out in the Schedule of the Union in  
Annex SERVIN -1 [Existing measures ]; 
(C)  a regional government of a Member State, as set out in the Schedule of the Union in  
Annex SERVIN -1 [Existing measures ]; or 
                                                            
33 For greater certainty, for the purposes of this paragraph “designated legal services” means, for services 
supplied in the Union, legal services in r elation 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 inte rnational law (excluding Union 
law).  
 
130 
 (D) a local government, other than that referred to in point (C); and  
(ii) for the United Kingdom:  
(A) the central government, as se t out in the Schedule of the United Kingdom in Annex 
SERVIN -1 [Existing measures ]; 
(B) a regional government, as set out in the Schedule of the United Kingdom in Annex 
SERVIN -1 [Existing measures ]; or 
(C) a local government;  
(b) the continuation or prompt renewal of any non -conforming measure referred to in point  (a); 
or 
(c) a modification to any non -conforming measure referred to in points (a) and (b) to the extent 
that it does not decrease the conformity of the measure as it existed immediately before the  
modification with Article SERVIN 5.49 [Obligations].  
2.  Article SERVIN 5.49 [Obligations] does not apply to any measure of a Party which is 
consistent with the reservations, conditions or qualifications specified with respect to a sector, 
subsector or activity listed in Annex SERVIN -2 [Future Measures].  
3.  This Section applies without prejudice to Annex SERVIN -4 [Contractual service suppliers and 
independent professionals].   
 
TITLE III: DIGITAL T RADE  
Chapter 1: General provisions  
Article DIGIT.1 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  DIGIT.2 Scope  
1. This Title applies  to measures of a Party affecting trade enabled by electronic means.  
2. This Title does not apply to audio -visual services.  
Article DIGIT.3 Right to regulate  
The Parties reaffirm the right to regulate within their territories to achie ve 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 p rotection of cultural diversity.  
Article DIGIT.4 Exceptions  
For greater certainty, nothing in this Title prevents the Parties from adopting or maintaining 
measures in accordance with Article EXC.1 [General exceptions], Article EXC.4 [Security exceptions] 
and Article SERVIN.5.39 [Prudential carve -out] for the public interest reasons set out therein.  
 
131 
 Article DIGIT.5 Definitions  
1. The definitions  in Article SERVIN.1.2 [Definitions] of Title II [Services and investment] of this 
Heading apply to this Title.  
2. For t he purposes  of this Title:  
(a) "consumer" means any natural  person using a public telecommunications service for other 
than professional purposes;  
(b) "direct marketing communication" means any form of commercial advertising by which a 
natural or legal person com municates 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);  
(c) "electronic authentication" means an electronic process that enables the confirmati on of:  
(i) the electronic  identification  of a natural or legal person, or  
(ii) the origin and integrity  of data in electronic form;  
(d) "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;  
(e) "electro nic 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;  
(f) "electronic signature" means data in electronic form which is attac hed to or logically 
associated with other data in electronic form that:  
(i) is used by a natural  person  to agree on the data in electronic form to which it relates; 
and  
(ii) is linked to the data in electronic form to which it relates in such a way that any 
subse quent alteration in the data is detectable;  
(g) "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;  
(h) "electronic trust service" me ans an electronic service consisting of:  
(i) the creation, verification  and validation of electronic signatures, electronic seals, 
electronic time stamps, electronic registered delivery services and certificates related 
to those services;  
(ii) the creation , verification and validation of certificates for website authentication; or  
(iii) the preservation of electronic signatures, seals or certificates related to those services;  
 
132 
 (i) "government data" means data owned or held by any level of government and by non -
gove rnmental bodies in the exercise of powers conferred on them by any level of government;  
(j) "public telecommunications  service" means any telecommunications service that is offered to 
the public generally;  
(k) "user" means any natural or legal person using a publi c telecommunications service.  
Chapter 2: Data flows and personal data protection  
Article DIGIT.6 Cross -border data flows  
1. The Parties are committed to ensuring cross -border data flows to facilitate trade in the 
digital economy. To that end, cross -border da ta flows shall not be restricted between the Parties by 
a Party:  
(a) 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 
certi fied or approved in the territory of a Party;  
(b) requiring the localisation of data in the Party's territory for storage or processing;  
(c) prohibiting the storage or processing in the territory of the other Party; or  
(d) 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.  
2. The Parties shall keep the implementation of this provision under review and assess its 
functioning withi n three years of the date of entry into force of this Agreement. A Party may at any 
time propose to the other Party to review the list of restrictions listed in paragraph 1. Such a request 
shall be accorded sympathetic consideration.  
Article DIGIT.7 Protec tion of personal data and privacy  
1. Each Party  recognises that individuals have a right to the protection of personal data and 
privacy and that high standards in this regard contribute to trust in the digital economy and to the 
development of trade.  
2. Nothing in this Agreement shall prevent a Party from adopting or maintaining measures on 
the protection of personal data  and privacy, including with respect to cross -border data transfers, 
provided that the law of the Party provides for instruments enabling transf ers under conditions of 
general application34 for the protection of the data transferred.  
3. Each Party shall  inform the other Party about any measure referred to in paragraph 2 that it 
adopts or maintains.  
                                                            
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 situation s and cases.  
 
133 
 Chapter 3: Specific provisions  
Article DIGIT.8 Custo ms duties on electronic transmissions  
1. Electronic transmissions shall be considered as the supply of a service within the meaning of 
Title II [Services and investment] of this Heading.  
2. The Parties shall not impose customs duties on electronic transmissions.  
Article DIGIT.9 No prior authorisation  
1. A Party shall not require prior authorisation of the provision of a service by electronic means 
solely on the ground that the service is provided online, and shall not adopt or maintain any other 
requirement having a n equivalent effect.  
A service is provided online when it is provided by electronic means and without the parties being 
simultaneously present.  
2. Paragraph 1 does not apply to telecommunications services, broadcasting services, gambling 
services, legal representation services or to the services of notaries or equivalent professions to the 
extent that they involve a direct and specific connection with the exercise of public authority.  
Article DIGIT.10: Conclusion of contracts by electronic means  
1. Each Part y shall  ensure that contracts may be concluded by electronic means and that its 
law neither creates obstacles for the use of electronic contracts nor results in contracts being 
deprived of legal effect and validity solely on the ground that the contract ha s been made by 
electronic means.  
2. Paragraph 1 does not apply to the following:  
(a) broadcasting  services;  
(b) gambling services;  
(c) legal representation services;  
(d) the services of notaries or equivalent professions involving a direct and specific connection 
with the exercise of public authority;  
(e) contracts that require witnessing in person;  
(f) contracts that establish or transfer rights in real estate;  
(g) contracts requiring by law the involvement of courts, public authorities or professions 
exercising public authority;  
(h) cont racts of suretyship granted, collateral securities furnished by persons acting for purposes 
outside their trade, business or profession; or  
(i) contracts governed by family law or by the law of succession.  
 
134 
 Article DIGIT.11 Electronic authentication and electro nic trust services  
1. A Party shall not deny the legal effect and admissibility as evidence in legal proceedings of an 
electronic document , an electronic signature, an electronic seal or an electronic time stamp, or of 
data sent and received  using an electron ic registered delivery service, solely on the ground that it is 
in electronic form.  
2. A Party shall not adopt or maintain measures that would:  
(a) prohibit parties  to an electronic transaction from mutually determining the appropriate 
electronic authentication m ethods for their transaction; or  
(b) 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.  
3. Notwithstanding paragraph 2, a Party may require that for a particular category of 
transactions, the method of electronic authentication or trust service is certified by an authority 
accredited in accordance with its law or meets certain performance standards which shall be 
objective, transparent and non -discriminatory and only relate to the specific characteristics of the 
category of transactions concerned.  
Article DIGIT.12: Transfer of or access to source code  
1. A Party shal l not require the transfer of, or access to, the source code of software owned by 
a natural or legal person of the other Party.  
2. For greater  certainty:  
(a) the general exceptions , security exceptions and prudential carve -out referred to in Article 
DIGIT.4 [ Exceptions ] apply to measures of a Party adopted or maintained in the context of a 
certification procedure; and  
(b) 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.  
3. Nothing in this Article shall affect:  
(a) 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;  
(b) 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;  
(c) the protection  and enforcement of intellectual property rights; and  
(d) the right of a Party to take measures in accordance with Article III of the GPA as incorporated 
by Article PPROC.2 [Incorpora tion of certain provisions of the GPA and covered procurement] 
of Title VI [Public procurement] of this Heading.  
 
135 
 Article DIGIT.13 Online consumer trust  
1. Recognising the importance of enhancing consumer trust in digital trade, each Party shall 
adopt or maint ain measures  to ensure the effective protection of consumers engaging in electronic 
commerce transactions, including but not limited to measures that:  
(a) proscribe  fraudulent  and deceptive commercial practices;  
(b) require suppliers of goods and services to act i n good faith and abide by fair commercial 
practices, including through  the prohibition of charging consumers for unsolicited goods and 
services;  
(c) 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 applicabl e 
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  
(d) grant consumers access to redress for breaches of their rights, including a right to remed ies if 
goods or services are paid for and are not delivered or provided as agreed.  
2. The Parties recognise the importance of entrusting their consumer protection agencies or 
other relevant bodies with adequate enforcement powers and the importance of coopera tion 
between these agencies in order to protect consumers and enhance online consumer trust.  
Article DIGIT.14 Unsolicited direct marketing communications  
1.  Each Party shall ensure that users are effectively protected against unsolicited direct 
marketing communications.  
2.  Each Party shall ensure that direct marketing communications are not sent to users who are 
natural persons unless they have given their consent in accordance with each Party's laws to 
receiving such communications.  
3.  Notwithstanding p aragraph 2, a Party shall allow natural or legal persons who have 
collected, in accordance with conditions laid down in the law of that Party, the contact details of a 
user in the context of the supply of goods or services, to send direct marketing communi cations to 
that user for their own similar goods or services.  
4.  Each Party shall ensure that direct marketing communications are clearly identifiable as 
such, clearly disclose on whose behalf they are made and contain the necessary information to 
enable users to request cessation free of charge and at any moment.  
5.  Each Party shall provide users with access to redress against suppliers of direct marketing 
communications that do not comply with the measures adopted or maintained pursuant to 
paragraphs 1 to 4.  
 
136 
 Article DIGIT.15 Open government data  
1. The Parties recognise  that facilitating public access to, and use of, government data 
contributes to stimulating economic and social development, competitiveness, productivity and 
innovation.  
2. 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:  
(a) is in a format that allows it to be easily searched, retrieved, used, reused, and redistributed;  
(b) is in a machine -readable and spatially -enabled format;  
(c) contains descriptive metadata, which is as standard as possible;  
(d) is made available via reliable, user -friendly and freely available Application Programming 
Interfaces;  
(e) is regularly updated;  
(f) is not subject to use conditions that are discriminatory or that unnecessarily restrict re -use; 
and 
(g) is made available for re -use in full compliance with the Parties’ respective personal data 
protection rules.  
3. The Parties shall endeavour to cooperate to identify ways in whic h each Party can expand 
access to, and use of, government data that the Party has made public, with a view to enhancing and 
generating business opportunities, beyond its use by the public sector.  
Article DIGIT.16 Cooperation on regulatory issues with regar d to digital trade  
1. The Parties shall exchange  information on regulatory matters in the context of digital trade, 
which shall address the following:  
(a) the recognition  and facilitation of interoperable electronic trust and authentication  services;  
(b) the treatmen t of direct marketing communications;  
(c) the protection of consumers; and  
(d) any other matter relevant for the development of digital trade, including emerging 
technologies.  
2. Paragraph 1 shall not apply to a Party’s rules and safeguards for the protection of pers onal 
data and privacy, including on cross -border transfers of personal data.  
Article DIGIT.17  - Understanding on computer services  
1. The Parties agree that, for the purpose of liberalising trade in services and investment in 
accordance with Title II [Service s and Investment] 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 :  
 
137 
 (a) consulting, adaptation , strategy, analysis, planning, specifica tion, design, development, 
installation , implementation, integration, testing, debugging, updating, support, technical 
assistance or management of or for computers or computer systems;  
(b) computer programmes defined  as the sets of instructions required to mak e 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, tec hnical assistance, management or 
use of or for computer programmes;  
(c) data processing, data storage, data hosting or database services;  
(d) maintenance and repair services for office machinery and equipment, including computers; 
and 
(e) training services for staff of clients, related to computer programmes, computers or computer 
systems, and not elsewhere classified.  
For greater  certainty, services enabled by computer and related services, other than those listed in 
paragraph 1, shall not be regarded as computer and  related services in themselves . 
 
TITLE IV: CAPITAL MO VEMENTS, PAYMENTS, T RANSFERS AND TEMPORA RY SAFEGUARD MEASURE S 
Article CAP.1: Objectives  
The objective of this Title is to enable the free movement of capital and payments related to 
transactions liberalised under this Agreement.  
Article CAP.2: 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 
transac tions on the current account of the balance of payments that fall within the scope of this 
Agreement.  
Article CAP.3: Capital movements  
1. Each Party shall allow, with  regard to transactions on the capital and financial account of the 
balance of payments, the free movement of capital for the purpose of liberalisation of investment 
and other transactions as provided for in Title II [Services and Investment] of this Heading.  
2. The Parties shall consult each other in the Trade Specialised Committee on Service s, 
Investment and Digital  Trade to facilitate the movement of capital between them in order to 
promote trade and investment.  
Article CAP.4: Measures affecting capital movements, payments or transfers  
1. Articles CAP.2 [Current account] and CAP.3 [Capital move ments] shall not be construed as 
preventing  a Party from applying its laws and regulations relating to:  
(a) bankruptcy , insolvency , or the protection of the rights of creditors ; 
 
138 
 (b) issuing, trading or dealing in securities, or futures, options and other financial  instruments;  
(c) financial reporting or record keeping of capital movements, payments or transfers where 
necessary to assist law enforcement or financial regulatory authorities;  
(d) criminal  or penal offences, deceptive or fraudulent practices ; 
(e) ensuring complianc e with orders or judgments in judicial or administrative proceedings; or  
(f) social security , public retirement or compulsory savings schemes.  
2. The laws and regulations referred to in paragraph 1 shall not be applied in an arbitrary or 
discriminatory manner, or  otherwise constitute a disguised restriction on capital movements, 
payments or  transfers.  
Article CAP. 5: Temporary safeguard measures  
1. In exceptional circumstances of serious difficulties for the operation of the Union's economic 
and monetary  union, or threat thereof, the Union may adopt or maintain safeguard measures with 
regard to capital movements, payments or transfers for a period not exceeding six months.  
2. The measures referred to in paragraph 1 shall be limited to the extent that is strictly 
necessary.  
Article CAP.6: Restrictions in case of balance of payments and external financing difficulties  
1. If a Party experiences  serious balance of payments or external financial difficulties, or threat 
thereof, it  may adopt or maintain restrictiv e measures with regard to capital movements, payments 
or transfers35.  
2. The measures  referred to in paragraph 1 shall:  
(a) be consistent  with the Articles of Agreement of the International Monetary Fund ; 
(b) not exceed those  necessary to deal with the circumstances described in paragraph 1;  
(c) be temporary and be phased out progressively  as the situation specified in paragraph 1 
improves;  
(d) avoid unnecessary damage to the commercial, economic and financial interests of the other 
Party; and  
(e) be non -discriminatory  as compared with  third countries in like situations . 
3. In the case of trade in goods, each Party may adopt or maintain restrictive measures in order 
to safeguard its external financial position or balance of payments. Those measures shall be in 
accordance with GATT 1994 and the Understanding on the Balance of Payments provisions of the 
General Agreement on Tariffs and Trade 1994.  
                                                            
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.  
 
139 
 4. In the case of trade in services, each Party may adopt or maintain restrictive measures in 
order to safeguard its external financ ial position or balance of payments. Those measures shall be in 
accordance with Article XII of GATS.  
5. A Party maintaining or having adopted measures referred to in paragraphs 1 and 2 shall 
promptly notify them to the other Party.  
6. If a Party adopts or maint ains 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 payment s or external 
financial difficulty that  led to the respective measures, taking into account factors such as:  
(a) the nature  and extent  of the difficulties;  
(b) the external economic and trading environment; and  
(c) alternative corrective measures which may be avail able.  
7. The consultations under paragraph 6 shall address the compliance of any restrictive 
measures with paragraphs 1 and 2. All relevant findings of a statistical or factual nature presented by 
the International Monetary Fund, where available, shall  be ac cepted and conclusions shall take into 
account the assessment by the International Monetary Fund of the balance of payments and the 
external financial situation of the Party concerned.  
TITLE V: INTELLECTUA L PROPERTY  
Chapter 1: General provisions  
Article IP.1: Objectives  
The objectives of this Title are to:  
(a) 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  
(b) ensure an adequate and effective level of protection and enforcement of intellectual property 
rights.  
Article IP.2: Scope  
1. This Title shall complement  and further specify the rights and obligations of each Party 
under the TRIPS Agreement and other int ernational treaties in the field of intellectual property to 
which they are parties.  
2. This Title does not preclude either Party from introducing more extensive protection and 
enforcement of intellectual property rights than required under this Title, pr ovided that such 
protection and enforcement does not contravene this Title.  
Article IP.3: Definitions  
For the purposes of this Title, the following definitions apply:  
 
140 
 (a) "Paris Convention" means the Paris Convention for the Protection of Industrial Prop erty of 20 
March 1883, as last revised at Stockholm on 14 July 1967;  
(b) "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;   
(c) "Rome Convention" means the International Convention for the Protection of Performers, 
Producers of Phonograms and Broadcasting Organisations done at Rome on 26 October 1961;  
(d) "WIPO" means the World Intellectual Property Organisation;  
(e) "intel lectual property rights" means all categories of intellectual property that are covered by 
Articles IP.7 [Authors] to IP.37 [Protection of plant varieties rights] of this Title or Sections 1 to 
7 of Part II of the TRIPS Agreement. The protection of intelle ctual property includes protection 
against unfair competition as referred to in Article 10 bis of the Paris Convention;  
(f) "national" means, in respect of the relevant intellectual property right, a person of a Party 
that would meet the criteria for eligib ility 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 IP.4: International agreements  
1. The Parties affirm their  commitmen t to comply with the international agreements to which 
they are party:  
(a) the TRIPS Agreement;  
(b) the Rome Convention;  
(c) the Berne Convention;  
(d) the WIPO Copyright Treaty, adopted at Geneva on 20 December 1996;  
(e) the WIPO Performances and Phono grams Treaty, adopted at Geneva on 20 December 1996;  
(f) 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;  
(g) the Trademark Law Treat y, adopted at Geneva on 27 October 1994;  
(h) 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;  
(i) the Geneva Act of the Hague Agreement Concerning the International Registration of 
Industrial Designs, adopted at Geneva on 2 July 1999.  
2. Each Party shall  make all reasonable efforts to ratify or accede to the following international 
agreements:  
(a) the Beijing Treaty on Audiovisual P erformances, adopted at Beijing on 24 June 2012;  
 
141 
 (b) the Singapore Treaty  on the Law of Trademarks adopted at Singapore on 27 March 2006.  
Article IP.5: 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 IP.6: National treatment  
1. In respect of all categories of intellectual property covered by this Title, each Party shall 
accord to the nationals  of the other Party treatment no less f avourable than the treatment it accords 
to its own nationals with  regard to the protection of intellectual property subject where applicable 
to the exceptions already provided for in, respectively, the Paris Convention, the Berne Convention, 
the Rome Conve ntion and the Treaty on Intellectual Property in Respect of Integrated Circuits, done 
at Washington on 26 May 1989. In respect of performers, producers of phonograms and 
broadcasting organisations, this obligation only applies in respect of the rights prov ided for under 
this Agreement.  
2. For the purposes of paragraph 1 of this Article, "protection" shall include matters affecting 
the availability, acquisition, scope, maintenance , and enforcement of intellectual property rights as 
well as matters affecting the  use of intellectual property rights specifically addressed in this Title, 
including measures to prevent the circumvention of effective technological measures as referred to 
in Article IP.16 [Protection of technological measures] and measures concerning ri ghts management 
information as referred to in Article IP.17 [Obligations concerning rights management information].  
3. A Party may avail itself of the exceptions permitted pursuant to paragraph 1 in relation to its 
judicial and administrative procedures, incl uding 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:  
(a) necessary to secure compliance with the Party’s laws or regulations which are not inco nsistent 
with this Title; or  
(b) not applied in a manner which would constitute a disguised restriction on trade.  
4. Paragraph 1 does not apply to procedures provided in multilateral agreements concluded 
under the auspices of WIPO relating to the acquisitio n or maintenance of intellectual property rights.  
Chapter 2: Standards concerning intellectual property rights  
Section 1: Copyright and related rights  
Article IP.7: Authors  
Each Party shall provide authors with the exclusive right to authorise or prohibit:   
(a) direct or indirect, temporary or permanent reproduction by any means and in any form, in 
whole or in part, of their works;  
(b) any form of distribution to the public by sale or otherwise of the original of their works or of 
copies thereof;  
 
142 
 (c) 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;  
(d) the comm ercial 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 IP.8: Performers  
Each Party shall provide performers with the exclusive right to authoris e or prohibit:  
(a) the fixation of their performances;   
(b) 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;  
(c) the distribution to the public, by sale or otherwise, of the fixations of their performances;  
(d) 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 fr om a place and at a time 
individually chosen by them;  
(e) 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;  
(f) the commercial rental to the public of the fixation of their performances.  
Article IP.9: Producers of phonograms  
Each Party shall provide phonogram producers with the exclusive right to authorise or prohibit:  
(a) the direct or indirect, temporary or permanent, reproduction by any means and in any form, 
in whole or in part, of their phonograms;  
(b) the distribution to the public, by sale or otherwise, of their phonograms, including copies 
thereof;   
(c) 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;   
(d) the commercial rental of their phonograms to the public.  
Article  IP.10: Broadcasting organisations  
Each Party shall provide broadcasting organisations with the exclusive right to authorise or prohibit:  
(a) the fixation of their broadcasts, whether these broadcasts are transmitted by wire or over the 
air, including by cable or satellite;  
 
143 
 (b) 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 o r satellite;  
(c) 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 m ay access them from a place and at a 
time individually chosen by them;   
(d) 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;  
(e) 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 IP.11: Broadcasting and communication to the public of phonograms published for 
commercial purposes  
1. Each Party shall provide a right in order to ensure that a single equitable remuneration is 
paid by the user to the performers and producers of phonograms, if a phonogram published for 
commercial purposes, or a reproduction of such phonogram, is used for broadcasting or any 
communication to the public.  
2. Each Party shall ensure that the single equitable remuneration is shared between the 
relevan t performers and phonogram producers. Each Party may enact legislation that, in the 
absence of an agreement between performers and producers of phonograms, sets the terms 
according to which performers and producers of phonograms shall share the single equi table 
remuneration.  
3. Each Party may grant more extensive rights, as regards the broadcasting and communication 
to the public of phonograms published for commercial purposes, to performers and producers of 
phonograms.   
Article IP.12: Term of protection  
1. The rights of an author of a work shall run for the life of the author and for 70 years after the 
author’s death, irrespective of the date when the work is lawfully made available to the public.  
2. For the purpose of implementing paragraph 1, each Party may prov ide for specific rules on 
the calculation of the term of protection of musical composition with words, works of joint 
authorship as well as cinematographic or audiovisual works. Each Party may provide for specific 
rules on the calculation of the term of pr otection of anonymous or pseudonymous works.  
3. The rights of broadcasting organisations shall expire 50 years after the first transmission of a 
broadcast, whether this broadcast is transmitted by wire or over the air, including by cable or 
satellite.  
4. The ri ghts of performers for their performances otherwise than in phonograms shall expire 
50 years after the date of the fixation of the performance or, if lawfully published or lawfully 
 
144 
 communicated to the public during this time, 50 years from the first such p ublication or 
communication to the public, whichever is the earlier.  
5. The rights of performers for their performances fixed in phonograms shall expire 50 years 
after the date of fixation of the performance or, if lawfully published or lawfully communicated to 
the public during this time, 70 years from such act, whichever is the earlier.  
6. The rights of producers of phonograms shall expire 50 years after the fixation is made or, if 
lawfully published to the public during this time, 70 years from such publicatio n. In the absence of a 
lawful publication, if the phonogram has been lawfully communicated to the public during this time, 
the term of protection shall be 70 years from such act of communication. Each Party may provide for 
effective measures in order to en sure that the profit generated during the 20 years of protection 
beyond 50 years is shared fairly between the performers and the producers of phonograms.  
7. The terms laid down in this Article shall be counted from the first of January of the year 
following the year of the event which gives rise to them.  
8. Each Party may provide for longer terms of protection than those provided for in this Article.  
Article IP.13: Resale right  
1. Each Party shall  provide, for the benefit of the author of an original work of graphic or plastic 
art, a resale right, to be defined as an inalienable right, which cannot be waived, even in advance, to 
receive a royalty based on the sale price obtained for any resale of t he work, subsequent to the first 
transfer of the work by the author.  
2. The right referred  to in paragraph 1 shall apply to all acts of resale involving as sellers, 
buyers or intermediaries art market professionals, such as salesrooms, art galleries and, in general, 
any dealers in works of art.  
3. Each Party may provide that the right referred to in paragraph 1 shall not apply to acts of 
resale, where the seller has acquired the work directly from the author less than three years before 
that resale and where th e resale price does not exceed a certain minimum amount.  
4. The procedure for collection of the remuneration and their amounts shall be determined by 
the law of each Party.  
Article IP.14: Collective management of rights  
1. The Parties shall  promote cooperation between their respective collective management 
organisations for the purpose of fostering the availability of works and other protected subject 
matter in their respective territories and the transfer of rights revenue between the respective 
collective management organisations for the use of such works or other protecte d subject matter.  
2. The Parties shall promote the transparency of collective management organisations, in 
particular regarding the rights revenue they collect, the deductions they apply to the rights revenue 
they collect, the use of the rights revenue colle cted, the distribution policy and their repertoire.  
3. The Parties shall endeavour to facilitate arrangements between their respective collective 
management organisations on non -discriminatory treatment of right holders whose rights these 
organisations manage  under representation agreements.  
 
145 
 4. The Parties shall cooperate to support the collective management organisations established 
in their territory and representing another collective management organisation established in the 
territory of the other Party by w ay of a representation agreement with a view to ensuring that they 
accurately, regularly and diligently pay amounts owed to the represented collective management 
organisations and provide the represented collective management organisation with the informat ion 
on the amount of rights revenue collected on its behalf and any deductions made to that rights 
revenue.  
Article IP.15 Exceptions and limitations  
Each Party shall confine limitations or exceptions to the rights set out in Articles IP.7 [Authors] to 
IP.11 Article [Broadcasting and communication to the public of phonograms published for 
commercial purposes] 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 le gitimate interests of the right 
holders.  
Article IP.16: Protection of technological measures  
1. Each Party shall provide  adequate legal protection against the circumvention of any effective 
technological measures , which the person concerned carries out in the  knowledge, or with 
reasonable grounds to know, that he or she is pursuing that objective. Each Party may provide for a 
specific regime for legal protection of technological measures used to protect computer programs.   
2. 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:  
(a) are promoted, advertised  or market ed for the purpose of circumvention of;  
(b) have only a limited commercially significant purpose or use other than to circumvent; or  
(c) are primarily designed, produced, adapted or performed for the purpose of enabling or 
facilitating the circumvention of , any effective technological measures.  
3. For the purposes of this Section, the expression "technological measures" means any 
technology, device or component that, in the normal course of its operation, is designed to prevent 
or restrict acts, in respect of works or other subject -matter, which are not authorised by the right 
holder of any copyright or related right covered by this Section. Technological measures shall be 
deemed "effective" where the use of a protected work or other subject matter is controlle d by the 
right holders through application of an access control or protection process, such as encryption, 
scrambling or other transformation of the work or other subject -matter or a copy control 
mechanism, which achieves the protection objective.  
4. Notwiths tanding the legal protection provided for in paragraph 1 of this Article, each Party 
may take appropriate measures, as necessary, to ensure that the adequate legal protection against 
the circumvention of effective technological measures provided for in acc ordance with this Article 
does not prevent beneficiaries of exceptions  or limitations provided for in accordance with Article 
IP.15 [Exceptions and limitations] from enjoying such exceptions or limitations.  
 
146 
 Article IP.17: Obligations concerning rights mana gement information  
1. Each Party shall  provide adequate  legal protection against any person knowingly performing 
without authority any of the following acts:  
(a) the removal  or alteration of any electronic rights -management information;  
(b) 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 
author ity;  
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.  
2. For the purposes of this Article, "rights -management information" means any information 
provided by right holders which identifies the work or other subject -matter referred to in this 
Article, the author or any other right holder, or information about the terms and conditions of u se of 
the work or other subject -matter, and any numbers or codes that represent such information.  
3. Paragraph 2 applies if any of these items of information is associated with a copy of, or 
appears in connection with the communication to the public of, a wo rk or other subject -matter 
referred to in this Article.  
Section 2: Trade  marks  
Article IP.18: 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 IP.19: 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:  
(a) distinguishing  the goods or services of one undertaking from those of other undertakings; and  
(b) being represented  on the respective trade mark register of each Party, in a manner which 
enables the competent authorities an d the public to determine the clear and precise subject 
matter of the protection afforded to its proprietor.  
Article IP.20: Rights conferred by a trade mark  
1. 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:  
 
147 
 (a) 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;  
(b) 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, th ere 
exists a likelihood of confusion on the part of the public, including the likelihood of association 
between the sign and the registered trade mark.  
2. The proprietor of a registered trade mark shall be entitled to prevent all third parties from 
bringing goods, in the course of trade, into the Party where the trade mark is registered without 
being released for free circulation there, where such goods, including packaging, come from other 
countries or the other Party and bear without authorisation a trade m ark which is identical to the 
trade mark registered in respect of such goods, or which cannot be distinguished in its essential 
aspects from that trade mark.  
3. The entitlement of the proprietor of a trade mark pursuant to paragraph 2 shall lapse if 
during t he proceedings to determine whether the registered trade mark has been infringed, 
evidence is provided by the declarant or the holder of the goods that the proprietor of the registered 
trade mark is not entitled to prohibit the placing of the goods on the market in the country of final 
destination.   
Article IP.21: Registration procedure  
1. Each Party shall  provide  for a system for the registration of trade marks in which each final 
negative decision taken by the relevant trade mark administration, including p artial refusals of 
registration, shall be communicated in writing to the relevant party, duly reasoned and subject to 
appeal.   
2. Each Party shall provide  for the possibility for third parties to oppose trade mark applications 
or, where appropriate, trade mar k registrations. Such opposition proceedings shall be adversarial.  
3. Each Party shall provide a publicly available electronic database of trade mark applications 
and trade mark registrations.  
4. Each Party shall make best efforts to provide a system for the electronic application for and 
processing, registration and maintenance of trade marks.  
Article IP.22: 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 Industr ial 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 IP.23: Exceptions to the rights conferred by a trade mark  
1. Each Party shall provide  for limited exceptions to the rights conferred by a trade mark such 
as the fair use of descriptive terms including geographical indications, and may provide other limited 
exceptions, provided such exceptions take account of the legitimate interests of the  proprietor of 
the trade mark and of third parties.  
 
148 
 2. The trade mark shall not entitle the proprietor to prohibit a third party from using, in the 
course of trade:  
(a) the name or address of the third party, where the third party is a natural person;  
(b) 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  
(c) 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.  
3. The trade mark shall not entitle the proprietor to prohibit a third party from using, in the 
course of trade, an earlier right which only applie s in a particular locality if that right is recognised by 
the laws of the Party in question and is used within the limits of the territory in which it is 
recognised.  
Article IP.24: Grounds for revocation  
1. Each Party shall provide  that a trade  mark shall be  liable to revocation if, within a continuous 
period of five years it has not been put to genuine use in the relevant territory of a Party by the 
proprietor or with the proprietor’s consent in relation to the goods or services for which it is 
registered, a nd there are no proper reasons for non -use. 
2. Each Party shall also provide that a trade  mark shall be liable to revocation if within the 
period of five years following the date of completion  of the registration procedure it has not been 
put to genuine use i n the relevant territory  by the proprietor or with the proprietor’s consent, in 
relation to the goods or services for which it is registered, and there are no proper reasons for non -
use. 
3. However, no person may  claim that the proprietor's rights in a trade mark should be 
revoked where, during the interval  between expiry of the five -year period and filing of the 
application for revocation, genuine use of the trade mark has been started or resumed. The 
commencement or resumption of use within a period of three  months preceding the filing of the 
application for revocation which began at the earliest on expiry of the continuous period of five 
years of non -use, shall, however, be disregarded where preparations for the commencement or 
resumption occur only after th e proprietor becomes aware that the application for revocation may 
be filed.  
4. A trade mark shall also be liable to revocation if, after the date on which it was registered:  
(a) as a consequence of acts or inactivity of the proprietor, it has become the com mon name in 
the trade for a good or service in respect of which it is registered;  
(b) 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 
 
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 liable to mislead the public, particularly as to the nature, quality or geographical origin of 
those goods or services.  
Article IP.25: 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 : 
(a) affixing a sign identical with, or similar to, the trade mark on packaging, labels, tags, se curity 
or authenticity features or devices, or any other means to which the mark may be affixed; or  
(b) 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 IP.26: 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 IP.27: Pr otection of registered designs  
1. Each Party shall provide for the protection of independently created designs that are new 
and original. This protection shall be provided by registration and shall confer exclusive rights upon 
their holders in accordance with  this Section.   
For the purposes of this Article, a Party may consider that a design having individual character is 
original.  
2. The holder of a registered design shall have the right to prevent third parties not having the 
holder's consent at least from ma king, offering for sale, selling, importing, exporting, stocking the 
product bearing and embodying the protected design or using articles bearing or embodying the 
protected design where such acts are undertaken for commercial purposes.  
3. 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:  
(a) if the component part, once it has been incorporated into the complex product, remains 
visible during normal use of the latter; and  
(b) to the extent that those visible features of the component part fulfil in themselves the 
requirements as to novelty and originality.  
4. For the purposes of point (a) of paragraph 3, "normal use" means use by the end user, 
excluding maint enance, servicing or repair work.  
 
150 
 Article IP.28: 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 filed36. 
Article IP.29: Protection of unregistered designs  
1. Each Party shall confer on holders of an unregistered design the right to prevent the use of 
the unregistered design by any third party not having the holder’s consent only if the contested use 
results from copying the unregistered design in their respective territory37. Such use shall at least 
cover the offering for sale, putting on the market, importing or exporting the product.  
2. The duration of protection available for the unregistered design s hall amount to at least 
three years as from the date on which the design was first made available to the public in the 
territory of the respective Party.  
Article IP.30: Exceptions and exclusions  
1. Each Party may provide limited exceptions  to the protection of designs, including 
unregistered designs, provided that such exceptions do not unreasonably conflict with the normal 
exploitation of designs, and do not unreasonably prejudice the legitimate interests of the holder of 
the design, taking account of the le gitimate interests of third parties.  
2. Protection shall not extend to designs solely dictated by technical or functional 
considerations. A design shall not subsist in features of appearance of a product which must 
necessarily be reproduced in their exact fo rm and dimensions in order to permit the product in 
which the design is incorporated or to which it is applied to be mechanically connected to or placed 
in, around or against another product so that either product may perform its function.  
3. By way of derog ation from paragraph 2, a design shall, in accordance with the conditions set 
out in Article IP.27(1) [Protection of registered designs], subsist in a design, which has the purpose of 
allowing the multiple assembly or connection of mutually interchangeable  products within a 
modular system.  
Article IP.31: 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 des ign 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  
                                                            
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.  
 
151 
 Article IP.32: Patents and public  health  
1. The Parties recognise  the importance of the Declaration on the TRIPS Agreement and Public 
Health, adopted on 14 November 2001 by the Ministerial Conference of the WTO at Doha (the 
"Doha Declaration"). In interpreting and implementing the rights and obligations under this Secti on, 
each Party shall ensure consistency with the Doha Declaration.  
2. Each Party shall implement Article 31 bis of the TRIPS Agreement, as well as the Annex to the 
TRIPS Agreement and the Appendix to the Annex to the TRIPS Agreement.  
Article IP.33: Extension  of the period of protection conferred by a patent on medicinal products and  
on plant protection products  
1. The Parties recognise  that medicinal products and plant protection products38 protected by 
a patent in their respective territory may be subject to an administrative authorisation procedure 
before being put on their respective markets. The Parties recognise that the period that elapses 
between the filing of the application for a patent and the first authorisation to place the product on 
the market, as de fined for that purpose by the relevant legislation, may shorten the period of 
effective protection under the patent.  
2. Each Party  shall provide for further protection, in accordance with its laws and regulations, 
for a product which is protected by a patent  and which has been subject to an administrative 
authorisation procedure referred to in paragraph 1 to compensate the holder of a patent for the 
reduction of effective patent protection.  The terms and conditions for the provision of such further 
protection , including its length, shall be determined in accordance with the laws and regulations of 
the Parties.  
3. For the purposes of this Title, "medicinal product" means:  
(a)  any substance or combination of substances presented as having properties for treating or 
preventing disease in human beings or animals; or  
(b)  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 exerti ng a pharmacological, immunological or metabolic action, or to making a 
medical diagnosis.  
Section 5: Protection of undisclosed information  
Article IP.34: Protection of trade secrets  
1. Each Party shall provide for appropriate civil judicial procedures and re medies for any trade 
secret holder to prevent, and obtain redress for, the acquisition, use or disclosure of a trade secret 
whenever carried out in a manner contrary to honest commercial practices.   
2. For the purposes of this Section:  
(a) "trade secret" mea ns information which meets all of the following requirements:  
                                                            
38  For the purposes  of this Title, the ter m "plant protection product" shall be defined for each Party by the 
respective legislations of the Parties.  
 
152 
 (i) 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;  
(ii) it has commercial  value because it is secret; and  
(iii) it has been subject  to reasonable steps under the circumstances, by the person 
lawfully in control of the information, to keep it s ecret;  
(b) "trade secret holder" means any natural or legal person lawfully controlling a trade secret.  
3. For the purposes of this Section, at least the following conduct shall be considered contrary 
to honest commercial practices:  
(a) 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;  
(b) 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 o f the following conditions:  
(i) having acquired the trade secret in a manner referred to in point (a);  
(ii) being in breach of a confidentiality agreement or any other duty not to disclose the 
trade secret; or  
(iii) being in breach of a contractual or any other duty to limit the use of the trade secret;   
(c) 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 h ave 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).  
4. Nothing in this Section shall be understood as r equiring either Party to consider any of the 
following conducts as contrary to honest commercial practices:   
(a) independent discovery or creation;  
(b) 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;   
(c) the acquisition, use or disclosure of a trade secret required or allowed by th e law of each 
Party;  
(d) the exercise of the right of workers or workers' representatives to information and 
consultation in accordance with the laws and regulations of that Party.   
 
153 
 5. Nothing in this Section shall be understood as affecting the exercise of  freedom of 
expression and information, including the freedom and pluralism of the media, as protected in each 
Party, restricting the mobility of employees, or as affecting the autonomy of social partners and their 
right to enter into collective agreements , in accordance with the laws and regulations of the Parties.   
Article IP.35: Protection of data submitted to obtain an authorisation to put a medicinal product on  
the market  
1. Each Party  shall protect commercially confidential information submitted to obta in an 
authorisation to place medicinal products on the market ("marketing authorisation") against 
disclosure to third parties, unless steps are taken to ensure that the data are protected against 
unfair commercial use or except where the disclosure is nece ssary for an overriding public interest.  
2. Each Party shall ensure that for a limited period of time to be determined by its domestic 
law and in accordance with  any conditions set out in its domestic law, the authority responsible for 
the granting of a marke ting authorisation does not accept any subsequent application for a 
marketing authorisation that relies on the results of pre -clinical tests or clinical trials submitted in 
the application to that authority for the first marketing authorisation, without th e explicit consent of 
the holder of the first marketing authorisation, unless international agreements to which the Parties 
are both party provide otherwise.  
3. Each Party shall also ensure that, for a limited period of time to be determined by its 
domestic l aw and in accordance with any conditions set out in its domestic law, a medicinal product 
subsequently authorised by that authority on the basis of the results of the pre -clinical tests and 
clinical trials referred to in paragraph 2 is not placed on the ma rket without the explicit consent of 
the holder of the first marketing authorisation, unless international agreements to which the Parties 
are both party provide otherwise.  
4. This Article is without prejudice to additional periods of protection which each Pa rty may 
provide in that Party’s law.  
Article IP.36: Protection of data submitted to obtain marketing authorisation for plant protection 
products or biocidal products  
1. Each Party shall recognise  a temporary right of the owner of a test or study report submit ted 
for the first time to obtain a marketing authorisation concerning safety and efficacy of an active 
substance, plant protection product or biocidal product. During such period, the test or study report 
shall not be used for the benefit of any other pers on who seeks to obtain a marketing authorisation 
for an active substance, plant protection product or biocidal product, unless the explicit consent of 
the first owner has been proved. For the purposes of this Article, that right is referred to as data 
prot ection.  
2. The test or study report submitted for marketing authorisation of an active substance or 
plant protection product should fulfil the following conditions:  
(a) be necessary for the authorisation or for an amendment of an authorisation in order to a llow 
the use on other crops; and  
(b) be certified as compliant with the principles of good laboratory practice or of good 
experimental practice.  
 
154 
 3. The period of data protection shall be at least 10 years from the grant of the first 
authorisation by a relev ant authority in the territory of the Party.  
4. Each Party shall ensure that the public bodies responsible for the granting of a marketing 
authorisation will not use the information referred to in paragraphs 1 and 2 for the benefit of a 
subsequent applicant f or any successive marketing authorisation, regardless whether or not it has 
been made available to the public.  
5. Each Party shall establish rules to avoid duplicative testing on vertebrate animals.   
Section 6: Plant varieties  
Article IP.37: 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 IP.38: General obligations  
1. Each Party shall provide  under its respective law for the measures, procedures and remedies 
necessary to ensure the enforcement of intellectual property rights.   
For the purposes of Sections 1, 2 and 4 of this Chapter, the term "intellectual property rights" does 
not include rig hts covered by Section 5 of Chapter 2 [Protection of undisclosed information].  
2. The measures, procedures and remedies referred to in paragraph 1 shall:  
(a) be fair and equitable;  
(b) not be unnecessarily complicated or costly, or entail unreasonable time -limits or unwarranted 
delays;  
(c) be effective, proportionate and dissuasive;  
(d) 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 IP.39: 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:   
(a) the holders of intellectua l property rights in accordance with the law of a Party;  
(b) 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  
 
155 
 (c) federations and associations39, in so far as permitted by and in accordance with the law of a 
Party.  
Section 2: Civil and administrative enforcement  
Article IP.40: Measures for preserving evidence  
1. Each Party shall ensure that, even before the commencement of proceedings on the merits 
of the case, the competent judicial authorities may, on application by a party who has presented 
reasonably available evidence to support their claims that their intellectual property right has been 
infringed or is about to be infringed, order prompt and effective prov isional measures to preserve 
relevant evidence in respect of the alleged infringement, subject to appropriate safeguards and the 
protection of confidential information.  
2. Such measures may include the detailed description, with or without the taking of sampl es, 
or the physical seizure of the alleged infringing goods, and, in appropriate cases, the materials and 
implements used in the production and/or distribution of these goods and the documents relating 
thereto.  
Article IP.41: Evidence  
1. Each  Party shall take the measures necessary to enable the competent judicial authorities to 
order, on application by a party which has presented reasonably available evidence sufficient to 
support its claims and has, in substantiating those claims, specified evidence which lies in the control 
of the opposing party, that this evidence be produced by the opposing party, subject to the 
protection of confidential information.   
2. Each Party shall also take the necessary measures to enable the competent judicial 
auth orities to order, where appropriate, in cases of infringement of an intellectual property right 
committed on a commercial scale, under the same conditions as in paragraph 1, the communication 
of banking, financial or commercial documents under the control of the opposing party, subject to 
the protection of confidential information.  
Article IP.42: Right of information  
1. Each Party shall ensure that, in the context of civil proceedings concerning an infringement 
of an intellectual property right and in respons e to a justified and proportionate request of the 
claimant, the competent judicial authorities may order the infringer or any other person to provide 
information on the origin and distribution networks of the goods or services which infringe an 
intellectua l property right.  
2. For the purposes of paragraph 1, "any other person " means a person who:  
(a) was found in possession of the infringing goods on a commercial scale;  
(b) was found to be using the infringing services on a commercial scale;  
                                                            
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 rig hts management bodies and professional defence bodies 
which are regularly recognised as having the right to represent holders of intellectual property rights.  
 
156 
 (c) was found to be providing on a commercial scale services used in infringing activities; or  
(d) was indicated by the person referred to in points (a), (b) or (c), as being involved in the 
production, manufacture or distribution of the goods or the provision of the s ervices.  
3. The information referred to in paragraph 1 shall, as appropriate, comprise:  
(a) the names and addresses of the producers, manufacturers, distributors, suppliers and other 
previous holders of the goods or services, as well as the intended wholesa lers and retailers;  
(b) information on the quantities produced, manufactured, delivered, received or ordered, as well 
as the price obtained for the goods or services in question.  
4. Paragraphs 1 and 2 shall apply without prejudice to other laws of a Party which:  
(a) grant the right holder rights to receive fuller information;  
(b) govern the use in civil proceedings of the information communicated pursuant to this Article;  
(c) gover n responsibility for misuse of the right of information;   
(d) 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 
infring ement of an intellectual property right;  
(e) govern the protection of confidentiality of information sources or the processing of personal 
data.  
Article IP.43: Provisional and precautionary measures  
1. Each Party shall ensure that its judicial authorities m ay, at the request of the applicant, issue 
against the alleged infringer an interlocutory injunction intended to prevent any imminent 
infringement of an intellectual property right, or to forbid, on a provisional basis and subject, where 
appropriate, to a recurring penalty payment where provided for by the law of that Party, the 
continuation of the alleged infringements of that right, or to make such continuation subject to the 
lodging of guarantees intended to ensure the compensation of the right holder. A n interlocutory 
injunction may also be issued, under the same conditions, against an intermediary whose services 
are being used by a third party to infringe an intellectual property right.  
2. Each Party shall ensure that its judicial authorities may, at the r equest of the applicant, order 
the seizure or delivery up of goods suspected of infringing an intellectual property right, so as to 
prevent their entry into or movement within the channels of commerce.  
3. In the case of an alleged infringement committed on a commercial scale, each Party shall 
ensure that, if the applicant demonstrates circumstances likely to endanger the recovery of 
damages, the judicial authorities may order the precautionary seizure of the movable and 
immovable property of the alleged infrin ger, including the blocking of their bank accounts and other 
assets. To that end, the competent authorities may order the communication of bank, financial or 
commercial documents, or appropriate access to the relevant information.  
4. Each Party shall ensure t hat its judicial authorities shall, in respect of the measures referred 
to in paragraphs 1, 2 and 3, have the authority to require the applicant to provide any reasonably 
 
157 
 available evidence in order to satisfy themselves with a sufficient degree of certain ty that the 
applicant is the rightholder and that the applicant’s right is being infringed, or that such infringement 
is imminent.  
Article IP.44: Corrective measures  
1. Each Party shall  ensure that its judicial authorities may order, at the request of the applicant, 
without prejudice to any damages due to the right holder by reason of the infringement, and 
without compensation of any sort, the destruction of goods that they have found to  be infringing an 
intellectual property right or at least the definitive removal of those goods from the channels of 
commerce. If appropriate, under the same conditions, the judicial authorities may also order 
destruction of materials and implements predom inantly used in the creation or manufacture of 
those goods.   
2. Each Party's judicial authorities shall have the authority to order that those measures shall 
be carried out at the expense of the infringer, unless particular reasons are invoked for not doing so.  
Article IP.45: 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 cont inuation 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 IP.46: Alternative measur es 
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 IP.44 [Corrective measures] or 
Article IP.45 [Injunctions], may order pecuniary comp ensation 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 IP.47: Damages  
1. Each Party shall ensure  that its judicial authorities, on application of the injured party, order 
the infringer who knowingly engaged, or had reason able grounds to know it was engaging, in an 
infringing activity, to pay to the rightholder damages appropriate to the actual prejudice suffered by 
the rightholder as a result of the infringement.   
2. Each Party shall ensure that when its judicial authorities  set the damages:  
(a) 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 ot her than economic factors, such as the moral 
prejudice caused to the right holder by the infringement; or  
(b) 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 amoun t of royalties or fees which would have 
 
158 
 been due if the infringer had requested authorisation to use the intellectual property right in 
question.  
3. Where the infringer did not knowingly, or with reasonable grounds to know, engage in 
infringing activity, eac h Party may lay down that the judicial authorities may order the recovery of 
profits or the payment of damages which may be pre -established.  
Article IP.48: Legal costs  
Each Party shall ensure that reasonable and proportionate legal costs and other expense s incurred 
by the successful party shall, as a general rule, be borne by the unsuccessful party, unless equity 
does not allow this.   
Article IP.49: Publication of judicial decisions  
Each Party shall ensure that, in legal proceedings instituted for infring ement 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 th e decision and publishing it in full or in part.   
Article IP.50: Presumption of authorship or ownership  
For the purposes of applying the measures, procedures and remedies provided for in Chapter 3 
[Enforcement of intellectual property rights]:   
(a) for t he 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  
(b) point (a) applies mutatis mutandis  to the holders of rights related to copyright with regard to 
their protected subject matter.  
Article IP.51: 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 IP.52: Civil judicial procedures and remedies of trade secrets  
1. Each Party shall ensure that any person participating in the civil judicial proceedings referred 
to in Article IP.34(1) [Scope of protection of trade secrets], or who has access to documents which 
form part of those  proceedings, is not permitted to use or disclose any trade secret or alleged trade 
secret which the competent judicial authorities have, in response to a duly reasoned application by 
an interested party, identified as confidential and of which they have b ecome aware as a result of 
such participation or access.  
2. Each Party shall ensure that the obligation referred to in paragraph 1 remains in force after 
the civil judicial proceedings have ended, for as long as appropriate.  
 
159 
 3. In the civil judicial proceedings  referred to Article IP.34(1) [Scope of protection of trade 
secrets], each Party shall provide that its judicial authorities have the authority at least to:  
(a) 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;  
(b) 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;  
(c) 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 hone st 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 prejudi ce suffered as a result of such acquisition, use or 
disclosure of the trade secret;   
(d) 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 Arti cle IP.34(1) [Scope of 
protection of trade secrets]. 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 o r 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.  
(e) impose sa nctions 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.  
4. 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:   
(a) to reveal misconduct, wrong doing or illegal activity for the purpose of protecting the general 
public interest;   
(b) as a disclosure by employees to their representatives as part of, and necessary for, the 
legitimate exercise by those representatives of their functions;  
(c) to pro tect a legitimate interest recognised by the laws and regulations of that Party.  
Section 4: Border enforcement  
 
160 
 Article IP.53: Border measures  
1. With respect to goods  under customs control, each Party shall adopt or maintain procedures 
under which a right ho lder may submit applications to a competent authority40 to suspend the 
release of or detain suspected goods. For the purposes of this Section, "suspected goods" means 
goods suspected of infringing trade marks, copyrights and related rights, geographical ind ications, 
patents, utility models, industrial designs, topographies of integrated circuits and plant variety 
rights.  
2. Each Party shall  have in place electronic systems for the management by customs of the 
applications granted or recorded.  
3. Each Party  shall  ensure that its competent authorities do not charge a fee to cover the 
administrative costs resulting from the processing of an application or a recordation.  
4. Each Party shall ensure that its competent authorities decide about granting or recording 
applic ations within a reasonable period of time.  
5. Each Party shall provide for the applications referred to in paragraph 1 to apply to multiple 
shipments.  
6. With respect to goods under customs control, each Party shall ensure that its customs 
authorities may act upon their own initiative to suspend the release of or detain suspected goods.  
7. Each Party shall ensure that its customs authorities use risk analysis to identify suspected 
goods.  
8. Each Party may authorise its customs authority to provide a right holder, upon request, with 
information about goods, including a description and the actual or estimated quantities thereof, and 
if known, the name and address of the consignor, importer, exporter or consignee, and the country 
of origin or provenance of the goods, whose release has been suspended, or which have been 
detained.  
9. Each Party shall have in place procedures allowing for the destruction of suspected goods, 
without there being any need for prior administrative or judicial proceedings for the formal 
determina tion of the infringements, where the persons concerned agree or do not oppose the 
destruction. In case suspected goods are not destroyed, each Party shall ensure that, except in 
exceptional circumstances, such goods are disposed of outside the commercial c hannel in a manner 
which avoids any harm to the right holder.  
10. Each Party shall have in place procedures allowing for the swift destruction of counterfeit 
trade mark and pirated goods sent in postal or express couriers' consignments.  
11. Each Party shall provide that, where requested by the customs authorities, the holder of the 
granted or recorded application shall be obliged to reimburse the costs incurred by the customs 
authorities, or other parties acting on behalf of customs authorities, from the mome nt of detention 
or suspension of the release of the goods, including storage, handling, and any costs relating to the 
destruction or disposal of the goods.  
                                                            
40  For the European Union the competent authority means the customs authorities.  
 
161 
 12. Each Party may decide not to apply this Article to the import of goods put on the market in 
another country by or with the consent of the right holders. A Party may exclude from the 
application of this Article goods of a non -commercial nature contained in travellers' personal 
luggage.  
13. Each Party shall allow its customs authorities to maintain a regular dialogue and promote 
cooperation with the relevant stakeholders and with other authorities involved in the enforcement 
of intellectual property rights.  
14. The Parties shall cooperate in respect of international trade in suspected goods. In 
particular, the Pa rties shall, as far as possible, share relevant information on trade in suspected 
goods affecting the other Party.  
15. Without prejudice to other forms of cooperation, the Protocol on mutual administrative 
assistance in customs matters applies with regard to breaches of legislation on intellectual property 
rights for the enforcement of which the customs authorities of a Party are competent in accordance 
with this Article.  
Article IP.54: 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 IP.55: Cooperation  
1. The Parties shall cooperate  with a view to supporting the implementation of the 
commitments and obligations undertaken under this Title.  
2. The areas of cooperation include, but are not limited to, the following activities:  
(a) exchange of information on the legal framework concerning intellectual property rights and 
relevant rules of protection and enforcement;  
(b) exchange of experi ence 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;  
(c) coordination to prevent exports of counterfeit goods, includi ng coordination with other 
countries;  
(d) technical assistance, capacity building, exchange and training of personnel;  
(e) protection and defence of intellectual property rights and the dissemination of information in 
this regard in, among others, to bus iness circles and civil society;  
(f) public awareness of consumers and right holders;  
 
162 
 (g)  the enhancement of institutional cooperation, particularly between the intellectual property 
offices of the Parties;  
(h) educating and promoting awareness among t he general public regarding policies concerning 
the protection and enforcement of intellectual property rights;  
(i) the promotion of protection and enforcement of intellectual property rights with public -
private collaboration involving small and medium -size enterprises;   
(j) 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.  
3. The Parties shall, either directly or through the Trade Specialised Committee on Intellectual 
Property, maintain contact on all matters related to the implementation and functioning of this Title.  
Article IP.56: Volunt ary 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 solut ions that are realistic, balanced proportionate and fair for all 
concerned including in the following ways:  
(a) 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 infringemen t;  
(b) the Parties shall endeavour to exchange information with each other regarding efforts to 
facilitate voluntary stakeholder initiatives in their respective territories; and  
(c) the Parties shall endeavour to promote open dialogue and cooperation amon g 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 IP.57: 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 e ndeavours to agree rules for the protection and effective 
domestic enforcement of their geographical indications.  
TITLE VI: PUBLIC PRO CUREMENT  
Chapter 1: Scope  
Article PPROC.1: 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.  
 
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 Article PPROC.2: Incorporation of certain  provisions of the GPA and covered procurement  
1.  The provisions of the GPA that are specified in Section A of Annex PPROC -1, including the 
Annexes of each Party to Appendix I to the GPA, are hereby incorporated into this Title.  
2.  For the purposes of th is Title, "covered procurement" means procurement to which Article II 
of the GPA applies and, in addition, procurement listed in Section B of Annex PPROC -1. 
3.  With regard to covered procurement , each Party shall apply, mutatis mutandis , the 
provisions of  the GPA specified in Section A of Annex PPROC -1 to suppliers, goods or services of the 
other Party.  
Chapter 2: Additional rules for covered procurement  
Article PPROC.3: Use of electronic means in procurement  
1.  Each Party shall ensure that its procuring entities conduct covered procurement by 
electronic means to the widest extent practicable.  
2.  A procuring entity is considered as conducting covered procurement by electronic means, if 
the entity uses electronic means of information  and communication for:  
(a) the publication of notices and tender documentation in procurement procedures; and  
(b) the submission of requests to participate and of tenders.  
3.  Except for specific situations, such electronic means of information and communication shall 
be non -discriminatory, generally available and interoperable with the information and 
communication technology products in general use and shall not restrict access to the procurement 
procedure.  
4.  Each Party shall ensure that its procuring entities receive and pr ocess electronic invoices in 
accordance with its legislation.  
Article PPROC.4: 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 PPROC.5: Supporting evidence  
Each Party shall ensure that at the time of submission of requests to particip ate 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.  
 
164 
 Article PPROC.6: 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 Part y.  
Article PPROC.7: 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 PPROC.8: Selective tendering  
Each Party shall ensure that where a procuring entity uses a selective te ndering 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 PPROC.9: Abnormally l ow 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 t he grant of subsidies.  
Article PPROC.10: 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, provide d 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 PPROC.11: Domes tic review procedures  
1. Where an impartial administrative authority is designated by a Party under paragraph 4 of 
Article XVIII of the GPA, that Party shall ensure that:  
(a) the members of the designated authority are independent, impartial, and free from ext ernal 
influence  during the term of appointment;  
(b) 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 
(c) the Presiden t 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.  
2. Each Party shall adopt or maintain procedures that provide for rapid interim measures to 
preserve the supplier's opportunity  to participate in the procurement. Such interim measures, 
provided for in subparagraph 7(a) of Article XVIII of the GPA, may result in suspension of the 
 
165 
 procurement process or, if a contract has been concluded by the procuring entity and if a Party has 
so provided, in suspension of performance of the contract. The procedures may provide that 
overriding adverse consequences for the interests concerned, inclu ding the public interest, may be 
taken into account when deciding whether such measures should be applied. Just cause for not 
acting shall be provided in writing.  
3. In case an interested or participating supplier has submitted a challenge with the designa ted 
authority referred to in paragraph 1, each Party shall, in principle, ensure  that a procuring entity 
shall not conclude the contract until that authority has made a decision or recommendation on the 
challenge with regard to interim measures, corrective  action or compensation for the loss or 
damages suffered as referred to in paragraphs 2, 5 and 6 in accordance with its rules, regulations 
and procedures. Each Party may provide that in unavoidable and duly justified circumstances, the 
contract can be neve rtheless concluded.  
4. Each Party may provide for:  
(a) 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  
(b) a sufficient period for an interested  supplier to submit a challenge, which may constitute 
grounds for the suspension of the execution of a contract.  
5. Corrective action under subparagraph 7(b) of Article XVIII of the GPA may include one or 
more of the following:  
(a) 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;  
(b) the repetition of the procurement  procedure without changing the conditions;  
(c) the setting aside of the contract award decision and the adoption of a new contract award 
decision;  
(d) the termination of a contract or the declaration of its ineffectiveness; or  
(e) the a doption 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.  
6. In accordance with subparagraph 7(b) of Article XVIII of the GPA, each Party may provide for 
the award of compensation  for the loss or damages suffered. In this regard, if the review body of the 
Party is not a court and a supplier believes that there has b een a breach of the domestic laws and 
regulations implementing the obligations under Chapters 1 and 2, the supplier may bring the matter 
before a court, including with a view to seeking compensation, in accordance with judicial 
procedures of the Party.  
7. Each Party shall adopt or maintain the necessary procedures by which the decisions or 
recommendations made  by review bodies are effectively implemented, or the decisions by judicial 
review bodies are effectively enforced.  
Chapter 3: National treatment beyo nd covered procurement  
 
166 
 Article PPROC.12: Definitions  
1.  For the purposes of this Chapter, the treatment accorded by a Party under this Chapter 
means:  
(a)  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  
(b)  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. 
2.  For the purposes of this Chapter, a supplier of a Party, which is a legal person means:  
(a)  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 A rticle 54 of the Treaty on the Functioning of the 
European Union, in the territory of the Union; and  
(b)  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 PPROC.13: National treatment of locally established suppliers  
1.  With regard to any procurement, a measure of a Party shall not result for suppliers of the 
other Party established in its territory through  the c onstitution, acquisition or maintenance of a legal 
person in treatment less favourable  than that Party accords to its own like suppliers41. 
2.  The application of the national treatment obligation provided for in this Article remains 
subject to security and  general exceptions as defined in Article III of the GPA, even if the 
procurement is not covered procurement in accordance  with this Title.  
Chapter 4: Other provisions  
Article PPROC.14: Modifications and rectifications of market access commitments  
Each Par ty may modify or rectify its market  access commitments in its respective Sub -section under 
Section B of Annex PPROC -.1 in accordance with the procedures set out in Articles PPROC.15 
[Modifications] to PPROC.18 [Amendment of Section Annex PROC -1].  
Article PPROC.15: Modifications  
1.  A Party intending to modify a Sub -section  under Section B of Annex PPROC -1, shall:  
                                                            
41  For greater c ertainty, 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 ANNEX PPROC -1 
[Public Procurement].  
 
167 
 (a) notify the other Party  in writing; and  
(b) include in the notification a proposal for appropriate compensatory adjustments to the other 
Party to main tain a level of market access commitments comparable to that existing prior to 
the modification.  
2.  Notwithstanding point (b) of paragraph 1, a Party is not required to provide compensatory 
adjustments to the other Party if the proposed modification covers a procuring entity over which the 
Party has effectively eliminated its control or influence in respect of covered procurement.  
A Party’s  control or influence over the covered procurement of procuring entitie s is presumed to be 
effectively eliminated if the procuring entity is exposed to competition in markets to which access is 
not restricted.  
3. The other  Party may object to the modification referred to in point (a) of paragraph 1 if it disputes 
that:  
(a) a comp ensatory  adjustment proposed under point (b) of paragraph 1 is adequate to maintain 
a comparable level of mutually agreed market access commitments; or  
(b) 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 [Dispute Settlement] of Part Six [Dispute 
settlement and horizontal provisions].  
Article PPROC.16: Rectifications  
1.   A Party intending to r ectify a Sub -section under Section B of Annex PPROC -1 shall notify the 
other Party in writing . 
The following changes to a Sub -section under Section B of Annex PPROC -1 shall be considered a 
rectification, provided  that they do not affect the mutually agreed  market access commitments 
provided for in this Title:  
(a) a change in the name of a procuring entity;  
(b) a merger  of two or more procuring entities listed within that Sub -section; and  
(c) the separation of a procuring entity listed in that Sub -section into two or mo re procuring 
entities that are added  to the procuring entities listed in the same Sub -section.  
2.   A Party may notify the other Party of an objection to a proposed rectification within 45 days 
from having received the notification. A Party submitting an o bjection shall set out the reasons for 
considering the proposed rectification not as a change provided for in paragraph 1, and describe the 
effect of the proposed rectification on the mutually agreed market access commitments provided 
for in this Title. If  no such objection is submitted in writing within 45 days after having received the 
notification, the Party shall be deemed to have agreed to the proposed rectification.  
 
168 
 Article PPROC.17: Consultations and dispute resolution  
If a Party objects to the prop osed modification or the proposed compensatory adjustments referred 
to in Article PPROC.15 [Modifications] or to the proposed rectification referred to in Article 
PPROC.16 [Rectifications], 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 PPROC -1 may refer the matter to dispute settlement in 
accordance with Title I [Dispute settlement] of Part  Six [Dispute settlement and horizontal 
provisions], to determine whether the objection is justified.  
Article PPROC.18: Amendment of Section B of Annex PPROC -1 
If a Party does  not object to the modification pursuant to Article PPROC.15(3) [Modifications] o r to a 
rectification pursuant to Article PPROC.16(2) [Rectifications], or the modifications or rectifications 
are agreed between the Parties through the consultations referred to in Article PPROC.17 
[Consultations and dispute resolution], or there is a fin al settlement of the matter under Title I 
[Dispute settlement] of Part Six [Dispute settlement and horizontal provisions], the Partnership 
Council shall amend the relevant Sub -section under Section B of Annex PPROC -1 to reflect the 
corresponding modificati ons or rectifications or the compensatory adjustments.  
Article PPROC.19: Cooperation  
1.  The Parties recognise the benefits that may arise from cooperating in the international 
promotion of the mutual liberalisation of public procurement markets.  
2.  The Parties shall make available to each other annual statistics on covered procurement 
subject to technical availability.  
 
TITLE VII: SMALL AND  MEDIUM -SIZED ENTERP RISES  
Article SME.1: Objective  
The objective of this Title is to enhance the ability of small an d medium -sized enterprises to benefit 
from Heading one [Trade].  
Article SME.2: Information sharing  
1. Each  Party shall establish or maintain its own publicly accessible website for small and 
medium -sized enterprises with information regarding Heading one [Trade], including:  
(a) a summary  of Heading one [Trade];  
(b) a description of the provisions in Heading one [Trade] that each Party considers to be relevant 
to small and medium -sized enterprises of both Parties; and  
(c) any additional information that each Party considers would be useful for small and medium -
sized enterprises  interested in benefitting from Heading one [Trade].  
2. Each  Party shall include an internet link in the website provided for in paragraph 1 to the:  
(a) text of Heading one [Trade];  
 
169 
 (b) equivalent  website of the other Party; and  
(c) websites of its own authorities that the Party considers would provide useful information to 
persons interested  in trading and doing business in its territory.  
3. Each Part y shall include an internet link in the website provided for in paragraph 1 to 
websites of its own authorities with information related to the following:  
(a) customs  laws and regulations, procedures  for importation, exportation and transit as well as 
relev ant forms, documents  and other information required;  
(b) laws, regulations and procedures concerning intellectual property rights, including 
geographical indications ; 
(c) technical  laws and regulations including, where necessary, obligatory conformity ass essment 
procedures and links to lists of conformity assessment bodies, in cases where third party 
conformity assessment is obligatory, as provided for in Chapter 4 [Technical barriers to trade] 
of Title I [Trade in goods] of this Heading;  
(d) laws and regu lations on sanitary and phytosanitary measures relating to importation and 
exportation as provided for in Chapter 3 [Sanitary and phytosanitary issues] of Title I [Trade in 
goods] of this Heading;  
(e) laws  and regulations on public procurement, single poin t of access on the internet to public 
procurement notices as provided for in Title VI [Public procurement] of this Heading and other 
relevant provisions contained in that Title;  
(f) company  registration procedures; and  
(g) other  information which the Party  considers may be of assistance to small and medium -sized 
enterprises.  
4. 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:  
(a)  in respect  of tariff measures and tariff -related information:  
(i) rates of customs duties and quotas, including most -favoured nation, rates concerning 
non most -favoured nation countries and preferential rates and tariff rate quotas;  
(ii) excise duties ; 
(iii) taxes ( value  added tax/ sales tax);  
(iv) customs or other fees, including other product specific fees;  
(v) rules of origin as provided for in Chapter 2 [Rules of origin] of Title I [Trade  in Goods] 
of this Heading;  
(vi) duty drawback,  deferral, or other types of relief that reduce, refund, or waive customs 
duties;  
 
170 
 (vii) criteria used to determine the customs value of the good; and  
(viii)  other tariff measures;  
(b)  in respect  of tariff nom enclature related non -tariff measures:  
(i) information  needed for import procedures; and  
(ii) information  related to non -tariff measures.  
5. Each Party shall regularly, or if requested by the other Party, update the information and 
links referred  to in paragraphs 1 to 4 that it maintains on its website to ensure such information and 
links are up -to-date and accurate.  
6. Each Party shall ensure that the information and links referred to in paragraphs 1 to 4 is 
presented in an adequate manner to use  for small and medium -sized enterprises.  Each Party shall 
endeavour to make the information available in English.  
7. No fee shall apply for access to the information provided pursuant to paragraphs 1 to 4 for 
any person of either Party.  
Article SME.3: Sm all and medium -sized enterprises contact points  
1. Upon the entry into force of this Agreement, each Party shall designate a contact point to 
carry out the functions  listed in this Article and notify the other Party of its contact details. The 
Parties shal l promptly notify each other of any change of those contact details.  
2. The small  and medium -sized enterprises contact points of the Parties shall:  
(a) seek to ensure that the needs of small and medium -sized enterprises are taken into account in 
the imple mentation  of Heading one [Trade] and that small and medium -sized enterprises of 
both Parties can take advantage of Heading one [Trade];  
(b)  consider ways for strengthening the cooperation on matters of relevance to small and 
medium -sized enterprises betw een the Parties in view of increasing trade and investment 
opportunities for small and medium -sized enterprises ; 
(c)  ensure that the information referred to in Article SME.2 [Information sharing] 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 SM E.2 
[Information sharing];  
(d)  examine any matter relevant to small and medium -sized enterprises in connection with the 
implementation  of Heading one [Trade], including:  
(i) exchanging  information to assist the Partnership Council in its task to monitor a nd 
implement the small  and medium -sized enterprises -related aspects of Heading one 
[Trade];  
 
171 
 (ii) assisting specialised  committees, joint working groups and contact points established 
by this Agreement in considering matters of relevance to small and mediu m-sized 
enterprises;  
(e)  report periodically on their activities, jointly or individually, to the Partnership Council  for its 
consideration ; and  
(f) consider any other matter arising under this Agreement pertaining to small and medium -sized 
enterprises as  the Parties may agree.  
3. The small and medium -sized enterprises contact points of the Parties shall carry out their 
work through  the communication channels decided by the Parties, which may include electronic 
mail, videoconferencing or other means. They may also meet, as appropriate.  
4. Small and medium -sized enterprises contact points may seek to cooperate with experts and 
external organisations, as appropriate, in carrying out their activities.  
Article SME.4: Relation with Part Six  
Title I [Dispute set tlement] of Part Six [Dispute settlement and horizontal provisions] does  not apply 
to this Title.  
 
TITLE VIII: ENERGY  
Chapter 1: General provisions  
Article ENER.1: Objectives  
The objectives of this Title are to f acilitate 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 ENER.2: Definitions  
1. For the purposes  of this Title, the following definitions apply:  
(a) “Agency for the Cooperation of Energy Regulators” means the Agency established  by 
Regulation (EU) 2019/942 of the European Parliament and of the Council of 5 June 2019 
establishing a European Union Agency fo r the Cooperation of Energy Regulators42; 
(b) “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;  
(c) “balancing” means:  
                                                            
42  OJ EU L 158, 14.6.2019, p. 22.  
 
172 
 (i) 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;  
(ii) for gas systems, actions undertaken by gas transmission system operators to change 
the gas flows onto or off the transmission network, excluding those actions re lated to 
gas unaccounted for as off -taken from the system and gas used by the transmission 
system operator for the operation of the system;  
(d) “distribution” means:  
(i) 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;  
(ii) 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 incl ude supply;  
(e) “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 in terconnections with other 
systems, and for ensuring the long -term ability of the system to meet reasonable demands for 
the distribution of electricity or gas;  
(f) “electricity interconnector” means a transmission line:  
(i) between  the Parties, excluding any such line wholly within the single electricity 
market in Ireland and Northern Ireland;  
(ii) between Great Britain and the single electricity market in Ireland and Northern Ireland 
that is outside the scope of point (i);  
(g) “energy goods” means the goods from which energy is generated, listed by the corresponding 
Harmonised System (HS) code in Annex ENER -1; 
(h) “entity” means any natural person, legal person or enterprise or group thereof;  
(i) “gas interconnector” means a transmission line which crosses or spans the border b etween 
the Parties;  
(j) “generation” means the production of electricity;  
(k) “hydrocarbons” means the goods listed by the corresponding HS code in Annex ENER -1; 
(l) “interconnection point” means, in relation to gas, a physical or virtual point connecting Union 
and Un ited 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;  
(m) “raw materials” means the goods listed by the corresponding HS chapter in Annex ENER -1; 
 
173 
 (n) “renewable energy" means a type of energy, including electrical energy, produced from 
renewable non -fossil sources;  
(o) “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;  
(p) “transmission” means:  
(i) 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;  
(ii) 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 g as, with a view to its delivery to customers, but not including 
supply;  
(q) “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 necess ary, 
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 electrici ty, as the case may be;  
(r) “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 termi nal or final coastal landing terminal.  
2. For the purposes  of this Title, references to “non -discriminatory” and “non -discrimination” 
mean most -favoured -nation treatment as defined in Articles SERVIN.2.4 [Most Favoured Nation 
Treatment] and 3.5[Most Favour ed Nation Treatment] and national treatment as defined in Articles 
SERVIN. 2.3 [National Treatment] and 3.4 [National Treatment], as well as treatment under terms 
and conditions no less favourable than that accorded to any other like entity in like situati ons.  
Article ENER.3: Relationship with other Titles  
1.           Chapters 2 [Investment liberalisation] and 3 [Cross -border trade in services] of Title II  apply 
to energy and raw materials. In the event of any inconsistency between this Title and Title II  
[Services and investment] and the Annexes SERVIN -1 to SERVIN -6, Title II [Services and investment] 
and the Annexes SERVIN -1 to SERVIN -6 shall prevail.  
2.           For the purposes of Article GOODS.4A [Freedom of transit],  where  a Party  maintains 
or impl ements  a system of virtual trading of natural gas  or electricity using pipelines or electricity 
grids,  meaning  a system which does not require physical identification  of the transited natural 
gas or electricity but is based on a system of netting inputs an d outputs, the routes most convenient 
for international transit  as referred to in  that Article  shall  be deemed to  include  such  virtual trading.  
3.           When applying Chapter 3 [Subsidy control] of Title XI [Level playing field for open and fair 
compet ition and sustainable development], Annex ENER -2 also applies. Chapter 3 [Subsidy control] 
of Title XI [Level playing field for open and fair competition and sustainable development] applies to 
 
174 
 Annex ENER -2. Article 3.13 [Dispute settlement] of Chapter 3 o f Title XI [Level playing field for open 
and fair competition and sustainable development] applies to disputes arising between the Parties 
concerning the interpretation and application of Annex ENER -2. 
Article ENER.4: 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 hea lth 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 ENER.5: Competition in markets and non -discrimination  
1. With the objective of ensuring fair competition, each Party shall ensure that its regulatory 
framework for the production, generation, transmission, distribution or supply of electricity or 
natural gas  is non -discriminatory with regard to rules, fees and treatm ent. 
2. Each Party shall ensure that customers are free to choose, or switch to, the electricity or 
natural gas supplier of their choice within their respective retail markets in accordance with the 
applicable laws and regulations.  
3. Without  prejudice  to the right of each  Party  to define  quality  requirements,  the provisions  in 
this Chapter  related  to natural  gas also apply  to biogas  and gas from  biomass  or other  types  of gas in 
so far as such  gas can technically  and safely  be injected  into,  and transported  throu gh, the natural  
gas system.  
4. This Article  does  not apply  to cross -border  trade  and is without  prejudice  to each  Party's  
right  to regulate  in order  to achieve  legitimate  public  policy  goals  based  on objective  and non-
discriminatory  criteria.  
Article ENER.6: Provisions relating to wholesale electricity and gas markets  
1. Each Party shall ensure that wholesale electricity and natural gas prices reflect actual supply 
and demand. To this end, each Party shall ensure that wholesale electricity and natural gas market 
rules:  
(a) encourage free price formation;  
(b) do not set any technical limits on pricing that restrict trade;  
(c) enable the efficient dispatch of electricity generation assets, energy storage and demand 
response and the efficient use of the electricity system;  
(d) enab le the efficient use of the natural gas system; and  
 
175 
 (e) enable the integration of electricity from renewable energy sources, and ensure the efficient 
and secure operation and development of the electricity system.  
2. Each Party shall ensure that balancing markets are organised in such a way as to ensure:  
(a) non-discrimination between participants and non -discriminatory access to participants;  
(b) that services are defined in a transparent manner;  
(c) that services are procured in a transparent, market -based manner, taking account of the 
advent of new technologies; and  
(d) that producers of renewable energy are accorded reasonable and non -discriminatory terms 
when procuring products and services.  
A Party may decide not to apply poin t (c) if there is a lack of competition in the market for balancing 
services.  
3. Each Party shall ensure that any capacity mechanism in electricity markets is clearly defined, 
transparent, proportionate and non -discriminatory. Neither Party is required to per mit capacity 
situated in the territory of the other Party to participate in any capacity mechanism in its electricity 
markets.  
4. Each Party shall assess the necessary actions to facilitate the integration of gas from 
renewable sources.  
5. This Article is withou t prejudice to each Party's right to regulate in order to achieve 
legitimate public policy goals based on objective and non -discriminatory criteria.  
Article ENER.7: Prohibition of market abuse on wholesale electricity and gas markets  
1. Each Party shall prohi bit market manipulation and insider trading on wholesale electricity 
and natural gas markets, including over -the-counter markets, electricity and natural gas exchanges 
and markets for the trading of electricity and natural gas, capacity, balancing and anci llary services in 
all timeframes, including forward, day -ahead and intraday markets.  
2. Each Party shall monitor trading activity on these markets with a view to detecting and 
preventing trading based on inside information and market manipulation.  
3. The Parties  shall cooperate, including in accordance with Article ENER.20 [Cooperation 
between regulatory authorities], with a view to detecting and preventing trading based on inside 
information and market manipulation and, where appropriate, may exchange informatio n including 
on market monitoring and enforcement activities.  
 
176 
 Article ENER.8: Third -party access to transmission and distribution networks  
1. Each Party shall ensure the implementation of a system of third -party access to their 
transmission and distribution networks based on published tariffs that are applied objectively and in 
a non -discriminatory manner.  
2. Without prejudice to Article ENER.4 [Principles], each Party shall ensure that transmission 
and distribution system operators in its territory grant access  to their transmission or distribution 
systems to entities in that Party’s market within a reasonable period of time from the date of the 
request for access.  
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 an y such refusal.  
3. Without prejudice to legitimate public policy objectives, each Party shall ensure that charges 
applied to entities in that Party’s market by transmission and distribution system operators for 
access to, connection to or the use of networks,  and, where applicable, charges for related network 
reinforcements, are appropriately cost -reflective and transparent. Each Party shall ensure 
publication of the terms, conditions, tariffs and all such information that may be necessary for the 
effective ex ercise of the right of access to, and use of, transmission and distribution systems.  
4. Each Party shall ensure that the tariffs and charges referred to in paragraphs 1 and 3 are 
applied in a non -discriminatory manner with respect to entities in that Party’s market.  
Article ENER.9: System operation and unbundling of transmission network operators  
1. Each Party shall ensure that transmission system operators carry out their functions in a 
transparent, non -discriminatory way.  
2. Each Party shall implement arrangement s for transmission system operators which are 
effective in removing any conflicts of interest arising as a result of the same person exercising 
control over a transmission system operator and a producer or supplier.  
Article ENER.10: Public policy objective s for third -party access and ownership unbundling  
1. Where necessary to fulfil a legitimate public policy objective and based on objective criteria, 
a Party may decide not to apply Articles ENER.8 [Third -party access to transmission and distribution  
networks]  and ENER.9 [System operation and unbundling of transmission network operators] to the 
following:  
(a) emergent or isolated markets or systems;  
(b) infrastructure which meets the conditions set out in Annex ENER -3. 
 
177 
 2. Where necessary to fulfil a legitimate public  policy objective and based on objective criteria, 
a Party may decide not to apply Articles ENER.5 [Competition in markets and non -discrimination] 
and ENER.6 [Provisions relating to wholesale electricity and gas markets] to:  
(a) small or isolated electricity markets or systems;  
(b) small, emergent or isolated natural gas markets or systems.  
Article ENER.11: 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 
Council43 and under the law transposing Article 36 of the Directive 2009/73/EC of the European 
Parliament and of the Council44 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 ENER.12: Independent regulatory authority  
1. Each Party shall ensure the designation and maintenance of an o perationally independent 
regulatory authority or authorities for electricity and gas with the following powers and duties:  
(a) fixing or approving the tariffs, charges and conditions for access to networks referred to in 
Article ENER.8 [Third -party access to t ransmission and distribution networks], and the 
methodologies underlying them;  
(b) ensuring compliance with the arrangements referred to in Articles ENER.9 [System operation 
and unbundling of transmission network operators] and ENER.10 [Public policy objective s and 
third -party access and ownership unbundling];  
(c) issuing binding decisions at least in relation to points (a) and (b);  
(d) imposing effective remedies.  
2. In performing those duties and exercising those powers, the independent regulatory 
authority or authoriti es shall act impartially and transparently.  
Section 2: Trading over interconnectors  
                                                            
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).  
44  Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning 
com mon rules for the internal market in natural gas (OJ EU L 211, 14.8.2009, p. 94).  
 
178 
 Article ENER.13: Efficient use of electricity interconnectors  
1. With the aim of ensuring the efficient use of electricity interconnectors and reducing 
barriers to trade bet ween the Union and the United Kingdom, each Party shall ensure that:  
(a) capacity allocation and congestion management on electricity interconnectors is market 
based, transparent and non -discriminatory;  
(b) the maximum level of capacity of electricity interconnect ors is made available, respecting the:  
(i) need  to ensure secure system operation; and  
(ii) most efficient use of systems;  
(c) electricity interconnector capacity may only be curtailed in emergency situations and any such 
curtailment takes place in a non-discriminatory manner;  
(d) information on capacity calculation is published to support the objectives of this Article;  
(e) there are no network charges on individual transactions on, and no reserve prices for the use 
of, electricity interconnectors;  
(f) 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 t o deliver robust and efficient outcomes for all relevant timeframes, being 
forward, day -ahead, intraday and balancing; and  
(g) capacity allocation and congestion management arrangements contribute to supportive 
conditions for the development of, and investment  in, economically efficient electricity 
interconnection.  
2. The coordination and arrangements referred to in point (f) of paragraph 1 shall not involve 
or imply participation by United Kingdom transmission system operators in Union procedures for 
capacity all ocation and congestion management.  
3. 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:  
(a) transmiss ion system operators participating in the inter -transmission system operator 
compensation mechanism established by Commission Regulation (EU) No 838/201045; and  
                                                            
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 commo n regulatory approach to 
transmission charging (OJ EU L 250, 24.9.2010, p. 5).  
 
179 
 (b) United Kingdom transmission system operators.  
4. The multi -party agreement referred to in paragrap h 3 shall aim to ensure:  
(a) 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  
(b) 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.  
5. Notwithstanding point (e) of p aragraph 1, until such time as the multi -party agreement 
referred to in paragraph 3 has been concluded, a transmission system use fee may be levied on 
scheduled imports and exports between the Union and the United Kingdom.  
Article 14: Electricity trading a rrangements at all timeframes  
1. For capacity allocation and congestion management at the day ahead stage, the Specialised 
Committee on Energy, as a matter of priority, shall take the necessary steps in accordance with 
Article ENER.19 [Cooperation between transmission system operators] to ensure that transmission 
system operators develop arrangements setting out technical procedures in accordance with Annex 
ENER -4 within a specific timeline.  
2. If the Specialised Committee on Energy does not recommend that the Parties implement 
such technical procedures in accordance with Article ENER.19(4) [Cooperation between transmission 
system operators], it shall take decisions and make recommendations as necessary for electricity 
interconnector capacity to be allocated  at the day -ahead market timeframe in accordance with 
Annex ENER -4. 
3. The Specialised Committee on Energy shall keep under review the arrangements for all 
timeframes, and for balancing and intraday timeframes in particular, and may recommend that each 
Party requests its transmission system operators to prepare technical procedures in accordance with 
Article ENER.19 [Cooperation between transmission system operators] to improve arrangements for 
a particular timeframe.  
4. The Specialised Committee on Energy shall keep under review whether the technical 
procedures developed in accordance with paragraph 1 continue to meet the requirements of Annex 
ENER -4, and shall promptly address any issues that are identified.  
Article ENER.15: Efficient use of gas interconne ctors  
1. 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:  
(a) the maximum level of capacity of gas interconnectors is made available, respectin g the 
principle of non -discrimination and taking account of:  
(i) the need to ensure secure system operation; and  
 
180 
 (ii) the most efficient use of systems;  
(b) 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.  
2. Each Party shall take the necessary steps to ensure that:  
(a) 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;  
(b) transmission system operators coordinate procedures relating to the use of gas 
interconnectors between Union transmission system operators a nd United Kingdom 
transmission system operators concerned.  
3. The coordination referred to in point (b) of paragraph 2 shall not involve or imply 
participation by United Kingdom transmission system operators in Union procedures relating to the 
use of gas interconnectors.  
Section 3: Network development and security of supply  
Article ENER.16: Network development  
1. The Parties shall cooperate to facilitate the timely development and interoperability of 
energy infrastructure connecting their territories.  
2. Each Pa rty shall ensure that network development plans for electricity and gas transmission 
systems are drawn up, published and regularly updated.  
Article ENER.17: Cooperation on security of supply  
1. The Parties shall cooperate with respect to the security of suppl y of electricity and natural 
gas.  
2. The Parties shall exchange information on any risks identified pursuant to Article ENER.18 
[Risk preparedness and emergency plans]  in a timely manner.  
3. The Parties shall share the plans referred to in Article ENER.18 [ Risk preparedness and 
emergency plans] . For the Union, these plans may be at Member State or regional level.  
4. The Parties shall inform each other without undue delay where there is reliable information 
that a disruption or other crisis relating to the supply o f electricity or natural gas may occur and on 
measures planned or taken.  
5. The Parties shall immediately inform each other in the event of an actual disruption or other 
crisis, in view of possible coordinated mitigation and restoration measures.   
 
181 
 6. The Parties shall share best practices regarding short -term and seasonal adequacy 
assessments.  
7. The Parties shall develop appropriate frameworks for cooperation with respect to the 
security of supply of electricity and natural gas.  
Article ENER.18: Risk prepare dness and emergency plans  
1. Each Party shall assess risks affecting the security of supply of electricity or natural gas, 
including the likelihood and impact of such risks, and including cross -border risks.  
2. Each Party shall establish and regularly update pl ans to address identified risks affecting the 
security of supply of electricity or natural gas. Such plans shall contain the measures needed to 
remove or mitigate the likelihood and impact of any risk identified under paragraph 1 and the 
measures needed to  prepare for, and mitigate the impact of, an electricity or natural gas crisis.  
3. The measures contained in the plans referred to in paragraph 2 shall:  
(a) be clearly defined, transparent, proportionate, non -discriminatory and verifiable;  
(b) not significantly dist ort trade between the Parties; and  
(c) 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 ENER.19: Cooperation between transmission system operators  
1. Each Party shall ensure that transmission system operators develop working arrangements 
that are efficient and inclusive in order to support the planning and operational tasks associated 
with meeting the objectives of this Title, including, when recommended by the Specialised 
Committee on Energy, the preparation of technical procedures to implement effectively the 
provisions of:  
(a) Article ENER.13 [Efficient use of electricity interconnectors];  
(b) Article ENER.14 [Electricity trading arrangements at all timeframes];  
(c) Article ENER.15 [Efficient use of gas interconnectors];  
(d) Article ENER.16 [Network development]; and  
(e) Article ENER.17 [Cooperation on security of supply].  
The working arrangements referred to in the first subparagraph shall include frameworks for 
cooperation between the European Network of Transmission System Operators for Electricity 
 
182 
 established in accordance with Regulation (EU) 2019/943 (“ENTSO -E”) and th e European Network of 
Transmission System Operators for Gas established in accordance with Regulation (EC) No 715/2009 
of the European Parliament and of the Council46 (“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:  
(a) electricity and gas markets;  
(b) access to networks;  
(c) the security of ele ctricity and gas supply;  
(d) offshore energy;  
(e) infrastructure planning;  
(f) the efficient use of electricity and gas interconnectors; and  
(g) gas decarbonisation and gas quality.  
The Specialised Committee on Energy shall agree on guidance on the working arrangements an d 
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.  
2. The Specialised Committee on Energy may recommend that each Party requests its 
transmission system operators to prepare the technical procedures as referred to in the first 
subparagraph of paragraph 1.  
3. Each Party shall ensure that its respective transmission system operators request the 
opinions of the Agency for the Cooperation of Energy Regulators and the regulatory authority in the 
United Kingdom designated in accordance with Article ENER.12 [Independent  regulatory authority]  
on the technical procedures, respectively, in the event of a disagreement and in any event before 
the finalisation of those technical procedures. The Parties’ respective transmission system operators 
shall submit those opinions toget her with the draft technical procedures to the Specialised 
Committee on Energy.  
4. The Specialised Committee on Energy shall review the draft technical procedures, and may 
recommend that the Parties implement such procedures in their respective domestic arran gements, 
                                                            
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).  
 
183 
 taking due account of the opinions of the Agency for the Cooperation of Energy Regulators and the 
regulatory authority in the United Kingdom designated in accordance with Article ENER.12 
[Independent regulatory authority] . The Specialised Committe e on Energy shall monitor the effective 
operation of such technical procedures and may recommend that they be updated.  
Article ENER.20: Cooperation between regulatory authorities  
1. The Parties shall ensure that the Agency for the Cooperation of Energy Reg ulators and the 
regulatory authority in the United Kingdom designated in accordance with Article ENER.12 
[Independent regulatory authority ] develop contacts and enter into administrative arrangements as 
soon as possible in order to facilitate meeting the o bjectives of this Agreement. The contacts and 
administrative arrangements shall cover at least the following areas:  
(a) electricity and gas markets;  
(b) access to networks;  
(c) the prevention of market abuse on wholesale electricity and gas markets;  
(d) the security of electricity and gas supply;  
(e) infrastructure planning;  
(f) offshore energy;  
(g) the efficient use of electricity and gas interconnectors;  
(h) cooperation between transmission system operators; and  
(i) 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.  
2. The administrative arrangements referred to in paragraph 1 shall not involve, or confer a 
status comparab le to, participation in the Agency for the Cooperation of Energy Regulators by the 
regulatory authority in the United Kingdom designated in accordance with Article ENER.12 
[Independent regulatory authority] . 
Chapter 3: Safe and sustainable energy  
Article ENER.21: Renewable energy and energy efficiency  
1. Each Party shall promote energy efficiency and the use of energy from renewable sources.  
Each Party shall ensure that its rules that apply to licencing or equivalent measures applicable to 
energy fro m renewable sources are necessary and proportionate.  
 
184 
 2. The Union reaffirms the target for the share of gross final energy consumption from 
renewable energy sources in 2030 as set out in Directive (EU) 2018/2001 of the European Parliament 
and of the Council47. 
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 Council48. 
3. The United Kingdom reaffirms:  
(a) its ambition for the share of energy from renewable sources in gross final ene rgy consumption 
in 2030 as set out in its National Energy and Climate Plan;  
(b) its ambition for the absolute level of primary and final energy consumption in 2030 as set out 
in its National Energy and Climate Plan.  
4. The Parties  shall keep each other informed i n relation to the matters referred to in 
paragraphs 2 and 3.  
Article ENER.22 : Support for renewable energy  
1. Each Party shall ensure that support for electricity from renewable sources facilitates the 
integration of electricity from renewable sources in the  electricity market.  
2. Biofuels, bioliquids and biomass shall only be supported as renewable energy if they meet 
robust criteria for sustainability and greenhouse gas emissions saving, which are subject to 
verification.  
3. Each Party shall clearly define any technical specifications which are to be met by renewable 
energy equipment and systems in order to benefit from support schemes. Such technical 
specifications shall take into account cooperation developed under Article ENER.25 [ Cooperation on 
standards] , Article TBT.4 [Technical regulations] and Article TBT.5 [Standards].  
Article ENER.23: Cooperation in the development of offshore renewable energy  
1. The Parties shall cooperate in the development of offshore renewable energy by sharing 
best practices and, wher e appropriate, by facilitating the development of specific projects.  
2. 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 
                                                            
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).  
 
185 
 offshore grid development and the large renewable energy potentia l of the North Seas region. That 
cooperation shall include at least the following areas:  
(a) hybrid and joint projects;  
(b) maritime spatial planning;  
(c) support framework and finance;  
(d) best practices on respective onshore and offshore grid planning;  
(e) the sharing of i nformation on new technologies; and  
(f) the exchange of best practices in relation to the relevant rules, regulations and technical 
standards.  
Article ENER.24: Offshore risk and safety  
1. The Parties shall cooperate and exchange information with the aim of mainta ining high 
levels of safety and environmental protection for all offshore oil and gas operations.  
2. The Parties shall take appropriate measures to prevent major accidents from offshore oil 
and gas operations and to limit the consequences of such accidents.  
3. The Parties shall promote the exchange of best practices among their authorities that are 
competent for the safety and environmental protection of offshore oil and gas operations. The 
regulation of the safety and environmental protection of offshore oil and  gas operations shall be 
independent from any functions relating to licensing of offshore oil and gas operations.  
Article ENER.25: Cooperation on standards  
In accordance with Article TBT.5  [Standards ] and Article TBT.11  [Cooperation ], 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 t o sustainable energy and climate 
policy.  
Article ENER.26: 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  
 
186 
 Article ENER.27: 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 me asures such as licences or minimum price requirements.  
Article ENER.28: 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, a nd only by imposing a regulated price 
that is clearly defined, transparent, non -discriminatory and proportionate.  
Article  ENER.29: Authorisation for exploration and production of hydrocarbons and generation of 
electricity  
1. If a Party requires an authorisati on for exploration or production of hydrocarbons or 
generation of electricity, that Party shall grant such authorisations on the basis of objective and non -
discriminatory criteria which are drawn up and published before the start of the period for 
submissi on of applications in accordance with the general conditions and procedures set out in 
Section 1 [Domestic regulation] of Chapter 5 [Regulatory framework] of Title II [Services and 
investment].  
2. Notwithstanding paragraph 1 of this Article and Article ENER. 3 [Relationship with other 
Titles] , each Party may grant authorisations related to exploration for or the production of 
hydrocarbons without complying with the conditions and procedures related to publication set out 
in Article SERVIN.5.8 [Publication and information available] on the basis of duly justified exemptions 
as provided for in applicable legislation.  
3. Financial contributions or contributions in kind required from entities to which an 
authorisation is granted shall not interfere with the management  and decision -making process of 
such entities.  
4. Each Party shall provide that an applicant for authorisation has the right to appeal any 
decision concerning the authorisation to an authority higher than or independent from the authority 
that issued the deci sion or to request that such a higher or independent authority review that 
decision. Each Party shall ensure that the applicant is provided with the reasons for the 
administrative decision to enable the applicant to have recourse to the procedures for appe al or 
review if necessary. The applicable rules for appeal or review shall be published.  
Article ENER.30:  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  
 
187 
 Article ENER.31 : Effective implementation and amendments  
1. The Partnership  Council may amend Annex ENER -1 and Annex ENER -3. The Partnership 
Council may update Annex ENER -2 as necessary to ensure the operation of that Annex over time.  
2. The Specialised Committee on Energy may amend Annex ENER -4.   
3. The Specialised Committee on Energy shall make recommendations as necessary to ensure 
the effective implementation of the Chapters of this Title for which it is responsible.  
Article ENER.32: Dialogue  
The Parties shall establish a regular dialogue to facilitate meeting the objectives of this Title.  
Article ENER.33: Termination of this Title  
1.           This Title shall cease to apply on 30 June 2026.     
2.           Notwithstanding paragraph 1 , between 1 July 2026 and 31 December 2026 the Partnership 
Council may decide that this Title will apply until 31 March 2027. Between 1 April 2027 and 31 
December 2027, as well as at any point of time in any subsequent year, the Partnership Council may 
decide that this Title will apply until 31 March of the following year.  
3.           This Article applies without prejudice to Articles FISH.17 [Termination], FINPROV.8 
[Termination] and OTH.10 [Termination of Part Two].  
 
TITLE IX: TRANSPAREN CY 
Article TRNSY.1: Objective  
1. Recognising the impact that their respective regulatory environments may have on trade 
and investment between them, the Parties aim to provide a predictable regulatory environment and 
efficient procedures for economic operators, espec ially for small and medium -sized enterprises.   
2. The Parties affirm their commitments in relation to transparency under the WTO 
Agreement, and build on those commitments in the provisions laid down in this Title.  
Article TRNSY.2: Definition  
For the purp oses 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 t he law of a Party.  
Article TRNSY.3: Scope  
This Title applies with respect to Titles I to VIII and Titles X to XII and Heading Six [Other provisions].   
Article TRNSY.4: Publication  
1. Each Party shall ensure that its laws, regulations, procedures and admin istrative rulings of 
general application are promptly published via an officially designated medium, and, where feasible, 
 
188 
 by electronic means, or are otherwise made available in such a manner as to enable any person to 
become acquainted with them.  
2. To the extent appropriate, each Party shall provide an explanation of the objective of and 
rationale for measures referred to in paragraph 1.  
3 Each Party shall provide a reasonable period of time between publication and entry into 
force of its laws and regul ations, except when this is not possible for reasons of urgency.  
Article TRNSY.5: Enquiries  
1. Each Party shall establish or maintain appropriate and proportionate mechanisms for 
responding to questions from any person regarding any laws or regulations.  
2. Each Party shall promptly provide information and respond to questions by the other Party 
pertaining to any law or regulation whether in force or planned, unless a specific mechanism is 
established under another provision of this Agreement.  
Article TRN SY.6: Administration of measures of general application  
1.  Each Party shall administer its laws, regulations, procedures and administrative rulings of 
general application in an objective, impartial, and reasonable manner.   
2.  When administrative proceed ings relating to persons, goods or services of the other Party 
are initiated in respect of the application of laws or regulations, each Party shall:  
(a) endeavour to provide persons who are directly affected by the administrative proceedings 
with reasonable n otice 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  
(b) afford suc h 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 TRNSY.7: Review and appeal  
1. Each Party shall establish or maintain judicial, arbitral or administrative tribunals and 
procedures for the purpose of the prompt review and, if warranted, correction of administrative 
decisions. Each Party shall ensure that its tribunals carry out proce dures for appeal or review in a 
non-discriminatory and impartial manner. Those tribunals shall be impartial and independent of the 
authority entrusted with administrative enforcement.   
2. Each Party shall ensure that the parties to the proceedings as refe rred to in paragraph 1 are 
provided with a reasonable opportunity to support or defend their respective positions.   
3. In accordance with its law, each Party shall ensure that any decisions adopted in proceedings 
as referred to in paragraph 1 are based on  the evidence and submissions of record or, where 
applicable, on the record compiled by the competent administrative authority.  
 
189 
 4. Each Party shall ensure that decisions as referred to in paragraph 3 shall be implemented by 
the authority entrusted with ad ministrative enforcement, subject to appeal or further review as 
provided for in its law.  
Article TRNSY.8: Relation to other Titles  
The provisions set out in this Title supplement the specific transparency rules set out in those Titles 
of this Part with r espect to which this Title applies.  
TITLE X: GOOD REGULA TORY PRACTICES AND R EGULATORY COOPERATIO N  
Article GRP.1: General principles  
1. Each Party shall be free to determine its approach to good regulatory practices under this 
Agreement in a manner consistent with its own legal framework, practice, procedures and 
fundamental principles49 underlying its regulatory system.  
2. Nothing in this Title shall be construed as requiring a Party to:   
(a) deviate from its domestic procedures for preparing and adopt ing regulatory measures;  
(b) take actions that would undermine or impede the timely adoption of regulatory measures to 
achieve its public policy objectives; or  
(c) achieve any  particular regulatory outcome.  
3. 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:   
(a) public health;   
(b) human, animal or plant life and health, and animal wel fare;   
(c) occupational health and safety;   
(d) labour conditions;  
(e) environment including climate change;   
(f)  consumer protection;   
(g) social protection and social security;  
(h) data protection and cybersecurity;   
(i) cultural diversity;   
(j) integrity and stability of the f inancial system, and protection of investors;  
                                                            
49  For the Union, such principles include the precautionary principle.  
 
190 
 (k) energy security; and  
(l) 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 r ole 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.  
4. Regulatory measures sh all not constitute a disguised barrier to trade.  
Article GRP.2: Definitions  
For the purposes of this Title:   
(a) “regulatory authority” means:  
(i) for the Union, the European Commission; and  
(ii) 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.  
(b)  “regulatory measures” means:  
(i) for the Union:  
(A) regulations and directives, as provided for in Article 288 of the Treaty on 
the Functioning of the Europea n Union (TFEU); and  
(B) implementing and delegated acts, as provided for in Articles 290 and 291 
TFEU, respectively; and  
(ii) for the United Kingdom:  
(A) primary legislation; and  
(B) secondary legislation.  
Article GRP.3: Scope  
1. This Title applies to regula tory measures proposed or issued, as relevant, by the regulatory 
authority of each Party in respect of any matter covered by Titles I to IX, Title XI and Title XII and 
Heading Six [Other provisions].  
2. Articles GRP.12 [Regulatory cooperation activities] and GRP.13 [Trade Specialised 
Committee on Regulatory Cooperation] also apply to other measures of general application issued or 
proposed by the regulatory authority of a Party in respect of any matter covered by the Titles 
referred to in paragraph 1 which  are relevant to regulatory cooperation activities, such as guidelines, 
policy documents or recommendations.   
3. This Title does not apply to regulatory authorities and regulatory measures, regulatory 
practices or approaches of the Member States.  
 
191 
 4. Any specific provisions in the Titles referred to in paragraph 1 shall prevail over the 
provisions of this Title to the extent necessary for the application of the specific provisions.   
Article GRP.4: 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:   
(a) foster good regulatory practi ces, including those set forth in this Title;  
(b) identify and avoid unnecessary duplication and inconsistent requirements between the Party’s 
own regulatory measures;  
(c) ensure compliance with the Party's international trade and investment obligations; and  
(d) promote the  consideration of the impact of the regulatory measures under preparation, 
including the impact on small and medium -sized enterprises50, in accordance with its 
respective rules and procedures.  
Article GRP.5: 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 GRP.6: Early information on planned regulatory measures  
1. Each Party shall make publicly available, in accordance with its respective rules and 
procedures on at least an annual  basis, a list of planned major51 regulatory measures that its 
regulatory authority reasonably expects to propose or adopt within a year. The regulatory authority 
of each Party may determine what constitutes a major regulatory measure for the purposes of it s 
obligations under this Title.   
2. 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) a brief description of its scope and objectives; and  
(b) if available, the estimated time for its adoption, including any opportunities for public 
consultation .   
                                                            
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 rule s and 
procedures.  
 
192 
 Article GRP.7: Public consultation  
1. When preparing a major regulatory measure, each Party, in accordance with its respective 
rules and procedures,  shall ensure that its regulatory authority:  
(a) 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 in terests might be significantly affected;  
(b) offers, on a non -discriminatory basis, reasonable opportunities for any person to provide 
comments; and  
(c) considers the  comments received.   
2. Each Party shall ensure that its regulatory authority makes use of elec tronic means of 
communication and shall seek to maintain online services that are available to the public free of 
charge for the purposes of publishing the relevant regulatory measures or documents of the kind 
referred to in point (a) of paragraph 1 and of  receiving comments related to public consultations.   
3. Each Party shall ensure that its regulatory authority makes publicly available, in accordance 
with its respective rules and procedures, a summary of the results of the public consultations 
referred to in this Article.  
Article GRP.8: Impact assessment  
1.  Each Party affirms its intention to ensure that its regulatory authority carries out, in 
accordance with its respective rules and procedures, impact assessments for any major regulatory 
measures it prepares. Such rules and procedures may provide for exceptions.  
2. 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:   
(a) the need for the regulatory measure, including the nature and the significance of the problem 
that the regulatory measure intends to address;   
(b) any feasible and appropriate regulatory or non -regulatory options  that would achieve the 
Party's public policy objectives, including the option of not regulating;   
(c) to the extent possible and relevant, the potential social, economic and environmental impa ct 
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  
(d) where appropriate, how the options under consideration relat e to relevant international 
standards, including  the reasons for any divergence.  
3. With respect to an impact assessment that a regulatory authority has conducted for a 
regulatory measure, each Party shall ensure that its regulatory authority prepares a f inal report 
detailing the factors it considered in its assessment and its relevant findings. To the extent possible, 
each Party shall make such reports publicly available no later than when the proposal for a 
regulatory measure as referred to in point (b)( i)(A) or (b)(ii(A) of Article GRP.2 [Definitions] or a 
 
193 
 regulatory measure as referred to in point (b)(i)(B) or (b)(ii)(B) of Article GRP.2 [Definitions] has been 
made publicly available.  
Article GRP.9: Retrospective evaluation  
1. Each Party shall ensure that its regulatory authority has in place processes or mechanisms 
for the purpose of carrying out periodic retrospective evaluations of regulatory measures in force, 
where appropriate.  
2. When conducting a periodic retrospective evaluation, each Party sh all endeavour to 
consider whether there are opportunities to more effectively achieve its public policy objectives and 
to reduce unnecessary regulatory burdens, including on small and medium -sized enterprises.  
3. Each Party shall ensure that its regulatory  authority makes publicly available any existing 
plans for and the results of such retrospective evaluations.   
Article GRP.10: 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 GRP.11: Exchange of i nformation 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 GRP.12: Regulatory cooperation activities  
1. The Parties may engage in regulatory cooperation activities on a voluntary basis, without 
prejudice to the autonomy of their own decision -making and their respective legal orders. A Party 
may refuse to engage in or it may withdraw from regulatory cooperation activities. A Party that 
refuses to engage in or that withdraws from regulatory cooperation activities should explain the 
reasons for its decision to the other Party.   
2. Each Party may propose a re gulatory cooperation activity to the other Party. It shall present 
its proposal via the contact point designated in accordance with Article GRP.14 [Contact points]. The 
other Party shall review that proposal within a reasonable period and shall inform the proposing 
Party whether it considers the proposed activity to be suitable for regulatory cooperation.   
3. In order to identify activities that are suitable for regulatory cooperation, each Party shall 
consider:   
(a) the list referred to in Article GRP.6(1) [ Early information on planned regulatory measures]; and  
(b) proposals for regulatory cooperation activities submitted by persons of a Party that are  
substantiated and accompanied by relevant information.   
4. If the Parties decide to engage in a regulatory coo peration activity, the regulatory authority 
of each Party shall endeavour, where appropriate:   
 
194 
 (a) 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 GRP.3(2) [Scope] that are relevant to the regulatory cooperation activity;   
(b) on request, to provide information and discuss regulatory measures and other measures of 
general application referred to in Article GRP.3(2) [S cope] that are relevant to the regulatory 
cooperation activity; and   
(c) when  preparing new or revising existing regulatory measures or other measures of general 
application referred to in Article GRP.3(2) [Scope], consider, to the extent feasible, any 
regula tory approach by the other Party on the same or a related matter.   
Article GRP.13: Trade Specialised Committee on Regulatory Cooperation   
1. The Trade Specialised Committee on Regulatory Cooperation shall have the following 
functions:  
(a) enhancing and promoting good regulatory practices and regulatory cooperation between the 
Parties;   
(b) exchanging views with respect to the cooperation activities proposed or carried out under 
Article GRP.12 [Regulatory cooperation activities];   
(c) encouraging regulatory cooperation and coordination in international fora, including, when 
appropriate , periodic bilateral exchanges of information on relevant ongoing or planned 
activities.  
2. The Trade Specialised Committee on Regulatory Cooperation may invite inter ested persons 
to participate in its meetings.  
Article GRP.14: 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 G RP.15: Non -application of dispute settlement  
Title I [Dispute Settlement] of Part Six  does not apply in respect of disputes regarding the 
interpretation and application of this Title.  
 
TITLE XI: LEVEL PLAY ING FIELD FOR OPEN A ND FAIR COMPETITION AND SUSTA INABLE 
DEVELOPMENT  
Chapter one: General provisions  
Article 1.1: Principles and objectives  
1. The Parties recognise that trade and investment between the Union and the United 
Kingdom under the terms set out in this Agreement require conditions that ensure a le vel playing 
field for open and fair competition between the Parties and that ensure that trade and investment 
take place in a manner conducive to sustainable development.  
 
195 
 2. The Parties recognise that sustainable development encompasses economic development,  
social development and environmental protection, all three being interdependent and mutually 
reinforcing, and affirm their commitment to promote the development of international trade and 
investment in a way that contributes to the objective of sustainabl e development.  
3. Each Party reaffirms its ambition of achieving economy -wide climate neutrality by 2050.  
4. The Parties affirm their common understanding that their economic relationship can only 
deliver benefits in a mutually satisfactory way if the commitment s relating to a level playing field for 
open and fair competition stand the test of time, by preventing distortions of trade or investment, 
and by contributing to sustainable development. However the Parties recognise that the purpose of 
this Title is not to harmonise the standards of the Parties. The Parties are determined to maintain 
and improve their respective high standards in the areas covered by this Title.  
Article 1.2: Right to regulate, precautionary approach52 and scientific and technical informati on 
1. The Parties affirm the right of each Party to set its policies and priorities in the areas covered 
by this Title, to determine the levels of protection it deems appropriate and to adopt or modify its 
law and policies in a manner consistent with each Par ty's international commitments, including its 
commitments under this Title.  
2. The Parties acknowledge that, in accordance with the precautionary approach, where there 
are reasonable grounds for concern that there are potential threats of serious or irreversi ble damage 
to the environment or human health, the lack of full scientific certainty shall not be used as a reason 
for preventing a Party from adopting appropriate measures to prevent such damage.  
3. When preparing or implementing measures aimed at protecting  the environment or labour 
conditions that may affect trade or investment, each Party shall take into account relevant, available 
scientific and technical information, international standards, guidelines and recommendations.  
Article 1.3 Dispute settlement  
Title I [Dispute settlement] of Part Six [Dispute settlement and horizontal provisions] does not apply 
to this Chapter, except for Article 1.2(2) [Right to regulate, precautionary approach and scientific and 
technical information]. Articles 9.1 [Consultati ons] and 9.2 [Panel of experts] apply to Article 1.1(3) 
[Principles and objectives].  
Chapter two: Competition Policy  
Article 2.1: Principles and definitions  
1. The Parties recognise the importance of free and undistorted competition in their trade and 
invest ment relations. The Parties acknowledge that anticompetitive business practices may distort 
the proper functioning of markets and undermine the benefits of trade liberalisation.  
2. For the purposes of this Chapter, an “economic actor” means an entity or a gr oup 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.  
                                                            
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.  
 
196 
 Article 2.2: Competition law  
1. In recognition of the principles set out in Article 2.1 [Principles and definitions], each Party 
shall maintain a competition law which effectively addresses the following anticompetitive business 
practices:  
a) 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;  
b) abuse by one or more economic actors of a dominant position; and  
c) for the United Kingdom, mergers or acquisitions and, for the Union, concentrations, between 
economic actors which may have significant anticompetitive effects.  
2. The competition law referred to in paragraph 1 shall apply to all economic actors 
irrespective of their nationality or ownership status.  
3. Each Party may provide for exemptions from its compet ition law in pursuit of legitimate 
public policy objectives, provided that those exemptions are transparent and are proportionate to 
those objectives.  
Article 2.3: Enforcement  
1. Each Party shall take appropriate measures to enforce its competition law in its  territory.  
2. Each Party shall maintain an operationally independent authority or authorities competent 
for the effective enforcement of its competition law.  
3. Each Party shall apply its competition law in a transparent and non -discriminatory manner, 
respecti ng the principles of procedural fairness, including the rights of defence of the economic 
actors concerned, irrespective of their nationality or ownership status.  
Article 2.4: Cooperation  
1. To achieve the objectives of this Chapter and to enhance the effecti ve enforcement of their 
respective competition law, the Parties recognise the importance of cooperation between their 
respective competition authorities with regard to developments in competition policy and 
enforcement activities.  
2. For the purposes of parag raph 1, the European Commission or the competition authorities 
of the Member States, on the one side, and the United Kingdom’s competition authority or 
authorities, on the other side, shall endeavour to cooperate and coordinate, with respect to their 
enfor cement activities concerning the same or related conduct or transactions, where doing so is 
possible and appropriate.  
3. To facilitate the cooperation and coordination referred to in paragraphs 1 and 2, the 
European Commission and the competition authorities of the Member States, on the one side, and 
the United Kingdom’s competition authority or authorities, on the other side, may exchange 
information to the extent permitted by each Party’s law.  
 
197 
 4. To implement the objectives of this Article, the Parties may ent er into a separate agreement 
on cooperation and coordination between the European Commission, the competition authorities of 
the Member States and the United Kingdom’s competition authority or authorities, which may 
include conditions for the exchange and use of confidential information.  
Article 2.5: Dispute settlement  
This Chapter shall not be subject to dispute settlement under Title I [Dispute settlement] of Part Six 
[Dispute settlement and horizontal provisions].  
Chapter three: Subsidy control  
Article 3.1: Definitions   
1. For the purposes of this Chapter:  
a) “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 ma rket;  
b) “subsidy” means financial assistance which:  
(i) arises  from  the resources  of the Parties,  including:   
(A) a direct or contingent transfer of funds such as direct grants, loans or loan 
guarantees;  
(B) the forgoing of revenue that is otherwise due; or  
(C) the provision of goods or services, or the purchase of goods or services;  
(ii) confers  an economic  advantage  on one or more  economic  actors;  
(iii) 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 
(iv) has, or could  have,  an effect  on trade  or investment  between  the Parties.  
2. For the purposes of point (b)(iii) of paragraph 1:  
(a) a tax measure shall not be considered as specific unless:  
(i) certain economic  actors  obtain  a reduction  in the tax liability  that they  otherwise  would  
have  borne  under  the normal  taxation  regime;  and 
(ii) those  economic  actors  are treated  more  advantageously  than  others  in a comparable  
position  within  the normal  taxatio n 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.  
 
198 
 (b) notwithstanding point (a), a subsidy shall not be regarded as specific if it is justified by 
principles inherent to the design of the general s ystem. 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 i ts redistributive purpose, or the need to respect 
taxpayers’ ability to pay;  
(c) 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 discriminatory53. 
Article 3.2: Scope and exceptions  
1. Article 3.4 [Principles], 3.5 [Prohibited subsidies and subsidies  subject to conditions] and 
Article 3.12 [Remedial measures] do not apply to subsidies granted to compensate the damage 
caused by natural disasters or other exceptional non -economic occurrences.  
2. Nothing in this Chapter prevents the Parties from granting su bsidies of a social character 
that are targeted at final consumers.  
3. Subsidies that are granted on a temporary basis to respond to a national or global economic 
emergency shall be targeted, proportionate and effective in order to remedy that emergency. 
Articles 3.5 [Prohibited subsidies and subsidies subject to conditions] and 3.12 [Remedial measures] 
do not apply to such subsidies.  
4. This Chapter does not apply to subsidies where the total amount granted to a single 
economic actor is below 325,000 Special Dra wing Rights over any period of three fiscal years. The 
Partnership Council may amend that threshold.  
5. This Chapter does not apply to subsidies that are subject to the provisions of Part IV or 
Annex 2 of the Agreement on Agriculture and subsidies related to trade in fish and fish products.  
6. This Chapter does not apply to subsidies related to the audio -visual sector.  
7. Article 3.9 [Independent authority or body and cooperation] does not apply to subsidies 
financed by resources of the Parties at supranational leve l. 
8. For the purposes of subsidies to air carriers, for any reference to “effect on trade or 
investment between the Parties” in this Chapter, there shall be substituted a reference to “effect on 
competition between air carriers of the Parties in the provisio n of air transport services”, including 
those air transport services not covered under Title I [Air transport] of Heading 2 [Aviation].  
Article 3.3: Services of public economic interest  
1. Subsidies granted to economic actors assigned with particular tasks i n the public interest, 
including public service obligations, are subject to Article 3.4 [Principles] insofar as the application of 
                                                            
53 For this purpose, discrimination means that there is less fav ourable treatment of an economic actor 
compared with others in like situations and that that differential treatment is not justified by objective 
criteria. 
 
199 
 the principles set out in that Article does not obstruct the performance in law or fact of the 
particular task assigned to th e economic actor concerned. The task shall be assigned in advance in a 
transparent manner.  
2. The Parties shall ensure that the amount of compensation granted to an economic actor that 
is assigned with a task in the public interest is limited to what is necessary to cover all or part of the 
costs incurred in the discharge of that task, taking into account the relevant receipts and a 
reasonable profit for discharging that task. The Parties shall ensure that the compensation granted is 
not used to cross -subsidise activities falling outside the scope of the assigned task. Compensation 
below 15 million Special Drawing Rights per task shall not be subject to the obligations under Article 
3.7 [Transparency]. The Partnership Council may amend this threshold.  
3. This Chapter does not apply where the total compensation to an economic actor providing 
tasks in the public interest is below 750,000 Special Drawing Rights over any period of three fiscal 
years. The Partnership Council may amend this threshold.  
Article 3.4: P rinciples  
1. 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 tha t the granting of a subsidy respects 
the following principles:  
a) 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 
object ive”);  
b) subsidies are proportionate and limited to what is necessary to achieve the objective;  
c) 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 achieve d in the absence of 
subsidies being provided;  
d) subsidies should not normally compensate for the costs the beneficiary would have funded in 
the absence of any subsidy;  
e) subsidies are an appropriate policy instrument to achieve a public policy objective and th at 
objective cannot be achieved through other less distortive means;  
f) subsidies’ positive contributions to achieving the objective outweigh any negative effects, in 
particular the negative effects on trade or investment between the Parties.  
2. Without prejudic e to paragraph 1, each Party shall apply the conditions set out in Article 3.5 
[Prohibited subsidies and subsidies subject to conditions], where relevant, if the subsidies concerned 
have or could have a material effect on trade or investment between the Pa rties.  
3. It is for each Party to determine how its obligations under paragraphs 1 and 2 are 
implemented in the design of its subsidy control system in its own domestic law, provided that each 
Party shall ensure that the obligations in paragraphs 1 and 2 are  implemented in its law in such a 
manner that the legality of an individual subsidy will be determined by the principles.  
 
200 
 Article 3.5 Prohibited subsidies and subsidies subject to conditions  
1. The categories of the subsidies referred to in Article 3.4(2) [Principles] and the conditions to 
be applied to them are as follows. The Partnership Council may update these provisions as necessary 
to ensure the operation of this Article over time.  
Unlimited state guarantees  
2. Subsidies in the form of a guarantee of deb ts or liabilities of an economic actor without any 
limitation as to the amount of those debts and liabilities or the duration of that guarantee shall be 
prohibited.  
Rescue and restructuring  
3. Subsidies for restructuring an ailing or insolvent economic actor without the economic actor 
having prepared a credible restructuring plan shall be prohibited. The restructuring plan shall be 
based on realistic assumptions with a view to ensuring the return to long -term viability of the ailing 
or insolvent economic actor  within a reasonable time period. During the preparation of the 
restructuring plan, the economic actor can receive temporary liquidity support in the form of loans 
or loan guarantees. Except for small and medium -sized enterprises, an economic actor or its owners, 
creditors or new investors shall contribute significant funds or assets to the cost of restructuring. For 
the purposes of this paragraph, an ailing or insolvent economic actor is one that would almost 
certainly go out of business in the short to me dium term without the subsidy  
4. Other than in exceptional circumstances, subsidies for the rescue and restructuring of 
insolvent or ailing economic actors should only be allowed if they contribute to an objective of public 
interest by avoiding social hardshi p or preventing a severe market failure, in particular with regard 
to job losses or disruption of an important service that is difficult to replicate. Except in the case of 
unforeseeable circumstances not caused by the beneficiary, they should not be grant ed more than 
once in any five year period.  
5. Paragraphs 3 and 4 do not apply to subsidies to ailing or insolvent banks, credit institutions 
and insurance companies.  
Banks, credit institutions and insurance companies  
6. Without prejudice to Article SERVIN 5.39 [Prudential carve -out], subsidies to restructure 
banks, credit institutions and insurance companies may only be granted on the basis of a credible 
restructuring plan that restores long -term viability. If a return to long -term viability cannot be 
credibly d emonstrated, any subsidy to banks, credit institutions and insurance companies shall be 
limited to what is needed to ensure their orderly liquidation and exit from the market while 
minimising the amount of the subsidy and its negative effect on trade or in vestment between the 
Parties.  
7. It shall be ensured that the granting authority is properly remunerated for the restructuring 
subsidy and that the beneficiary, its shareholders, its creditors or the business group to which the 
beneficiary belongs, contribut e significantly to the restructuring or liquidation costs from their own 
resources. Subsidies to support liquidity provisions shall be temporary, shall not be used to absorb 
losses and shall not become capital support. Proper remuneration shall be paid to the granting 
authority for the subsidies granted to support liquidity provisions.  
Export subsidies  
 
201 
 8. Subsidies that are contingent in law or in fact54, whether solely or as one of several other 
conditions, upon export performance relating to goods or services , shall be prohibited, except in 
relation to:  
(a) short -term credit insurance for non -marketable risks; or  
(b) export credits and export credit guarantee or insurance programmes that are permissible in 
accordance with the SCM Agreement, read with any adjustments n ecessary for context.  
9. 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 countries55. A country may be unde rstood to be temporarily removed from the 
group of marketable risk countries if there is a lack of sufficient private market capacity because of:  
(a) a significant contraction of private credit insurance capacity;  
(b) a significant deterioration of sovereign sector rating; or  
(c) a significant deterioration of corporate sector performance.  
10. Such temporary removal of a marketable risk country shall take effect, as far as a Party is 
concerned, in accordance with a decision of  that Party on the basis of the criteria in paragraph 9, and 
only if that Party adopts such a decision. The publication of that decision shall be deemed to 
constitute notification to the other Party of such temporary removal as far as the former Party is 
concerned.  
11. If a subsidised insurer provides export credit insurance, any insurance for marketable risks 
shall be provided on a commercial basis. In such a case, the insurer shall not directly or indirectly 
benefit from subsidies for the provision of insura nce for marketable risks.  
Subsidies contingent upon the use of domestic content  
12. Without prejudice to Article SERVIN 2.6 [Performance requirements] and Article SERVIN 2.7 
[Non -conforming measures and exceptions], subsidies contingent, whether solely or as o ne of 
several other conditions, upon the use of domestic over imported goods or services shall be 
prohibited.  
Large cross border or international cooperation projects  
13. Subsidies may be granted in the context of large cross border or international cooperati on 
projects, such as those for transport, energy, the environment, research and development, and first 
deployment projects to incentivise the emergence and deployment of new technologies (excluding 
manufacturing). The benefits of such cross border or inter national cooperation projects must not be 
limited to the economic actors or to the sector or the States participating, but must have wider 
                                                            
54 For greater certainty, this standard is met when the facts demonstrate that the granting of a subs idy, 
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 co nsidered 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 Ame rica.  
 
202 
 benefit and relevance through spill over effects that do not exclusively accrue to the State that 
grants the subsidy,  the relevant sector and beneficiary.  
Energy and environment  
14. The Parties recognise the importance of a secure, affordable and sustainable energy system 
and environmental sustainability, notably in relation to the fight against climate change which 
represent an existential threat to humanity. Therefore, without preju dice to Article 3.4 [Principles], 
the subsidies in relation to energy and environment shall be aimed at, and incentivise the 
beneficiary in, delivering a secure, affordable and sustainable energy system and a well -functioning 
and competitive energy market or increasing the level of environmental protection compared to the 
level that would be achieved in absence of the subsidy. Such subsidies shall not relieve the 
beneficiary from liabilities arising from its responsibilities as a polluter under the law of t he relevant 
Party.  
Subsidies to air carriers for the operation of routes  
15. Subsidies shall not be granted to an air carrier56 for the operation of routes except:  
(a) where there is a public service obligation, in accordance with Article 3.3 [Services of public 
economic interest];  
(b) in special cases where this funding provides benefits for society at large; or  
(c) as start -up subsidies for opening new routes to regional airports providing that it increases the 
mobility of citizens and stimulates regional development.  
Article 3.6: Use of subsidies  
Each Party shall ensure that economic actors use subsidies only for the specific purpose for which 
they are granted.  
Article 3.7: Transparency  
1. With respect to any subsidy granted or maintained within its territory, each Party s hall within 
six months from the granting of the subsidy make publicly available, on an official website or a 
public database, the following information:  
(a) the legal basis and policy objective or purpose of the subsidy;  
(b) the name of the recipient of the subsid y when available;  
(c) the date of the grant of the subsidy, the duration of the subsidy and any other time limits 
attached to the subsidy; and  
(d) the amount of the subsidy or the amount budgeted for the subsidy.  
2. For subsidies in the form of tax measures, the info rmation shall be made public within one 
year from the date the tax declaration is due. The transparency obligations for subsidies in the form 
                                                            
56 For greater certainty, this is without prejudice to paragraphs Article 3.2(1) and (2) [Scope and exceptions].  
 
203 
 of tax measures concern the same information as listed in paragraph 1, except for the information 
required under p oint (d) of that paragraph, which may be provided as a range.  
3. In addition to the obligation set out in paragraph 1, the Parties shall make subsidy 
information available in accordance with paragraphs 4 or 5 below.  
4. For the Union, compliance with paragraph 3 means that with respect to any subsidy granted 
or maintained within its territory, within six months from the grant of the subsidy, information is 
made publicly available, on an official website or a public database, that allows interested parties to 
asses s the compliance with the principles set out in Article 3.4 [Principles].  
5. For the United Kingdom, compliance with paragraph 3 means that the United Kingdom shall 
ensure that:  
(a) if an interested party communicates to the granting authority that it may apply for a review by 
a court or tribunal of (i) the grant of a subsidy by a granting authority or (ii) any relevant 
decision by the granting authority or the independent body or aut hority;  
(b) then, within 28 days of the request being made in writing, the granting authority, independent 
body or authority will provide that interested party with the information that allows the 
interested party to assess the application of the principles set out in Article 3.4 [Principles], 
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 sub -paragraph shal l 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.  
6. For the purposes of this Article, Article 3 .10 [Courts and tribunals] and Article 3.11 
[Recovery], “interested party” means any natural or legal person, economic actor or association of 
economic actors whose interest might be affected by the granting of a subsidy, in particular the 
beneficiary, eco nomic actors competing with the beneficiary or relevant trade associations.  
7. The obligations in this Article are without prejudice to the obligations of the Parties under 
their respective laws concerning freedom of information or access to documents.  
Article 3.8: Consultations on subsidy control  
1. If a Party considers that a subsidy has been granted by the other Party or that there is clear 
evidence that the other Party intends to grant a subsidy and that the granting of the subsidy has or 
could have a negat ive effect on trade or investment between the Parties, it may request the other 
Party to provide an explanation of how the Principles referred to in Article 3.4 [Principles] have been 
respected with regard to that subsidy.  
2. A Party may also request the info rmation listed in Article 3.7(1) [Transparency] to the extent 
that the information has not already been made publicly available on an official website or a public 
database as referred to in Article 3.7(1) [Transparency], or to the extent that the informati on has not 
been made available in an easily and readily accessible manner.  
3. The other Party shall provide the requested information in writing no later than 60 days of 
the receipt of the request. If any requested information cannot be provided, that Party s hall explain 
the absence of such information in its written response.  
 
204 
 4. If after receiving the information requested, the requesting Party still considers that the 
subsidy granted or intended to be granted by the other Party has or could have a negative effe ct on 
trade or investment between the Parties, the requesting Party may request consultations within the 
Trade Specialised Committee on the Level Playing Field for Open and Fair Competition and 
Sustainable Development. The request shall be in writing and s hall include an explanation of the 
requesting Party’s reasons for requesting the consultation.  
5. The Trade Specialised Committee on the Level Playing Field for Open and Fair Competition 
and Sustainable Development shall make every attempt to arrive at a mutu ally satisfactory 
resolution of the matter. It shall hold its first meeting within 30 days of the request for consultation.  
6. The timeframes for the consultations referred to in paragraphs 3 and 5 may be extended by 
agreement between the Parties.  
Article 3.9 : Independent authority or body and cooperation  
1. Each Party shall establish or maintain an operationally independent authority or body with 
an appropriate role in its subsidy control regime. That independent authority or body shall have the 
necessary guaran tees of independence in exercising its operational functions and shall act 
impartially.  
2. The Parties shall encourage their respective independent authorities or bodies to cooperate 
with each other on issues of common interest within their respective functio ns, including the 
application of Articles 3.1 [Definitions] to 3.7 [Transparency] as applicable, within the limits 
established by their respective legal frameworks. The Parties, or their respective independent 
authorities or bodies, may agree upon a separa te framework regarding cooperation between those 
independent authorities.  
Article 3.10: Courts and tribunals  
1. Each Party shall ensure, in accordance with its general and constitutional laws and 
procedures, that its courts or tribunals are competent to:  
a)  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 3.4 [Principles];  
b)  review any other relevant decisions of the independent authority or  body and any relevant 
failure to act;  
c)  impose remedies that are effective in relation to points a) or b), including suspension, 
prohibition or requirement of action by the granting authority, the award of damages, and 
recovery of subsidy from its benef iciary if and to the extent they are available under the 
respective laws on the date of entry into force of this Agreement;  
d)  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.  
2. Each Party shall have the right to intervene with the permission, where required, of the 
court or tribunal concerned, in accordance with the general laws and procedures of the other Party 
in cases referred to in paragraph 1.  
 
205 
 3. Without prejudice to the obligations to maintain or, where necessary, to create the 
competencies, remedies and rights of intervention referred to in paragraphs 1 and 2 of this Article, 
and Article 3.11 [Recovery],  nothing in this Article requires either Party to create rights of action, 
remedies, procedures, or the scope or grounds of review of decisions of their respective public 
authorities, beyond those existing under its law on the date of entry into force of t his Agreement .  
Nothing in this Article requires either Party to widen the scope or grounds of review by its courts and 
tribunals of Acts of the United Kingdom Parliament, of acts of the European Parliament and the 
Council of the European Union, or of acts  of the Council of the European Union beyond those 
existing under its law on the date of entry into force of this Agreement .57  
Article 3.11: Recovery  
1. Each Party shall have in place an effective mechanism of recovery in respect of subsidies in 
accordance wi th the following provisions, without prejudice to other remedies that exist in that 
Party’s law.58  
2. Each Party shall ensure that, provided that the interested party as defined in Article 3.7(6) 
[Transparency] has challenged a decision to grant a subsidy bef ore 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) a measure constituting a subsidy was not treated by the grantor as a subsidy;  
(b) the grantor of a subsidy has failed to apply the principles set out in Article 3.4 [Principles], as 
implemented in that Party’s law, or applied them in a manner which falls below the standard 
of review applicable in th at Party’s law; or  
(c) 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 3.4 [Principles], 
as implemented in that Party’s law.  
3. For the  purposes of this Article, the specified time period shall be determined as follows:  
(a) for the Union, it shall commence on the date on which information specified in Article 3.7(1), 
(2) and (4) [Transparency] was made available on the official website or pub lic database and 
be no shorter than one month.  
(b) for the United Kingdom:  
(i) it shall  commence  on the date  on which  information  specified  in Article  3.7(1)  and (2) 
[Transparency]  was made  available  on the official  website  or public  database;  
                                                            
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 virt ue 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 expand ed in any other way, in accordance with Article 
3.10(3) [Courts and tribunals]. No beneficiary would be able to raise a legitimate expectation to resist such 
recovery.  
 
206 
 (ii) it shall  terminate  one month  later,  unless,  prior  to that date,  the interested  party  has 
requested  information  under  the process  specified  in paragraph  5 of Article  3.7; 
(iii) once  the interested  party  has received  the information  identified  in Article  3.7(5)(b)  
sufficient  for the purposes  identified  in that paragraph,  there  shall  be a further  one 
month  period  at the end of which  the specified  time  period  shall  terminate;  
(iv) the date  of receipt  of the information  in point  (iii) will be the date  on which  the granti ng 
authority  certifies  that it has provided  the information  identified  in Article  3.7(5)(b)  
[Transparency]  sufficient  for those  purposes,  irrespective  of further  or clarificatory  
correspondence  after  that date;  
(v) the time  periods  identified  in points  (i) to (iii) may  be increased  by legislation.  
4. For the purposes of paragraph 3(b), in relation to schemes, the specified time period 
commences when the information under point (b) is published, not when subsequent payments are 
made, where:  
(a) a subsidy is ostensibly granted in accordance with the terms of a scheme;  
(b) the maker of the scheme has made publicly available the information required to be published 
by Article 3.7(1) and (2) [Transparency] in respect of the scheme; and  
(c) the information p rovided about the scheme under point (b) 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 
benefi ciary, the terms and conditions of eligibility for subsidy and the basis for the calculation 
of the subsidy (including any relevant conditions relating to subsidy ratios or amounts).  
5. For the purposes of this Article, recovery of a subsidy is not required w here a subsidy is 
granted on the basis of an Act of the Parliament of the United Kingdom, of an act of the European 
Parliament and of the Council of the European Union, or of an act of the Council of the European 
Union.  
6. Nothing in this Article prevents a P arty from choosing to provide additional situations where 
recovery is a remedy, beyond those specified in this Article, in accordance with its law.  
7. The Parties recognise that recovery is an important remedial tool in any system of subsidy 
control. At the r equest of either Party, the Parties shall, within the Partnership Council consider 
additional or alternative mechanisms for recovery, as well as corresponding amendments to this 
Article. Within the Partnership Council, either Party may propose amendments t o allow for different 
arrangements for their respective mechanisms for recovery. A Party must consider a proposal made 
by the other Party in good faith and agree to it, provided that this Party considers that it contains 
arrangements which represent at lea st as effective a means of delivering recovery as the existing 
mechanisms of the other Party. The Partnership Council may then make corresponding amendments 
to this Article.59 
                                                            
59 The Parties note that the United Kingdom will implement a new system of subsidy contro l subsequent to the 
entry into force of this Agreement.  
 
207 
 Article 3.12: Remedial measures  
1.  A Party may deliver to the other Party a written  request for information and consultations 
regarding a subsidy that it considers causes, or there is a serious risk that it will cause, a significant 
negative effect on trade or investment between the Parties. The requesting Party should provide in 
that re quest all relevant information to enable the Parties to find a mutually acceptable solution, 
including a description of the subsidy and the concerns of the requesting Party regarding its effect 
on trade or investment.  
2. No later than 30 days from the date of  delivery of the request the requested Party shall 
deliver a written response providing the requested information to the requesting Party, and the 
Parties shall enter into consultations, which shall be deemed concluded 60 days from the date of 
delivery of that request, unless the Parties agree otherwise. Such consultations, and in particular all 
information designated as confidential and positions taken by the Parties during consultations, shall 
be confidential, and shall be without prejudice to the rights of either Party in any further 
proceedings.  
3. No earlier than 60 days from the date of delivery of the request referred to in paragraph 1, 
the requesting Party may unilaterally take appropriate remedial measures if there is evidence that a 
subsidy of the re quested Party causes, or there is a serious risk that it will cause a significant 
negative effect on trade or investment between the Parties.  
4. No earlier than 45 days from the date of delivery of the request referred to in paragraph 1, 
the requesting Party shall notify the requested Party of the remedial measures that it intends to take 
in accordance with paragraph 3. The requesting Party shall provide all relevant information in 
relation to the measures that it intends to take to enable the Parties to find a mutually acceptable 
solution. The requesting Party may not take those remedial measures earlier than 15 days from the 
date of delivery of the notification of those measures to the requested Party.  
5. A Party’s assessment of the existence of a serious risk of a significant negative effect shall be 
based on facts and not merely on allegation, conjecture or remote possibility. The change in 
circumstances that would create a situation in which the subsidy would cause such a significant 
negative effect must be c learly predictable.  
6. A Party’s assessment of the existence of a subsidy or of a significant negative effect on trade 
or investment between the Parties caused by the subsidy shall be based on reliable evidence and not 
merely on conjecture or remote possib ility, and shall relate to identifiable goods, service suppliers or 
other economic actors, including, if relevant, in the case of subsidy schemes.  
7.  The Partnership Council may maintain an illustrative list of what would amount to a 
significant negative effect on trade or investment between the Parties within the meaning of 
paragraphs 1 and 3. This shall be without prejudice to the right of the Parties to take remedial 
measures.  
8. The remedial measures taken pursuant to paragraph 3 shall be restricted to w hat is strictly 
necessary and proportionate in order to remedy the significant negative effect caused or to address 
the serious risk of such an effect. Priority shall be given to measures that will least disturb the 
functioning of this Agreement.  
9. Within f ive 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 
INST.13 [Consultations], the notified Party may request, in accordance with Art icle INST.14(2) 
 
208 
 [Arbitration procedure], 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) a remedial measure taken by the requesting Party is inconsistent with paragraph 3 or 8;  
(b) the requesting Party did not participate in the consultations after the requested Party 
delivered the requested information and agreed to the holding of such consultat ions; or  
(c) 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 trib unal shall not assess the application by the Parties of Articles 3.4 [Principles] and 3.5 
[Prohibited subsidies and subsidies subject to conditions].  
10. The arbitration tribunal established following the request referred to in paragraph 9 shall 
conduct its pr oceedings in accordance with Article INST.34B [Special procedures for remedial 
measures and rebalancing] and deliver its final ruling within 30 days from its establishment.  
11. In the case of a finding against the respondent Party, the respondent Party shall,  at the latest 
30 days from the date of delivery of the ruling of the arbitration tribunal, deliver a notification to the 
complaining Party of any measure that it has taken to comply with that ruling.  
12.  Following a finding against the respondent Party in t he procedure referred to in paragraph 
10, the complaining Party may request the arbitration tribunal, within 30 days from its ruling, to 
determine a level of suspension of obligations under this Agreement or a supplementing agreement 
not exceeding the leve l equivalent to the nullification or impairment caused by the application of the 
remedial measures, if it finds that the inconsistency of the remedial measures with paragraphs 3 or 8 
is significant. The request shall propose a level of suspension of obliga tions in accordance with the 
principles set out in Article INST.34C [Suspension of obligations for the purposes of Article 
LPFS.3.12(12)[Remedial measures], Article FISH.9(5) and Article FISH.14(6)]. The complaining Party 
may suspend obligations under this  Agreement or a supplementing agreement in accordance with 
the level of suspension of obligations determined by the arbitration tribunal. Such suspension shall 
not be applied sooner than 15 days following such ruling.  
13. A Party shall not invoke the WTO Agreement or any other international agreement to 
preclude the other Party from taking measures pursuant to this Article, including where those 
measures consist in the suspension of obligations under this Agreement or under a supplementing 
agreement.  
14. For t he 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:  
(a)  shall take into account countervailing me asures applied or maintained pursuant to Article 
GOODS.17(3) [Trade Remedies] of Title IV [Trade in goods]; and  
(b)  may take into account anti -dumping measures applied or maintained pursuant to Article 
GOODS.17(3) [Trade Remedies] of Title IV [Trade in go ods].  
 
209 
 15. A Party shall not apply simultaneously a remedial measure under this Article and a 
rebalancing measure under Article 9.4 [Rebalancing] to remedy the impact on trade or investment 
caused directly by the same subsidy.  
16. If the Party against which remed ial measures were taken does not submit a request 
pursuant to paragraph 9 of this Article within the time period laid down in that paragraph, that Party 
may initiate the arbitration procedure referred to in Article INST.14 [Arbitration procedure] to 
challe nge a remedial measure on the grounds set out in paragraph 9 of this Article without having 
prior recourse to consultations in accordance with Article INST.13 [Consultations]. An arbitration 
tribunal shall treat the issue as a case of urgency for the purpo se of Article INST.19 [Urgent 
proceedings].  
17. For the purposes of the proceedings under paragraphs 9 and 16, in assessing whether a 
remedial measure is strictly necessary or proportionate, the arbitration tribunal shall pay due regard 
to the principles set out in paragraphs 5 and 6, as well as to paragraphs 13, 14 and 15.  
Article 3.13: Dispute settlement  
1. Subject to paragraphs 2 and 3, Title I [Dispute settlement] of Part Six [Dispute settlement 
and horizontal provisions] applies to disputes between the Parti es concerning the interpretation and 
application of this Chapter, except for Articles 3.9 [Independent authority or body and cooperation] 
and 3.10 [Courts and tribunals].  
2. An arbitration tribunal shall have no jurisdiction regarding:  
(a) an individual subsidy,  including whether such a subsidy has respected the principles set out in 
paragraph 1 of Article 3.4 [Principles], other than with regard to the conditions set out in 
Article 3.5(2) [Unlimited state guarantees], (3) to (5) [Rescue and restructuring], (8) t o (11) 
[Export subsidies] and (12) [Subsidies contingent upon the use of domestic content]; and  
(b) whether the recovery remedy within the meaning of Article 3.11 [Recovery] has been 
correctly applied in any individual case.  
3. Title I [Dispute settlement] of Par t Six [Dispute settlement and horizontal provisions] shall 
apply to Article 3.12 [Remedial measures] in accordance with that Article and Article INST.34B 
[Special procedures for remedial measures and rebalancing].  
Chapter four: State -owned enterprises, ent erprises granted special rights or privileges and 
designated monopolies  
Article 4.1: Definitions  
1. For the purposes of this Chapter, the following definitions apply:   
(a) "Arrangement" means the Arrangement on Officially Supported Export Credits, developed 
withi n 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;  
(b)  "commercial activi ties" 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 
 
210 
 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;  
(c) "commercial consideratio ns" 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 enterpri se 
operating according to market economy principles in the relevant business or  industry;   
(d) “covered entity” means:  
(i) a designated  monopoly;   
(ii) an enterprise  granted  special  rights  or privileges;  or  
(iii) a State -owned  enterprise.   
(e) “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 intellect ual 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;  
(f) “enterprise” means enterprise as defined in point (g) of Article  SERVIN.1.2 [Definitions.]  
(g) “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;  
(h) "service supplied in the exercise of governmental au thority" means a service supplied in the 
exercise of governmental authority as defined in GATS;  
(i) “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 substanti ally equivalent  conditions;   
(j) “State -owned enterprise” means an enterprise in which a Party:  
(i) directly  owns  more  than  50 % of the share  capital;   
(ii) controls,  directly  or indirectly,  the exercise  of more  than  50 % of the voting  rights;   
(iii) holds  the power  to appo int a majority  of the members  of the board  of directors  or any 
other  equivalent  management  body;  or  
(iv) has the power  to exercise  control  over  the enterprise.  For the establishment  of 
control,  all relevant  legal  and factual  elements  shall  be taken  into accoun t on a case -
by-case  basis.   
 
211 
 Article 4.2: Scope  
1. This Chapter applies to covered entities, at all levels of government, engaged in commercial 
activities. If a covered entity engages in both commercial and non -commercial activities, only the 
commercial activi ties are covered by this Chapter.  
2. This Chapter does not apply to:  
(a) covered entities when acting as procuring entities, as defined in each Party's Annexes 1 to 3 of 
Appendix 1 to the GPA and each Party's paragraph 1 of their respective sub -sections in secti on 
B2 of ANNEX PPROC -1: PUBLIC PROCUREMENT of Title X [Public procurement], conducting 
covered procurement as defined in Article PPROC.2(2) [Incorporation of certain provisions of 
the GPA and covered procurement] of Title X [Public procurement];  
(b) any servi ce supplied in the exercise of governmental authority.  
3. This Chapter does not apply to a covered entity, if in any one of the three previous 
consecutive fiscal years the annual revenue derived from the commercial activities of the enterprise 
or monopoly con cerned was less than 100 million Special Drawing Rights.  
4. Article 4.5 [Non -discriminatory treatment and commercial considerations] does not apply to 
the supply of financial services by a covered entity pursuant to a government mandate, if that supply 
of fin ancial services:  
(a) supports exports or imports, provided that those services are:  
i. not intended  to displace  commercial  financing;  or 
ii. offered  on terms  no more  favourable  than  those  that could  be obtained  for 
comparable  financial  services  in the commercial  market;  or 
(b) supports private investment outside the territory of the Party, provided that those services 
are: 
i. not intended  to displace  commercial  financing;  or 
ii. offered  on terms  no more  favourable  than  those  that could  be obtained  for 
comparable  financial  services  in the commercial  market;  or 
(c) is offered on terms consistent with the Arrangement, if the supply of those services falls 
within the scope of the Arrangement.  
5. Without prejudice to paragraph 3 of this Article, Article 4.5 [Non -discriminatory treatment 
and commercial considerations] does not apply to the following sectors: audio -visual services; 
national maritime cabotage60; and inland waterways transport, as set out in Article SERVIN 1.1(5) 
[Objective and scope]  
                                                            
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 passenge rs 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 
 
212 
 6. Article 4.5 [Non -discrimination and comme rcial considerations] does not apply to the extent 
that a covered entity of a Party makes purchases or sales of goods or services pursuant to:  
(a) any existing non -conforming measure that the Party maintains, continues, renews or amends 
in accordance with [Ar ticle SERVIN 2.7(1) [Non -conforming measures and exceptions] or 
Article SERVIN.3.6(1) [Non -conforming measures] as set out in its Schedules to ANNEXES 
SERVIN -1 and SERVIN -2, as applicable]; or  
(b) any non -conforming measure that the Party adopts or maintains w ith respect to sectors, 
subsectors, or activities in accordance with [Article SERVIN.2.7(2) [Non -conforming measures 
and exceptions] or Article SERVIN.3.6(2) [Non -conforming measures] as set out in its 
Schedules to ANNEXES SERVIN -1 and SERVIN -2], as applic able.  
Article 4.3: 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 
paragrap hs 1, 2 and 5 of Article VIII of GATS.  
Article 4.4: General provisions  
1. Without prejudice to the rights and obligations of each Party under this Chapter, nothing in 
this Chapter prevents a Party from establishing or maintaining a covered entity.  
2. Neither Par ty shall require or encourage a covered entity to act in a manner inconsistent 
with this Chapter.  
Article 4.5: Non -discriminatory treatment and commercial considerations  
1. Each Party shall ensure that each of its covered entities, when engaging in commercial  
activities:  
(a) 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 points (b) 
or (c);  
(b) in its purchase of a good or service:  
i. 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 
ii. 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  
                                                                                                                                                                                         
Convention on the Law of the Sea,  done at Montego Bay, on 10 December 1982 (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.  
 
213 
 (c) in its sale of a good or service:  
i. accords  to an enterprise  of the other  Party  treatment  no less favourable  than  it 
accords  to enterprises  of the Party;  and  
ii. 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  
2. Points *(b) and (c) of paragraph 1 do not preclude a covered entity from:  
(a) 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  
(b) refusing to purchase or supply goods or services, provided that such refusal is made in 
accordance with commercial considerations.  
Article 4.6: Regulatory framework  
1. Each Party shall respect an d make best use of relevant international standards including the 
OECD Guidelines on Corporate Governance of State -Owned Enterprises.  
2. Each Party shall ensure that any regulatory body, and any other body exercising a regulatory 
function, that that Party est ablishes or maintains:  
(a) is independent from, and is not accountable to, any of the enterprises regulated by that body; 
and  
(b) in like circumstances, acts impartially with respect to all enterprises regulated by that body, 
including covered entities; the impa rtiality 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 Agreem ent, the relevant provisions of this Agreement shall prevail.  
3. Each Party shall apply its laws and regulations to covered entities in a consistent and non -
discriminatory manner.  
Article 4.7: Information exchange  
1. A Party which has reason to believe that its interests under this Chapter are being adversely 
affected by the commercial activities of an entity of the other Party may request the other Party in 
writing to provide information on the commercial activities of that entity, related to the carrying out 
of the provisions of this Chapter in accordance with paragraph 2.  
2. 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 
                                                            
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 partic ipation in another enterprise.  
 
214 
 indicates which of the following categories of information is or are to be provided, the requested 
Party shall provide the information so requested:  
(a) 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;  
(b) a description of any special shares or special voting or other rights that the requested Party or 
its covered entities hold, to the extent th at such rights are different from those attached to 
the general common shares of the entity;  
(c) a description of the organisational structure of the entity and the composition of its board of 
directors or of any equivalent body;  
(d) a description of the governme nt 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 ap pointment, dismissal or remuneration of senior executives and members of its board 
of directors or any equivalent body;  
(e) the annual revenue and total assets of the entity over the most recent three -year period for 
which information is available;  
(f) any exemp tions, immunities and related measures from which the entity benefits under the 
laws and regulations of the requested Party;  
(g) any additional information regarding the entity that is publicly available, including annual 
financial reports and third -party aud its.  
3. Paragraphs 1 and 2 do not require a Party to disclose confidential information the disclosure 
of which would be inconsistent with its laws and regulations, would impede law enforcement, or 
otherwise would be contrary to the public interest or would p rejudice the legitimate commercial 
interests of particular enterprises.  
4. If the requested information is not available, the requested Party shall provide to the 
requesting Party, in writing, the reasons why that information is not available.  
Chapter five: Taxation  
Article 5.1: 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. T he 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 intern ational 
cooperation in the area of taxation and facilitate the collection of tax revenues.  
 
215 
 Article 5.2: Taxation standards  
1. 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:  
(a) the exchange of information, whether upon request, spontaneously or automatically, 
concerning financial accounts, cros s-border tax rulings, country -by-country reports between 
tax administrations, and potential cross -border tax planning arrangements;  
(b) rules on interest limitation, controlled foreign companies and hybrid mismatches.  
2. A Party shall not weaken or reduce the le vel of protection provided for in its legislation at 
the end of the transition period in respect of public country -by-country reporting by credit 
institutions and investment firms, other than small and non -interconnected investment firms.  
Article 5.3: Dispute settlement  
This Chapter shall not be subject to dispute settlement under Title I [Dispute settlement] of Part Six 
[Dispute settlement and horizontal provisions].  
Chapter six: Labour and social standards  
Article 6.1: Definition  
1. 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 standards62, in each of the following areas:  
(a) fundamental rights at work;  
(b) occupational health and safety standards;  
(c) fair working condi tions and employment standards;  
(d) information and consultation rights at company level; or  
(e) restructuring of undertakings.  
2. For the Union, “labour and social levels of protection” means labour and social levels of 
protection that are applicable to and in, an d are common to, all Member States.  
Article 6.2: Non -regression from levels of protection  
1. The Parties affirm the right of each Party to set its policies and priorities in the areas covered 
by this Chapter, to determine the labour and social levels of prote ction it deems appropriate and to 
adopt or modify its law and policies in a manner consistent with each Party's international 
commitments, including those under this Chapter.  
                                                            
62 For greater certainty, this Chapter and Article 9.4 [Rebalancing] do not apply to the Parties’ law and 
standards relating to social security and pensions . 
 
216 
 2. A Party shall not weaken or reduce, in a manner affecting trade or investment be tween the 
Parties, its labour and social levels of protection below the levels in place at the end of the transition 
period, including by failing to effectively enforce its law and standards.  
3. The Parties recognise that each Party retains the right to exerc ise reasonable discretion and 
to make bona fide decisions regarding the allocation of labour enforcement resources with respect 
to other labour law determined to have higher priority, provided that the exercise of that discretion, 
and those decisions, are not inconsistent with its obligations under this Chapter.  
4. The Parties shall continue to strive to increase their respective labour and social levels of 
protection referred to in this Chapter.  
Article 6.3: Enforcement  
For the purposes of enforcement as refe rred to in Article 6.2 [Non -regression from levels of 
protection] 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 
com mitments 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 la w 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 6.2 [Non -
regression from levels of protection ], 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 6.4: Dispute settlement  
1. The Parties shall make all efforts through dialogue, consultation, excha nge of information 
and cooperation to address any disagreement on the application of this Chapter.   
2. By way of derogation from Title I [Dispute settlement] of Part Six [Dispute settlement and 
horizontal provisions], in the event of a dispute between the Par ties regarding the application of this 
Chapter, the Parties shall have recourse exclusively to the procedures established under Articles 9.1 
[Consultations], 9.2 [Panel of experts] and 9.3 [Panel of experts for non -regression areas] of this 
Title.  
Chapter  seven : Environment and climate  
Article 7.1: Definitions  
1. 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, 
includin g the prevention of a danger to human life or health from environmental impacts, including 
in each of the following areas:  
(a) industrial emissions;  
(b) air emissions and air quality;  
(c) nature and biodiversity conservation;  
(d) waste management;  
 
217 
 (e) the protection and preservation of the aquatic environment;  
(f) the protection and preservation of the marine environment;  
(g) the prevention, reduction and elimination of risks to human health or the environment arising 
from the production, use, release or disp osal of chemical substances; or  
(h) the management of impacts on the environment from agricultural or food production, notably 
through the use of antibiotics and decontaminants.  
2. For the Union, “environmental levels of protection” means environmental levels of 
protection that are applicable to and in, and are common to, all Member States.  
3. 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 oz one depleting 
substances. With regard to greenhouse gases, this means:  
(a) for the Union, the 40  % economy -wide 2030 target, including the Union’s system of carbon 
pricing;  
(b) 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 7.2: Non -regression from levels of protection  
1. The Parties affirm the right of each Party to set its policies and priorities in the areas covered 
by this Chapter, to determine the environmental levels of protection and climate level of protection 
it deems appropriate and to adopt or modify its law and policies in a manner consistent with each 
Party's international commitments, including those under this Chapter.  
2. A Party shall not weaken or reduce , in a manner affecting trade or investment between the 
Parties, its environmental levels of protection or its climate level of protection below the levels that 
are in place at the end of the transition period, including by failing to effectively enforce i ts 
environmental law or climate level of protection.  
3. The Parties recognise that each Party retains the right to exercise reasonable discretion and 
to make bona fide decisions regarding the allocation of environmental enforcement resources with 
respect to o ther environmental law and climate policies determined to have higher priorities, 
provided that the exercise of that discretion, and those decisions, are not inconsistent with its 
obligations under this Chapter.  
4. For the purposes of this Chapter, insofar as  targets are provided for in a Party’s 
environmental law in the areas listed in Article 7.1 [Definitions], they are included in a Party’s 
environmental levels of protection at the end of the transition period. These targets include those 
whose attainment i s envisaged for a date that is subsequent to the end of the transition period. This 
paragraph shall also apply to ozone depleting substances.  
5. The Parties shall continue to strive to increase their respective environmental levels of 
protection or their res pective climate level of protection referred to in this Chapter.  
 
218 
 Article 7.3: Carbon pricing  
1. Each Party shall have in place an effective system of carbon pricing as of 1 January 2021.  
2. Each system shall cover greenhouse gas emissions from electricity genera tion, heat 
generation, industry and aviation.  
3. The effectiveness of the Parties’ respective carbon pricing systems shall uphold the level of 
protection provided for by Article 7.2 [Non -regression from levels of protection]  
4. By way of derogation from paragraph 2, aviation shall be included within two years at the 
latest, if not included already. The scope of the Union system of carbon pricing shall cover departing 
flights from the European Economic Area to the United Kingdom.  
5. Each Party shall maintain their system of carbon pricing insofar as it is an effective tool for 
each Party in the fight against climate change and shall in any event uphold the level of protection 
provided for by Article 7.2 [Non -regression from levels of protection]  
6. The Parties sh all cooperate on carbon pricing. They shall give serious consideration to linking 
their respective carbon pricing systems in a way that preserves the integrity of these systems and 
provides for the possibility to increase their effectiveness.  
Article 7.4: Environmental and climate principles  
1. 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 U nited Nations Framework Convention on Climate Change, done at New York on 9 
May 1992 (the “UNFCCC”) and the and the Convention on Biological Diversity, done at Rio de Janeiro 
on 5 June 1992 (the "Convention on Biological Diversity”), in particular:  
(a) the pri nciple that environmental protection should be integrated into the making of policies, 
including through impact assessments;  
(b) the principle of preventative action to avert environmental damage;  
(c) the precautionary approach referred to in Article 1.2(2) [Right  to regulate, precautionary 
approach and scientific and technical information];  
(d) the principle that environmental damage should as a priority be rectified at source; and  
(e) the polluter pays principle.  
2. The Parties reaffirm their respective commitments to pro cedures for evaluating the likely 
impact of a proposed activity on the environment, and where specified projects, plans and 
programmes are likely to have significant environmental, including health, effects, this includes an 
environmental impact assessment  or a strategic environmental assessment, as appropriate.  
3. These procedures shall comprise, where appropriate and in accordance with a Party’s laws, 
the determination of the scope of an environmental report and its preparation, the carrying out of 
 
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 public pa rticipation and consultations and the taking into account of the environmental report and 
the results of the public participation and consultations in the consented project, or adopted plan or 
programme.  
Article 7.5: Enforcement  
1. For the purposes of enforce ment as referred to in Article 7.2 [Non -regression from levels of 
protection], each Party shall, in accordance with its law, ensure that:  
(a) domestic authorities competent to enforce the relevant law with regard to environment and 
climate give due considerati on 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  
(b) national a dministrative 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 prohib itively costly and 
are conducted in a fair, equitable and transparent way.  
Article 7.6: Cooperation on monitoring and enforcement  
The Parties shall ensure that the European Commission and the supervisory bodies of the United 
Kingdom regularly meet with eac h other and co -operate on the effective monitoring and 
enforcement of the law with regard to environment and climate as referred to in Article 7.2 [Non -
regression from levels of protection].  
Article 7.7: Dispute settlement  
1. The Parties shall make all efforts through dialogue, consultation, exchange of information 
and cooperation to address any disagreement on the application of this Chapter.   
2. By way of derogation from Title I of Part Six [Dispute settlement and horizontal provisions], 
in the event of a  dispute between the Parties regarding the application of this Chapter, the Parties 
shall have recourse exclusively to the procedures established under Articles 9.1 [Consultations], 9.2 
[Panel of experts] and 9.3 [Panel of experts for non -regression areas]  of this Title.  
Chapter eight : Other instruments for trade and sustainable development  
Article 8.1: Context and objectives  
1. The Parties recall the Agenda 21 and the 1992 Rio Declaration on Environment and 
Development, the Johannesburg Plan of Implementation of the World Summit on Sustainable 
Development of 2002, the International Labour Organization (ILO) Declaration on Social Justice for a 
Fair Globalization, adopted at Geneva on 10 June 2008 by the International Labour Conference at its 
97th Session (the “2008 ILO Declaration on Social Justice for a Fair Globalization”), the Outcome 
Document of the UN Conference on Sustainable Development of 2012 entitled "The Future We 
Want", endorsed by the UN General Assembly Resolution 66/288 adopted on 27  July 2012, and the 
UN 2030 Agenda for Sustainable Development, adopted by the UN General Assembly Resolution 
70/1 on 25 September 2015 and its Sustainable Development Goals.  
2. In light of paragraph 1, the objective of this Chapter is to enhance the integrat ion of 
sustainable development, notably its labour and environmental dimensions, in the Parties' trade and 
 
220 
 investment relationship and in this respect to complement the commitments of the Parties under 
Chapter 6 [Labour and social standards] and Chapter 7 [Environment and climate].  
Article 8.2: Transparency  
1. 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 t heir laws and regulations, the provisions of this Chapter, of Chapter IX 
[Transparency] and of Chapter X [Good Regulatory Practices], each Party shall:  
(a) 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;  
(b) ensure that the general public is given access to relevant environmental information held by 
or for pu blic authorities, as well as ensuring the active dissemination of that information to 
the general public by electronic means;  
(c) encourage public debate with and among non -state actors as regards the development and 
definition of policies that may lead to th e 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  
(d) 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 8.3: Multilateral labou r standards and agreements  
1. The Parties affirm their commitment to promoting the development of international trade in 
a way that is conducive to decent work for all, as expressed in the 2008 ILO Declaration on Social 
Justice for a Fair Globalization.  
2. In ac cordance 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, promo ting and effectively 
implementing the internationally recognised core labour standards, as defined in the fundamental 
ILO Conventions, which are:  
(a) freedom of association and the effective recognition of the right to collective bargaining;  
(b) the elimination of all forms of forced or compulsory labour;  
(c) the effective abolition of child labour; and  
(d) the elimination of discrimination in respect of employment and occupation.  
3. Each Party shall make continued and sustained efforts to ratify the fundamental ILO 
Conventions if they have not yet done so.  
 
221 
 4. The Parties shall exchange information, regularly and as appropriate, on the respective 
situations and progress of the Member Sta tes and of the United Kingdom with regard to the 
ratification of ILO Conventions or protocols classified as up -to-date by the ILO and of other relevant 
international instruments.  
5. Each Party commits to implementing all the ILO Conventions that the United Ki ngdom and 
the Member States of the Union have respectively ratified and the different provisions of the 
European Social Charter that, as members of the Council of Europe, the Member States of the Union 
and the United Kingdom have respectively accepted63.  
6. 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:  
(a) decent working conditions for all, with regard to, inter alia, wages and earnings, working 
hours, maternity leave and other conditions of work;  
(b) health and safety at work, including the prevention of occupational injury or illness and 
compensation in cases of such injury or illness; and  
(c) non-discrimination in respect of working conditions, including for migrant workers.  
7. Each Party shall protect and promote social dialogue on labour matter s among workers and 
employers, and their respective organisations, and with relevant government authorities.  
8. The Parties shall work together on trade -related aspects of labour policies and measures, 
including in multilateral fora, such as the ILO, as appr opriate. Such cooperation may cover inter alia:  
(a) trade -related aspects of implementation of fundamental, priority and other up -to-date ILO 
Conventions;  
(b) trade -related aspects of the ILO Decent Work Agenda, including on the interlinkages between 
trade and f ull 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;  
(c) the impact of labour law and standards on trade and investment , or the impact of trade and 
investment law on labour;  
(d) dialogue and information -sharing on the labour provisions in the context of their respective 
trade agreements, and the implementation thereof; and  
(e) any other form of cooperation deemed appropriate.  
                                                            
63 Each Party maintains its right to determine its priorities, polici es 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 Soci al Charter in paragraph 5 refers to the original 1961 version.  
 
222 
 9. The Parties shall consider any views provided by representatives of workers, employers, and 
civil society organisations when identifying areas of cooperation and when carrying out cooperative 
activities.  
Article 8.4: Multilateral environmental agreements  
1. The P arties recognise the importance of the UN Environment Assembly (UNEA), of the UN 
Environment Programme (UNEP) and multilateral environmental governance and agreements as a 
response of the international community to global or regional environmental challeng es and stress 
the need to enhance the mutual supportiveness between trade and environment policies, rules and 
measures.  
2. In light of paragraph 1, each Party commits to effectively implementing the multilateral 
environmental agreements, protocols and amendments that it has ratified in its law and practices.  
3. The Parties shall regularly and as appropriate exchange information on:  
(a) their respective situations as regards the ratification and implementation of multilateral 
environmental agreements, including their protocols and amendments;  
(b) on-going negotiations of new multilateral environmental agreements; and  
(c) each Party's respective views on becoming a party to additional multilateral environmental 
agreements.  
4. The Parties reaffirm the right of each Party to adopt or maintain measures to further the 
objectives of multilateral environmental agreements to which it is a party. The Parties recall that 
measures adopted or enforced to implement such multilateral environmental agreements may be 
justified under Article EXC.1 [General exceptions] of Title XII [Exceptions].  
5. The Parties shall work together on trade -related aspects of e nvironmental policies and 
measures, including in multilateral fora, such as the UN High -level Political Forum for Sustainable 
Development, UN Environment, UNEA, multilateral environmental agreements, the International 
Civil Aviation Organization (ICAO) or the WTO as appropriate. Such cooperation may cover inter alia:  
(a) initiatives on sustainable production and consumption, including those aimed at promoting a 
circular economy and green growth and pollution abatement;  
(b) initiatives to promote environmental goo ds and services, including by addressing related tariff 
and non -tariff barriers;  
(c) the impact of environmental law and standards on trade and investment; or the impact of 
trade and investment law on the environment;  
(d) the implementation of Annex 16 to the Co nvention 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  
(e) other trade -related aspects of multilateral environmental agreements, including their 
protocols, amendments and implementation.  
 
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 6. Cooperation pursuant to paragraph 5 may include technical exchanges, exchanges of 
information and best practices, research projects, studies, reports, conferences and workshops.  
7. The Part ies will consider views or input from the public and interested stakeholders for the 
definition and implementation of their cooperation activities, and they may involve such 
stakeholders further in those activities, as appropriate.  
Article 8.5: Trade and climate change  
1. The Parties recognise the importance of taking urgent action to combat climate change and 
its impacts, and the role of trade and investment in pursuing that objective, in line with the UNFCCC, 
the purpose and goals of the Paris Agreement ado pted at Paris on 12 December 2015 by the 
Conference of the Parties to the United Nations Framework Convention on Climate Change at its 
21st session (the “Paris Agreement”), and with other multilateral environmental agreements and 
multilateral instruments i n the area of climate change.  
2. In light of paragraph 1, each Party:  
(a) commits to effectively implementing the UNFCCC, and the Paris Agreement adopted 
thereunder of which one principal aim is strengthening the global response to climate change 
and holding th e increase in global average temperature to well below 2ºC above pre -industrial 
levels and pursuing efforts to limit the temperature increase to 1.5ºC above pre -industrial 
levels;  
(b) shall promote the mutual supportiveness of trade and climate policies and me asures thereby 
contributing to the transition to a low greenhouse gas emission, resource -efficient economy 
and to climate -resilient development;  
(c) shall facilitate the removal of obstacles to trade and investment in goods and services of 
particular relevanc e 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.  
3. 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 International Civil Aviation organization (ICAO). Such cooperation may 
cover inter alia:  
(a) 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 clima te-resilient infrastructure 
development, emissions monitoring, international carbon markets;  
(b) 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;  
(c) supporting the development and adoption of ambitious and effective greenho use gas 
emissions reduction measures by the ICAO;  
 
224 
 (d) 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 int roduction of environmentally friendly alternatives 
to them; the updating of safety and other relevant standards as well as by combating the 
illegal trade of substances regulated by the Montreal Protocol.  
Article 8.6: Trade and biological diversity  
1. The Par ties recognise the importance of conserving and sustainably using biological diversity 
and the role of trade in pursuing these objectives, including by promoting sustainable trade or 
controlling or restricting trade in endangered species, in line with the relevant multilateral 
environmental agreements to which they are party, and the decisions adopted thereunder, notably 
the Convention on Biological Diversity and its protocols, and the Convention on International Trade 
in Endangered Species of Wild Fauna an d Flora, done at Washington D.C. on 3 March 1973 (“CITES”).  
2. In light of paragraph 1, each Party shall:  
(a) implement effective measures to combat illegal wildlife trade, including with respect to third 
countries, as appropriate;  
(b) 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 t rade;  
(c) encourage trade in products derived from a sustainable use of biological resources and 
contributing to the conservation of biodiversity;  
(d) continue to take measures to conserve biological diversity when it is subject to pressures 
linked to trade and in vestment, in particular through measures to prevent the spread of 
invasive alien species.  
3. The Parties shall work together on trade -related matters of relevance to this Article, 
including in multilateral fora, such as CITES and the Convention on Biological Diversity, as 
appropriate. Such cooperation may cover inter alia: trade in wildlife and natural resource -based 
products, the valuation and assessment of ecosystems and related services, and the access to 
genetic resources and the fair and equitable sharing  of benefits arising from their utilisation 
consistent with the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable 
Sharing of Benefits Arising from their Utilization to the Convention on Biological Diversity, adopted in 
Nagoya on 29 October 2010.  
Article 8.7: Trade and forests  
1. The Parties recognise the importance of conservation and sustainable forest management 
for providing environmental functions and economic and social opportunities for present and future 
generations, and the rol e of trade in pursuing that objective.  
2. In light of paragraph 1 and in a manner consistent with their international obligations, each 
Party shall:  
 
225 
 (a) 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;  
(b) 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 countr y of harvest 
and from sustainably managed forests; and  
(c) 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.  
3. The Parties shall work together to strengthen their cooperation on trade -related aspects of 
sustainable forest management, the conservation of forest cover and illegal logging, incl uding in 
multilateral fora, as appropriate.  
Article 8.8: Trade and sustainable management of marine biological resources and aquaculture  
1. The Parties recognise the importance of conserving and sustainably managing marine 
biological resources and ecosystems  as well as of promoting responsible and sustainable 
aquaculture, and the role of trade in pursuing those objectives.  
2. In light of paragraph 1, each Party:  
(a) 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 Sessi on of the FAO 
Conference, and to participating in FAO’s initiative on the Global Record of Fishing Vessels, 
Refrigerated Transport Vessels and Supply Vessels;  
(b) 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;  
(c) 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;  
(d) 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.  
 
226 
 3. The Parties shall work together on conservation and trade -related aspects of fishery and 
aquaculture policies and measures, including in the WTO, RFMOs and other multilateral f ora, as 
appropriate, with the aim of promoting sustainable fishing and aquaculture practices and trade in 
fish products from sustainably managed fisheries and aquaculture operations.  
4. This Article is without prejudice to the provisions of Heading V [Fisheri es] of Part Two.  
Article 8.9: Trade and investment favouring sustainable development  
1. The Parties confirm their commitment to enhance the contribution of trade and investment 
to the goal of sustainable development in its economic, social and environmental dimensions.  
2. Pursuant to paragraph 1, the Parties shall continue to promote:  
(a) 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 
Glob alization, including the minimum living wage, health and safety at work, and other 
aspects related to working conditions;  
(b) trade and investment in environmental goods and services, such as renewable energy and 
energy efficient products and services, includi ng through addressing related non -tariff barriers 
or through the adoption of policy frameworks conducive to the deployment of the best 
available solutions;  
(c) 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  
(d) cooperation in multilateral fora on issues referred to in this Article.  
3. The Parties recognise the importance of add ressing specific sustainable development issues 
by reviewing, monitoring and assessing the potential economic, social and environmental impacts of 
possible actions, taking account of the views of stakeholders.  
Article 8.10: Trade and responsible supply ch ain management  
1. The Parties recognise the importance of responsible management of supply chains through 
responsible business conduct and corporate social responsibility practices and the role of trade in 
pursuing this objective.  
2. In light of paragraph 1, ea ch Party shall:  
(a) encourage corporate social responsibility and responsible business conduct, including by 
providing supportive policy frameworks that encourage the uptake of relevant practices by 
businesses; and  
(b) support the adherence, implementation, follo w-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.  
 
227 
 3. The Parties recognise the utility of international sector -specific guidelines in the area of 
corporate social responsibility and responsible business conduct and shall encourage joint work in 
this regard. In respect of the OECD Due Diligence Guidance for r esponsible supply chains of minerals 
from conflict -affected and high -risk areas and its supplements, the Parties shall also implement 
measures to promote the uptake of that Guidance.  
4. The Parties shall work together to strengthen their cooperation on trade -related aspects of 
issues covered by this Article, including in multilateral fora, as appropriate, inter alia through the 
exchange of information, best practices and outreach initiatives.  
Article 8.11: Dispute settlement  
1. The Parties shall make all efforts  through dialogue, consultation, exchange of information 
and cooperation to address any disagreement on the application of this Chapter.  
2. By way of derogation from Title I [Dispute settlement] of Part Six [Dispute settlement and 
horizontal provisions], in t he event of a dispute between the Parties regarding the application of this 
Chapter, the Parties shall have recourse exclusively to the procedures established under Article 9.1 
[Consultations] and Article 9.2 [Panel of experts].  
Chapter nine: Horizontal a nd institutional provisions  
Article 9.1: Consultations  
1. A Party may request consultations with the other Party regarding any matter arising under 
Article 1.1(3) [Principles and objectives] of Chapter 1 [General provisions], and Chapters 6 [Labour 
and social  standards], 7 [Environment and climate], and 8 [Other instruments for trade and 
sustainable development] by delivering a written request  to the other Party. The complaining Party 
shall specify in its written request the reasons and basis for the request, including identification of 
the measures at issue, specifying the provisions it considers applicable. Consultations must 
commence promptly after a Party delivers a request for consultations and in any event not later than 
30 days after the date of delivery  of the  request, unless the Parties agree to a longer period.  
2. The Parties shall enter into consultations with the aim of reaching a mutually satisfactory 
resolution of the matter. During consultations, each Party shall provide the other Party with 
sufficie nt information in its possession to allow a full examination of the matters raised.  Each Party 
shall endeavour to ensure the participation of personnel of their competent authorities who have 
expertise in the matter subject to the consultations.  
3. In matters  relating to the multilateral agreements or instruments referred to in Article 1.1(3) 
[Principle and objectives], Chapters 6 [Labour and social standards], 7 [Environment and climate], 
and 8 [Other instruments for trade and sustainable development] the Par ties shall take into account 
available information from the ILO or relevant bodies or organisations established under multilateral 
environmental agreements. Where relevant,  the Parties shall jointly seek advice from such 
organisations or their bodies, or a ny other expert or body they deem appropriate.   
4. Each Party may seek, when appropriate, the views of the domestic advisory groups referred 
to in Article INST.7 [Domestic advisory groups] or other expert advice.  
5. Any resolution reached by the Parties shall b e made available to the public.   
 
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 Article 9.2: Panel of experts  
1. For any matter that is not satisfactorily addressed through consultations under 
Article  9.1 [Consultations], a Party may, after 90 days from the receipt of a request for consultations 
under that Article, request that a panel of experts be convened to exami ne that matter, by delivering 
a written request to  the other Party. The request shall  identify the measure at issue, specify and 
explain how that measure does not conform with the provisions of the relevant Chapter or Chapters 
in a manner sufficient to pre sent the complaint clearly.  
2. The panel of experts shall be composed of three panellists.  
3. The Trade Specialised Committee on the Level Playing Field for Open and Fair Competition 
and Sustainable Development shall, at its first meeting after the entry into f orce of this Agreement, 
establish a list of at least 15 individuals who are willing and able to serve as  panellists. Each Party 
shall name at least five individuals to the list to serve as  panellists. The Parties shall also name at 
least five individuals w ho are not nationals of either Party and who are willing and able to serve as 
chairperson of a panel of experts. The Trade Specialised Committee on the Level Playing Field for 
Open and Fair Competition and Sustainable Development shall ensure that the list  is kept up to date 
and that the number of experts is maintained at a minimum of 15 individuals.  
4. The experts proposed as panellists  must have specialised knowledge or expertise in labour 
or environmental law, other issues addressed in the relevant Chapter  or Chapters, or in the 
resolution of disputes arising under international agreements. They must serve in their individual 
capacities and not take instructions from any  organisation or government  with regard to matters 
related to the dispute. They must not  be affiliated with or take instructions from either Party.  They 
shall not be persons who are members, officials or other servants of the Union institutions, of the 
Government of a Member State, of the Government of the United Kingdom.  
5. Unless the Parties a gree 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 exper ts, and to deliver a report, in accordance with this Article that 
makes  findings on the conformity of the measure with the relevant provisions.”   
6. In respect of matters related to multilateral standards or agreements covered in this Title, 
the panel of expe rts should seek  information  from the ILO or relevant bodies established under 
those agreements, including any pertinent available interpretative guidance, findings or decisions 
adopted by the ILO and those bodies.  
7. The panel of experts may request and recei ve written submissions or any other information 
from persons with relevant information or specialised knowledge.   
8. The panel of experts shall make available such information  to each Party allowing them to 
submit their comments within 20 days of its receipt.   
9. The panel of experts shall issue to the Parties an interim report and a final report setting out 
the findings of fact, its determinations on the matter including as to whether the responding Party 
has conformed with its obligations under the relevant Chapt er or Chapters  and the rationale behind 
any findings and determinations that it makes. For greater certainty, the Parties share the 
understanding that if the Panel makes recommendations in its report, the responding Party does not 
need to follow these reco mmendations in ensuring conformity with the Agreement.  
 
229 
 10.  The panel of experts shall deliver to the Parties  the interim report within  100 days after the 
date of establishment of the panel of experts. When the panel of experts considers that this 
deadline ca nnot be met, the chairperson of the panel of experts shall notify the Parties in writing, 
stating the reasons for the delay and the date on which the panel of experts plans to deliver its 
interim report. The panel of experts shall, under no circumstances, deliver its interim report later 
than 125 days after the date of establishment of the panel of experts.   
11.  Each Party  may deliver to the  panel of experts a reasoned request to review particular 
aspects of  the interim report within 25  days of its delivery. A  Party may comment on the other's 
Party's request within 15 days of the delivery of the request.   
12.  After considering those comments, the panel of experts shall prepare the final report. If no 
request to review particular aspects of the interim report is de livered within the  time 
period  referred to in paragraph 11, the interim report shall become the final report of the panel of 
experts.   
13.  The panel of experts shall deliver its final report to the Parties within 175 days of the date of 
establishment of the p anel of experts. When the panel of experts considers that this time limit 
cannot be met, its chairperson shall notify the Parties in writing, stating the reasons for the delay 
and the date on which the panel of experts plans to deliver its final report. Th e panel of experts 
shall, under no circumstances, deliver its final report later than 195 days after the date of 
establishment of the panel of experts.   
14.  The final report shall include a discussion of any written request by the Parties on the 
interim repor t and clearly address the comments of the Parties.   
15.  The Parties shall make the final report  available  to the public  within 15  days of its  delivery 
by the panel of experts.   
16. If the final report of the panel of experts determines that a Party has not confor med with its 
obligations under the relevant Chapter or Chapters, the Parties shall, within 90 days of the delivery 
of the final report, discuss appropriate measures to be implemented taking into account the report 
of the panel of experts. No later than 105  days after the report has been delivered to the Parties, the 
respondent Party shall inform  its domestic advisory groups established under Article INST.7 
[Domestic advisory groups] and the complaining Party of its decision  on any measures to be 
implemented .  
17.  The Trade Specialised Committee on Level Playing Field for Open and Fair Competition and 
Sustainable Development shall monitor the follow -up to the report of the panel of experts. The 
domestic advisory groups of the Parties established under Article IN ST.7 [Domestic advisory groups] 
may submit observations to the  Trade Specialised Committee on Level Playing Field for Open and 
Fair Competition and Sustainable Development  in that regard.  
18. When the Parties disagree on the existence of, or the consistency w ith, the relevant 
provisions of any measure taken to address the non -conformity, the complaining Party may deliver a 
request, which shall be in writing, to the original panel of experts to decide on the matter. The 
request shall identify any measure at iss ue and explain how that measure is not in conformity with 
the relevant provisions in a manner sufficient to present the complaint clearly. The panel of experts 
shall deliver its findings to the Parties within 45 days of the date of the delivery of the requ est.  
19. Except as otherwise provided for in this Article, Article INST.14(1) [Arbitration procedure], 
Article INST.29 [Arbitration tribunal decisions and rulings],  Article INST.30 [Suspension and 
 
230 
 termination of the arbitration proceedings], Article INST.31 [ Mutually agreed solution], Article 
INST.32 [Time periods], Article INST.34 [Costs], Article INST.15 [Establishment of an arbitration 
tribunal], or Article INST.28 [Replacement of arbitrators]  as well as  ANNEX INST [Rules of Procedure 
for Dispute Settlement ] and ANNEX INST -X [Code of Conduct for Arbitrators], shall apply  mutatis 
mutandis .  
Article 9.3: Panel of experts for non -regression areas  
1. Article 9.2 [Panel of experts] shall apply to disputes between the Parties concerning the 
interpretation and applica tion of Chapter 6 [Labour and Social Standards] and Chapter 7 
[Environment and Climate].  
2. For the purposes of such disputes, in addition to the Articles listed in Article 9.2(19) [Panel of 
experts], Article INST.24 [Temporary remedies] and Article  INST.25 [ Review of any measure taken to 
comply after the adoption of temporary remedies] shall apply  mutatis mutandis.  
3. The Parties recognise that, where the responding Party  chooses not to take any action to 
conform with the report of the panel of experts report an d with this Agreement, any remedies 
authorised under Article INST.24 [Temporary remedies] continue to be available to the complaining 
Party.  
Article 9.4: Rebalancing  
1. The Parties recognise the right of each Party to determine its future policies and priorit ies 
with respect to labour and social, environmental or climate protection, or with respect to subsidy 
control, in a manner consistent with each Party’s international commitments, including those under 
this Agreement. At the same time, the Parties acknowle dge that significant divergences in these 
areas can be capable of impacting trade or investment between the Parties in a manner that 
changes the circumstances that have formed the basis for the conclusion of this Agreement.  
2. If material impacts on trade or investment between the Parties are arising as a result of 
significant divergences between the Parties in the areas referred to in paragraph 1, either Party may 
take appropriate rebalancing measures to address the situation. Such measures shall be restricte d 
with respect to their scope and duration to what is strictly necessary and proportionate in order to 
remedy the situation. Priority shall be given to such measures as will least disturb the functioning of 
this Agreement. A Party’s assessment of these imp acts shall be based on reliable evidence and not 
merely on conjecture or remote possibility.  
3. The following procedures shall apply to rebalancing measures taken under paragraph 2:  
(a) 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 notifi cation, unless they are jointly concluded 
before that time limit.  
(b) 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 r equests within the same five day period, in accordance with Article INST.14(2) 
 
231 
 [Arbitration procedure]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.  
(c) The arbitr ation tribunal shall 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 aft er 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 l east 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.  
(d) If the arbitration tribunal has found the rebalancing meas ures to be consistent with 
paragraph  2, the concerned Party may adopt the rebalancing measures as notified to the 
other Party.  
(e) If the arbitration tribunal has found the rebalancing measures to be inconsistent with 
paragraph 2, the concerned Party shall, within three days from the delivery of the ruling, 
notify the complaining Party of the measures65 it intends to adopt to comply with the ruling of 
the arbitration tribunal. Articles INST.23(2) [Compliance review], INST.24 [Temporary 
remedies]66 and INST.25 [ Review of any measure taken to comply after the adoption of 
temporary remedies] 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 un der Articles INST.23(2) [Compliance review], INST.24 [Temporary measures] and 
INST.25 [Review of any measure taken to comply after the adoption of temporary remedies] 
shall have no suspensive effect on the application of the notified measures pursuant to t his 
paragraph.  
(f) 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.  
(g) 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 obl igations under this Agreement.  
(h) If the notified Party does not submit a request pursuant to point (b) within the time period 
laid down therein, that Party may without having prior recourse to consultations in 
accordance with Article INST.13 [Consultations] initiate the arbitration procedure referred to 
in Article INST.14 [Arbitration procedure]. An arbitration tribunal shall treat the issue as a case 
of urgency for the purpose of Article INST.19 [Urgent proceedings].  
4. In order to ensure an appropriate balance  between the commitments made by the Parties in 
this Agreement on a more durable basis, either Party may request, no sooner than four years after 
                                                            
64 For greater certainty, in this case the Party shall not have prior recourse to consultations in accordance with 
Article INST.13 [Consultations].  
65 Such measures may include withdrawal or adju stment of the rebalancing measures, as appropriate  
66 Suspension of obligations under Article INST.24 [Temporary remedies] shall be available only if rebalancing 
measures have in fact been applied.  
 
232 
 the entry into force of this Agreement, a review of the operation of Heading One [Trade] of this 
Agreement. Th e Parties may agree that other Headings of this Agreement may be added to the 
review.  
5. Such a review shall commence at a Party’s request, if that Party considers that measures 
under paragraphs 2 or 3 have been taken frequently by either or both Parties, or  if a measure that 
has a material impact on the trade or investment between the Parties has been applied for a period 
of 12 months. For the purposes of this paragraph, the measures in question are those which were 
not challenged or not found by an arbitrat ion tribunal to be strictly unnecessary pursuant to point 
(d) or (h) of paragraph  3. This review may commence earlier than four years after the entry into 
force of this Agreement.  
6. The review requested pursuant to paragraph 4 or 5 shall begin within three m onths of the 
request and be completed within six months.  
7. A review on the basis of paragraphs 4 or 5 may be repeated at subsequent intervals of no 
less than four years after the conclusion of the previous review. If a Party has requested a review 
under para graphs 4 or 5, it may not request a further review under either paragraph 4 or 5 for at 
least four years from the conclusion of the previous review or, if applicable, from the entry into force 
of any amending agreement.  
8. The review shall address whether the  Agreement delivers an appropriate balance of rights 
and obligations between the Parties, in particular with regard to the operation of Heading One 
[Trade], and whether, as a result, there is a need for any modification of the terms of this 
Agreement.  
9. The Partnership Council may decide that no action is required as a result of the review. If a 
Party considers that following the review there is a need for an amendment of this Agreement, the 
Parties shall use their best endeavours to negotiate and conclude a n agreement making the 
necessary amendments. Such negotiations shall be limited to matters identified in the review.  
10. If an amending agreement referred to in paragraph 9 is not concluded within one year from 
the date the Parties started negotiations, eithe r Party may give notice to terminate Heading One 
[Trade] or any other Heading of the Agreement that was added to the review, or the Parties may 
decide to continue negotiations. If a Party terminates Heading One [Trade], Heading Three [Road 
transport] shall  be terminated on the same date. The termination shall take effect three months 
after the date of such notice.  
11. If Heading One [Trade] is terminated pursuant to paragraph 10, Heading Two [Aviation] shall 
be terminated at the same date, unless the Parties a gree to integrate the relevant parts of Title XI 
[Level playing field for open and fair competition and sustainable development] in Heading Two 
[Aviation].  
12. Title I [Dispute settlement] of Heading Six [Dispute settlement and horizontal arrangements] 
does n ot apply to paragraphs 4 to 9.  
TITLE XII: EXCEPTION S 
Article EXC.1: General exceptions  
1. Nothing in Chapter one [National Treatment and market access for goods] and Chapter five of 
Title I of Heading One of Part two [Customs and trade facilitation], Title VI II of Heading One of Part 
 
233 
 two [Energy and raw materials], Chapter four of Title XI of Heading One of Part two [State -owned 
enterprises], Title III of Heading One of Part two [Digital trade] and Chapter two of Title II of Heading 
One of Part two [Investment  liberalisation] shall be construed as preventing a Party from adopting or 
maintaining measures compatible with Article XX of GATT 1994. To that end, Article XX of GATT 
1994, including its Notes and Supplementary Provisions, is incorporated into and made p art of this 
Agreement, mutatis mutandis . 
 
2. 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 liberalization o r trade in services, nothing 
in Title VIII of Heading One of Part two [Energy and raw materials], Chapter four of Title XI of 
Heading One of Part two [State -owned enterprises], Title III of Heading One of Part two [Digital 
trade], Title II of Heading One o f Part two [Services and Investment] and Title IV of Heading One of 
Part two [Capital movements, payments, transfers and temporary safeguard measures]  shall be 
construed to prevent the adoption or enforcement by either Party of measures:  
 
(a) necessary to prot ect public security or public morals or to maintain public order67; 
(b) necessary to protect human, animal or plant life or health;  
(c) necessary to secure compliance with laws or regulations which are not inconsistent with the 
provisions of this Agreement, including those relating to:  
(i) the prevention of deceptive and fraudulent practices or to deal with the effects of a 
default on contracts;  
(ii) 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  
(iii) safety.  
3. For greater certainty, the Parties understand that, to the extent that such measures are 
otherwise inconsistent with the provisions of the aforementioned Chapters, Sections or Ti tles:  
 
(a) 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;  
(b) point (g) of Article XX of GATT  1994 applies to measures relating to the conservation of living 
and non -living exhaustible natural resources; and  
(c) 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.   
 
                                                            
67 The public security and public order exceptions may be in voked only where a genuine and sufficiently 
serious threat is posed to one of the fundamental interests of society.  
 
234 
 4. Before a Party takes any measures provided for in points (i) and (j) of Article XX of GATT 1994, 
that Party shall provide the other Party with all relevant information, with a view to seeking a 
solution acceptable to the Parties. If no agreement is reached within 30 days of providing the 
information, the Party may apply the relevant measures. Where exceptional and critical 
circumstances requiring immediate action make prior information or examination impossible, the 
Party intending to take the measures may apply forthwith precautionary measures necessary to deal 
with the situation. That Party shall inform the other Party immediately thereof.  
Article EXC.2: Taxation  
1. Nothing  in Titles I to VII, Chapter four [Energy and  raw materials] of Title VIII, Titles IX to XII of 
Heading One of Part Two or Heading Six [Other provisions] of Part Two  shall  affect  the rights  and 
obligations  of either  the Union  or its Member  States  and the United  Kingdom,  under  any tax 
convention.  In the event  of any inconsistency  between  this Agreement  and any such  tax convention,  
the tax convention  shall  prevail  to the extent  of the inconsistency.  With  regard  to a tax convention  
between  the Union  or its Member  States  and the United  Kingdom,  the relev ant competent  
authorities  under  this Agreement  and that tax convention  shall  jointly  determine  whether  an 
inconsistency  exists  between  this Agreement  and the tax convention68.  
 
2. Article  SERVIN.2.4  of Chapter  two of Title  II of Heading  One of Part two [Investment  
Liberalisation]  and Article  SERVIN.3.4  of Chapter  three  of Title  II of Heading  One of Part two [Cross -
border  trade  in services]  shall  not apply  to an advantage  accorded  pursuant  to a tax convention.  
 
3. 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 four [Energy a nd raw materials] of Title VIII, Titles IX to XII of Heading One of Part Two or 
Heading Six [Other provisions] of Part Two  shall  be construed  to prevent  the adoption,  maintenance  
or enforcement  by a Party  of any measure  that:   
 
(a) aims  at ensuring  the equitable  or effective69 imposition  or collection  of direct  taxes;  or 
                                                            
68  For greater certainty, such determination shall be without prejudice to Title I of Part Six [Dispute 
Settlement].  
69  Measures that are ai med at ensuring the equitable or effective imposition or collection of direct taxes 
include measures taken by a Party under its taxation system which:  
(i) 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  
(ii) apply to non -residents in order to ensure the imposition or collection of taxes in the Party’s 
territory;  or  
(iii) apply to non -residents or residents in order to prevent the avoidance or evasion of taxes, 
including compliance measures;  or  
(iv) 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  
 
235 
 (b) 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.  
 
4. For the purposes  of this Article:  
 
(a) "residence" means residence for tax purposes;  
(b) "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 
(c) "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 EXC.3: WTO Waivers  
If an obligation  in Titles  I to XII of Heading  One of Part Two  or Heading  Six [Other  provisions]  of Part 
Two  of this Agreement  is substantially  equivalent  to an obligation  contained  in the WTO  Agreement,  
any measure  taken  in conformity  with  a waive r adopted  pursuant  to Article  IX of the WTO  
Agreement  is deemed  to be in conformity  with  the substantially  equivalent  provision  in this 
Agreement.  
Article EXC.4: Security exceptions  
Nothing in Titles I to XII of Heading One of Part Two  or Heading Six [Oth er provisions] of Part Two  of 
this Agreement shall be construed:  
(a) 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  
(b) to prevent  a Party from taking an action which it considers necessary for the protection of its 
essential security interests:  
(i) connected to the production of or traffic in arms, ammunition and implements of war 
and to such production, traffic and transactions in othe r goods and materials, services 
and technology, and to economic activities, carried out directly or indirectly for the 
purpose of supplying a military establishment;  
(ii) relating to fissionable and fusionable materials or the materials from which they are 
derived; or  
(iii) in time of war or other emergency in international relations; or  
                                                                                                                                                                                         
(v) 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  
(vi) 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.  
 
236 
 (c) 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 EXC.5: Con fidential information   
1. Nothing in Titles I to X, Title XI, with the exception of Article LPFS.2.26 [Taxation standards] 
of Title XI and Title XII of Heading One of Part Two or Heading Six [Other provisions] of Part Two  of 
this Agreement shall be constru ed as requiring a Party to make available confidential information, 
the disclosure of which would impede law enforcement, or otherwise be contrary to the public 
interest, or which would prejudice the legitimate commercial interests of particular enterprise s, 
public or private, except where an arbitration tribunal requires such confidential information in 
dispute settlement proceedings under Title I [Dispute settlement] of Part Six, or where a panel of 
experts requires such confidential information in procee dings under Article LPFS.9.2¨[Panel of 
experts] or  Article LPFS.9.3¨[Panel of experts for non -regression areas].  In such cases, the 
arbitration tribunal, or, as the case may be, the panel of experts shall ensure that confidentiality is 
fully protected in  accordance with ANNEX INST -X [Rules of Procedure].  
2. When a Party submits information to the Partnership Council or to Committees that is 
considered as confidential under its laws and regulations, the other Party shall treat that information 
as confiden tial, unless the submitting Party agrees otherwise.  
  
 
237 
 HEADING TWO: AVIATION  
TITLE I: AIR TRANSPO RT 
Article AIRTRN.1: Definitions  
For the purposes of this Title, the following definitions apply:  
  
(a) “air carrier” means an air transport undertaking holding  a valid operating licence or 
equivalent;  
(b)  “air carrier of the Union” means an air carrier that fulfils the conditions laid down in point (b) 
of Article AIRTRN.6(1) [ Operating authorisations and technical permissions ]; 
(c)  “air carrier of the United K ingdom” means an air carrier that fulfils the conditions laid down in 
point (a) of Article AIRTRN.6(1) or 6(2) [ Operating authorisations and technical permissions ];  
(d) “air navigation services” means air traffic services, communication, navigation and 
surveillance services, meteorological services for air navigation, and aeronautical information 
services;  
(e) “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;  
(f) “air traffic management” means the aggregation of the airborne and ground -based functions 
(air traffic services, airspace management and ai r traffic flow management) required to ensure 
the safe and efficient movement of aircraft during all phases of operations;  
(g) "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;  
(h) "citizenship determination" means a finding that an air carrier proposing to operate air 
services under this Title satisfies the requirements of Article AIRTRN.6 [Operating 
authorisations and technical permissions ] regarding its ownership, effective control and 
principal place of business;  
(i) “competent authorities” means, for the United Kingdom, the authorities of the United 
Kingdom responsible for the regulatory and administrative functions incumbent on the Uni ted 
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;  
(j) “the Convention” means the Convention on Interna tional Civil Aviation, signed in Chicago on 7 
December 1944, and includes:  
(i) 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  
(ii) 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 
 
238 
 Kingdom and the Member State or Member States co ncerned, as is relevant to the 
issue in question;  
(k) “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;  
(l) “effective control” means a relationship constituted by rights, contracts or any other means 
which, either separately or jointly, and having regard to the cons iderations of fact or law 
involved, confer the possibility of directly or indirectly exercising a decisive influence on an 
undertaking, in particular by:  
(i) the right to use all or part of the assets of an undertaking;  
(ii) rights or contracts which conf er 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;  
(m) "fitness determination" means a finding that an air carrier prop osing 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 ;  
(n) “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;  
(o)  “ICAO” means the United Nat ions International Civil Aviation Organization;  
(p) “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 manage ment, of that air carrier are exercised;  
(q) “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 air craft documents and those of its crew members and the 
apparent condition of the aircraft and its equipment;  
(r) “self -handling” means the performance of ground handling operations by an air carrier 
directly for itself or for another air carrier where:  
 (i) one holds the majority in the other; or  
 (ii) a single body has a majority holding in each;  
(s)  “scheduled air 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;  
(t) “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;  
 
239 
 (u) “tariff” means  any fare, rate or charge for the carriage of passengers, baggage or cargo 
(excluding mail) in air transport (including an y 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;  
 (v) “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 AIRTRN.2: Route schedule  
1. Subject to Article AIRTRN.3 [Traffic rights], the Union shall grant the United Kingdom the 
right for the air carriers of the United  Kingdom to operate, while carrying out air transport, on the 
following routes:  
Points in the territory of the United Kingdom – Intermediate Points – Points in the territory of the 
Union – Points Beyond.  
2. Subject to Article AIRTRN.3 [Traffic rights], the  United Kingdom shall grant the Union the 
right for the air carriers of the Union to operate, while carrying out air transport, on the following 
routes:  
Points in the territory of the Union – Intermediate Points – Points in the territory of the United 
King dom – Points Beyond.  
Article AIRTRN.3: Traffic rights  
1. 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 AIRTRN.2 [Route schedule], 
to: 
(a) fly across its territory without landing;  
(b) make stops in its territory for non -traffic purposes.  
2. The United Kingdom shall enjoy the right for its air carriers to make stops in the territory of 
the Union to provide scheduled and non -scheduled air transport services between any points 
situated in the territory of the United Kingdom and any points situated in the territory of the Union 
(third and fourth freedom traffic rights).  
3. The Union shall enjoy the right for its air carriers to make stops in the territory of the United 
Kingdom to provide scheduled and non -scheduled air transport services between any points situated 
in the territory of the Union and any points situated in the territory of the United Kingdom (third and 
fourth freedom traffic rig hts).  
4.  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 mat ter of this Agreement, they grant each 
other the following rights:  
 
240 
 (a) 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 
servic es, 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);  
(b) for the Member State concern ed, 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).   
5.  The rights mutually granted in accordance with paragraph 4 shall be governed by the 
provisions of this Title.  
6. Neither Pa rty shall unilaterally limit the volume of traffic, capacity, frequency, regularity, 
routing, origin or destination of the air transport services operated in accordance with paragraphs 2, 
3 and 4, or the aircraft type or types operated for that purpose by the air carriers of the other Party, 
except as may be required for customs, technical, operational, air traffic management, safety, 
environmental or health protection reasons, in a non -discriminatory manner, or unless otherwise 
provided for in this Title.  
7. Nothing in this Title shall be deemed to confer on the United Kingdom the right for its air 
carriers to take on board in the territory of a Member State passengers, baggage, cargo or mail 
carried for compensation and destined for another point in the te rritory of that Member State or 
any other Member State.  
8. Nothing in this Title shall be deemed to confer on the Union the right for its air carriers to 
take on board in the territory of the United Kingdom passengers, baggage, cargo or mail carried for 
compensation and destined for another point in the territory of the United Kingdom.  
9. Subject to the internal rules and procedures of the Parties, the competent authorities of the 
United Kingdom and of the Member States may authorise non -scheduled air trans port services 
beyond the rights provided for in this Article provided that they do not constitute a disguised form of 
scheduled services, and may establish bilateral arrangements regarding the procedures to be 
followed for the handling of, and decisions on , air carriers’ applications.  
Article AIRTRN.4: Code -share and blocked space arrangements  
1. Air transport services in accordance with Article AIRTRN.3 [Traffic rights] may be provided by 
means of blocked -space or code -share arrangements, as follows:  
(a) 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 app licable, 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;  
(b) an air carrier of the Union may act a s 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 
 
241 
 as well as the right for its air carriers to exercise those rights by means of the arrangement in 
question;  
(c) 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 t he 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;  
(d) an air ca rrier 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 necessa ry rights to 
enter into the arrangement in question;  
(e) 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:  
(i) the conditions laid down in point (a) or (b), as the case may be, as regards the 
operating carrier; and  
(ii) 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.  
2. An air carrier of one Party may act as th e 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:  
(a) the conditions laid down in point (a) or (b) of paragraph 1, as the case may be, as regards the 
operating carrier; and  
(b)  the transport service in question forms part of a carriage by the marketing carrier between a 
point in the territory o f its Party and that point in a third country.  
3. In respect of each ticket sold involving the arrangements referred to in this Article, the 
purchaser shall be informed upon reservation of which air carrier will operate each sector of the 
service. Where th at is not possible, or in case of change after reservation, the identity of the 
operating carrier shall be communicated to the passenger as soon as it is established. In all cases, 
the identity of the operating carrier or carriers shall be communicated to the passenger at check -in, 
or before boarding where no check -in is required for a connecting flight.  
4. The Parties may require the arrangements referred to in this Article to be approved by their 
competent authorities for the purpose of verifying complian ce with the conditions set out therein 
and with other requirements provided for in this Agreement, in particular as regards competition, 
safety and security.  
5. In no case shall recourse to code -share or blocked -space arrangements result in the air 
carrier s of the Parties exercising traffic rights on the basis of this Agreement other than those 
provided for in Article AIRTRN.3 [Traffic rights].  
 
242 
 Article AIRTRN.5: Operational flexibility  
The rights mutually granted by the Parties in accordance with Article AI RTRN.3 (2), (3) and (4) [Traffic 
rights] shall include, within the limits laid down therein, all of the following prerogatives:  
(a) to operate flights in either or both directions;  
(b) to combine different flight numbers within one aircraft operation;  
(c) to serve points in the route schedule in any combination and in any order;  
(d) to transfer traffic between aircraft of the same air carrier at any point (change of gauge);  
(e) to carry stopover traffic through any points whether within or outside the terri tory of either 
Party;  
(f) to carry transit traffic through the territory of the other Party;  
(g) to combine traffic on the same aircraft regardless of where such traffic originates;  
(h) to serve more than one point on the same service (co -terminalisation).  
Article AIRTRN.6: Operating authorisations and technical permissions  
1. 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:  
(a) in the case of an air carrier of the United Kingdom:  
(i) the air carrier is owned, direc tly or through majority ownership, and is effectively 
controlled by the United Kingdom, its nationals, or both;  
(ii) 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 t he United Kingdom; and  
(iii) 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 ca rrier;  
(b) in the case of an air carrier of the Union:  
(i) 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, b y nationals of such states, or by a combination 
thereof;  
(ii) 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  
 
243 
 (iii) the air carrier holds an air operator certificate issued by the competent authority of 
the Union or a Member State, which shall be clearly identified, and that authority 
exercises and maintains effective regulatory control of the air carrier;  
(c) Articles AIRTRN.18 [Aviation safety] a nd AIRTRN.19 [Aviation security] are being complied 
with ; and  
(d) 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 ap plications.  
2.  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:  
(a) the conditions laid down in  points (a)(ii), (a)(iii), (c) and (d) of paragraph 1 are complied with;  
(b) 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;  
(c) on the day the transition period ended, the air carrier held a valid operating licence in 
accordance with Union Law.  
3. For the purposes of paragraphs 1 and 2, evidence of effective regulatory control includes but 
is not limited to:  
(a) 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  
(b) that Party having and maintaining safety and security oversight programmes for that air 
carrier in compliance with ICAO standards.  
4. When granting operating authorisations and technical permissions, each Party shall treat all 
air carriers of the other Party in a non -discriminatory manner.  
5. On receipt of an application for an operating authorisation from an air carrier of  a Party, the 
other Party shall recognise any fitness determination or citizenship determination or both made by 
the first Party with respect to that air carrier as if such determination had been made by its own 
competent authorities, and shall not enquire  further into such matters, except as provided for in 
Article AIRTRN.8(3) [Refusal, revocation, suspension or limitation of operating authorisation].  
Article AIRTRN.7: 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 
procedur es that is borne by air transport intermediaries and the air carriers of the other Party.  
 
244 
 Article AIRTRN.8: Refusal, revocation, suspension or limitation of operating authorisation  
1. 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:  
(a) in the case of authorisations and permissions granted in accordance with point (a) of Article 
AIRTRN. 6(1) [Operating authorisations and technical permissions], any of the conditions laid 
down therein is not met;  
(b) in the case of authorisations and permissions granted in accordance with Article AIRTRN. 
6(2)[Operating authorisations and technical permissions], any of the conditions laid down 
therein is not met;  
(c) the air carrier  has failed to comply with the laws and regulations referred to in Article 
AIRTRN.10 [Compliance with laws and regulations]; or  
(d) such action is necessary in order to prevent, protect against or control the spread of disease, 
or otherwis e protect public health.  
2. 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:  
(a) any of the conditions laid down in point (b) of Article AIRTRN.6( 1) [Operating authorisations 
and technical permissions] is not met;  
(b) the air carrier has failed to comply with the laws and regulations referred to in Article 
AIRTRN.10 [Compliance with laws and regulations] of this Title; or  
(c) such action is necessar y in order to prevent, protect against or control the spread of disease, 
or otherwise protect public health.  
3. Where a Party has reasonable grounds to believe that an air carrier of the other Party is in 
any of the situations referred to in paragraph 1 or  2, as the case may be , and that action must be 
taken in that respect, that Party shall notify the other Party in writing as soon as possible of the 
reasons for the intended refusal, suspension or limitation of the operating authorisation or technical 
perm ission and request consultations.  
4. Such consultations shall start as soon as possible and not later than 30 days from receipt of 
the request for consultations. Failure to reach a satisfactory agreement within 30 days or an agreed 
time period from the sta rting date of such consultations, or failure to take the agreed corrective 
action, shall constitute grounds for the Party that requested the consultations to take action to 
refuse, revoke, suspend, impose conditions on or limit the operating authorisation or technical 
permissions of the air carrier or air carriers concerned to ensure compliance with Articles AIRTRN.6 
[Operating authorisations and technical permissions] and AIRTRN.10 [Compliance with laws and 
regulations] . Where measures have been taken to r efuse, revoke, suspend or limit the operating 
authorisation or technical permission of an air carrier, a Party may have recourse to arbitration in 
accordance with Article INST.14 [Arbitration procedure], without having prior recourse to 
consultations in ac cordance with Article INST.13 [Consultations]. An arbitration tribunal shall treat 
the issue as a case of urgency for the purpose of Article INST.19 [Urgent Proceedings ]. At the request 
of a Party, the tribunal may, pending its final ruling, order the adop tion of interim relief measures, 
including the modification or suspension of measures taken by either Party under this Article.  
 
245 
 5. Notwithstanding paragraphs 3 and 4, in the cases referred to in points (c) and (d) of 
paragraph 1, and in points (b) and (c) of paragraph 2, a Party may take immediate or urgent action 
where required by an emergency or to prevent further non -compliance.  For the purposes of this 
paragraph, further non -compliance means that the question of non -compliance has already been 
raised b etween the competent authorities of the Parties.  
6. This Article is without prejudice to the provisions of Title XI [Level playing field for open and 
fair competition and sustainable development ] of Heading One, Article AIRTRN 11(4) [Non -
Discrimination], A rticle AIRTRN 18 (4), (6) and (8) [Aviation Safety] and Article AIRTRN 19(12) 
[Aviation Security] and to the dispute settlement procedure laid down in Title I [Dispute Settlement] 
of Part Six or to the measures resulting therefrom.  
Article AIRTRN.9: Owners hip 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 t he 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 exam ination, the Parties may 
decide to amend this Title.  
Article AIRTRN.10: Compliance with laws and regulations  
1. The laws and regulations of a Party relating to the admission to, operation within, and 
departure from its territory of aircraft engaged in inte rnational air transport shall be complied with 
by the air carriers of the other Party while entering, operating within, or leaving the territory of that 
Party, respectively . 
 
2. The laws and regulations of a Party relating to the admission to, operation wi thin, or 
departure from its territory of passengers, crew, baggage, cargo, or mail on aircraft (including 
regulations relating to entry, clearance, immigration, passports, customs and quarantine, or in the 
case of mail, postal regulations) shall be complie d with by, or on behalf of, such passengers, crew, 
baggage, cargo, and mail carried by the air carriers of the other Party while entering, operating 
within, or leaving the territory of that Party, respectively.  
 
3. The Parties shall permit, in their respective territory, the air carriers of the other Party to 
take appropriate measures to ensure that only persons with the travel documents required for entry 
into, or transit through, the territory of the other Party are carried.  
AIRTRN.11: Non -Discrimin ation  
 
1. Without prejudice to Title XI [Level playing field for open and fair competition and 
sustainable development ] of Heading One , the Parties shall eliminate, within their respective 
jurisdictions, all forms of discrimination which would adversely af fect the fair and equal opportunity 
of the air carriers of the other Party to compete in the exercise of the rights provided for in this Title.  
 
2. A Party (the “initiating Party”) may proceed in accordance with paragraphs 3 to 6 where it 
considers that it s air carriers’ fair and equal opportunities to compete in the exercise of the rights 
provided for in this Title are adversely affected by discrimination prohibited by paragraph 1.  
 
 
246 
 3. The initiating Party shall submit a written request for consultations t o the other Party (the 
“responding Party”). Consultations shall start within a period of 30 days from the receipt of the 
request, unless otherwise agreed by the Parties.  
 
4. Where the initiating Party and the responding Party fail to reach agreement on the  matter 
within 60 days from the receipt of the request for consultations referred to in paragraph 3, the 
initiating Party may take measures against all or part of the air carriers which have benefitted from 
discrimination prohibited by paragraph 1, includi ng action to refuse, revoke, suspend, impose 
conditions on or limit the operating authorisations or technical permissions of the air carriers 
concerned.  
 
5. The measures taken pursuant to paragraph 4 shall be appropriate, proportionate and 
restricted in th eir scope and duration to what is strictly necessary to mitigate the injury to the air 
carriers of the initiating Party and remove the undue advantage gained by the air carriers against 
which they are directed.  
 
6. Where consultations have not resolved the  matter or where measures have been taken 
pursuant to paragraph 4, a Party may have recourse to arbitration in accordance with Article INST.14 
[Arbitration procedure], without having prior recourse to consultations in accordance with Article 
INST.13 [Consu ltations]. An arbitration tribunal shall treat the issue as a case of urgency for the 
purpose of Article INST.19 [Urgent Proceedings]. At the request of a Party, the tribunal may, pending 
its final ruling, order the adoption of interim relief measures, inc luding the modification or 
suspension of measures taken by either Party under this Article.  
7. Notwithstanding paragraph 2, the Parties shall not proceed under paragraphs 3 to 6 in relation to 
conduct falling under the scope of Title XI [Level playing fiel d for open and fair competition and 
sustainable development ] of Heading One . 
Article AIRTRN.12: Doing business  
1. The Parties agree that obstacles to doing business encountered by air carriers would hamper 
the benefits under this Title. The Parties agree t o cooperate in removing obstacles to doing business 
for air carriers of both Parties where such obstacles may hamper commercial operations, create 
distortions to competition or affect equal opportunities to compete.  
2. The Specialised Committee on Air Transport shall monitor progress in effectively addressing 
matters relating to obstacles to doing business for air carriers.  
Article AIRTRN.13: Commercial operations  
1. The Parties shall grant each other the rights laid down in paragraphs 2 to 7. For the p urposes 
of the exercise of those rights, the air carriers of each Party shall not be required to retain a local 
sponsor.  
2. As regards air carrier representatives:  
(a) the establishment of offices and facilities by the air carriers of one Party in the terr itory of the 
other Party as necessary to provide services under this Title shall be allowed without 
restriction or discrimination;  
(b) without prejudice to safety and security regulations, where such offices and facilities are 
located in an airport they ma y be subject to limitations on grounds of availability of space;  
 
247 
 (c) 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 aut horisations 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.  
3. As regards ground handling:  
(a) 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;  
(b) 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;  
(c) 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 gro und 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.  
4. As regards the allocation of slots at airports, each Party shall ensure that its regulations, 
guidelines and procedures for allocation of slots at the airports in its territory are applied in 
a transparent, effective, non -discriminatory and timely manner.  
5. As regards local expenses and transfer of funds an d earnings:  
(a) the provisions of Title IV [Capital movements, payments, transfers and temporary safeguard 
measures] of Heading One apply to the matters governed by this Title, without prejudice to 
Article AIRTRN.6 [Operating authorisations and technical p ermissions];  
(b) the Parties shall grant each other the benefits laid down in points (c) to (e);  
(c) 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;  
(d) the air carriers of each Party shall be permitted to pay for local expenses in local currency, at 
their discretion;  
(e) 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 ai r 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 taxati on 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 
 
248 
 remittance and shall not be subject to any charges except those normally made by banks for 
carrying out such conversion and remittance.  
 
6. As regards intermodal transport:  
(a) 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;  
(b) subject to any conditions and qualifications set out in Title II [SERVICES AND INVESTMENT] of 
Heading One and its Annexes and in Title I [Transport of Goods by Road] of Heading Th ree 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 carrier s 
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.  
7. As regards leasing:  
(a) the Parties shall grant each other the right for their air carriers to provide air transport 
services in accordance with Article AIRTRN.3 [Traffic rights] in all the following ways:  
(i) using aircraft leased without crew from any lessor;  
(ii) in the case of air carriers of the United Kingdom, using aircraft leased with crew from 
other air carriers of the Parties;  
(iii) in the case of air carriers of the Union, using aircraft leased with crew from other air 
carriers of  the Union;  
(iv) 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 difficu lties of the lessee, 
and the leasing does not exceed the duration which is strictly necessary to fulfil those 
needs or overcome those difficulties;  
(b) the Parties may require leasing arrangements to be approved by their competent authorities 
for the purpo se of verifying compliance with the conditions set out in this paragraph and with 
the applicable safety and security requirements;  
(c) however, where a Party requires such approval, it shall endeavour to expedite the approval 
procedures and minimise the ad ministrative burden on the air carriers concerned;  
(d) 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.  
 
249 
 Article AIRTRN.14: Fiscal provisions  
1. On arriving in the territory of one Party, aircraft operated in international air transport by 
the air carriers of the other Party, their regular equipment, fuel, lubricants, consumable technical 
supplies, ground equipment, spare parts (including engines),  aircraft stores (including but not limited 
to such items as food, beverages and liquor, tobacco and other products destined for sale to, or use 
by, passengers in limited quantities during flight) and other items intended for or used solely in 
connection w ith the operation or servicing of aircraft engaged in international air transport shall, on 
the basis of reciprocity, and provided that such equipment and supplies remain on board the 
aircraft, be exempt from all import restrictions, property taxes and cap ital levies, customs duties, 
excise taxes, inspection fees, value added tax or other similar indirect taxes, and similar fees and 
charges imposed by the national or local authorities or the Union.  
2. The following goods shall also be exempt, on the basis o f reciprocity, from the taxes, levies, 
duties, fees and charges referred to in paragraph 1:  
(a) 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 car rier 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;  
 
(b) ground equipment and spare parts (including engines) introduced into the territory of a Part y 
for the servicing, maintenance, or repair of aircraft of an air carrier of the other Party used in 
international air transport;  
 
(c) 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  
 
(d) printed matter, as provided for by the customs legisla tion 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 th e journey performed over the said territory.  
3. The regular airborne equipment, as well as the material, supplies and spare parts referred to 
in paragraph 1 normally retained on board aircraft operated by an air carrier of one Party may be 
unloaded in the  territory of the other Party only with the approval of the customs authorities of that 
Party and  may be required to be kept under the supervision or control of the said authorities up to 
such time as they are re -exported or otherwise disposed of in accord ance with applicable 
regulations.  
4. The relief from customs duties, national excise duties and similar national fees provided for 
in this Article shall also be available in situations where the air carrier or air carriers of one Party 
have entered into ar rangements with another air carrier or air carriers for the loan or transfer in the 
territory of the other Party of the items specified in paragraphs 1 and 2, provided that such other air 
carrier or air carriers similarly enjoy such relief from that other Party.  
5. Nothing in this Title shall prevent either Party from imposing taxes, levies, duties, fees or 
charges on goods sold other than for consumption on board to passengers during a sector of an air 
 
250 
 service between two points within its territory at wh ich embarkation or disembarkation is 
permitted.  
6. Baggage and cargo in direct transit across the territory of a Party shall be exempt from taxes, 
customs duties, fees and other similar charges.  
7. Equipment and supplies referred to in paragraph 2 may be r equired to be kept under the 
supervision or control of the competent authorities.  
8. The provisions of the respective conventions in force between the United Kingdom and 
Member States for the avoidance of double taxation on income and on capital remain una ffected by 
this Title.  
9. The relief from customs duties, national excise duties and similar national fees shall not 
extend to charges based on the cost of services provided to an air carrier of a Party in the territory of 
the other Party.  
Article AIRTRN.1 5: User charges  
1. User charges that may be imposed by one Party on the air carriers of the other Party for the 
use of air navigation and air traffic control shall be cost -related and non -discriminatory. In any event, 
any such user charges shall be assessed on the air carriers of the other Party on terms not less 
favourable than the most favourable terms available to any other air carrier in like circumstances at 
the time the charges are applied.  
2. Without prejudice to Article AIRTRN.13(5) [Commerci al Operations], each Party shall ensure 
that user charges other than those mentioned in paragraph 1 that may be imposed on the air 
carriers of the other Party  are just, reasonable, not unjustly discriminatory, and equitably 
apportioned among categories of users. User charges imposed on the air carriers of the other Party 
may reflect, but not exceed, the full cost of providing appropriate airport, airport environmental and 
aviation security facilities and services at the airport or within the airport system.  Such charges may 
include a reasonable return on assets after depreciation. Facilities and services for which user 
charges are imposed shall be provided on an efficient and economic basis. In any event, any such 
user charges shall be assessed on the air ca rrier of the other Party on terms no less favourable than 
the most favourable terms available to any other air carrier in like circumstances at the time the 
charges are applied.  
3. In order to ensure the correct application of the principles set out in par agraphs 1 and 2, 
each Party shall ensure that consultations take place between the competent charging authorities or 
bodies in its territory and the air carriers using the services and facilities concerned and that the 
competent charging authorities or bod ies and the air carriers exchange such information as may be 
necessary. Each Party shall ensure that the competent charging authorities provide users with 
reasonable notice of any proposal for changes in user charges to enable users to express their views 
before any changes are made.  
Article AIRTRN.16: Tariffs  
1. The Parties shall allow tariffs to be freely established by the air carriers of the Parties on the 
basis of fair competition in accordance with this Title.  
2. The Parties shall not subject the tariffs of each other’s air carriers to approval.  
 
251 
 Article AIRTRN.17: Statistics  
1. The Parties shall cooperate within the framework of the Specialised Committee on Air 
Transport to facilitate the exchange of statistical information related to air transport  under this Title.  
2. Upon request, each Party shall provide the other Party with non -confidential and non -
commercially sensitive available statistics related to air transport under this Title, as required by the 
respective laws and regulations of the Part ies, on a non -discriminatory basis, and as may reasonably 
be required.  
Article AIRTRN.18: Aviation safety  
1. The Parties reaffirm the importance of close cooperation in the field of aviation safety.  
2. Certificates of airworthiness, certificates of compet ency and licences issued or rendered 
valid by one Party and still in force shall be recognised as valid by the other Party and its competent 
authorities, for the purpose of operating air services under this Title, provided that such certificates 
or licence s were issued or rendered valid pursuant to, and in conformity with, as a minimum, the 
relevant international standards established under the Convention.  
3. Each Party may request consultations at any time concerning the safety standards 
maintained and adm inistered by the other Party in areas  relating to aeronautical facilities, flight 
crew, aircraft and the operation of aircraft. Such consultations shall take place within 30 days of the 
request.  
4. If, following such consultations, one Party finds that the  other Party does not effectively 
maintain and administer safety standards in the areas referred to in paragraph 2 that are at least 
equal to the minimum standards established at that time pursuant to the Convention, the first Party 
shall notify the other Party of those findings and the steps considered necessary to conform with 
those minimum standards, and the other Party shall take appropriate corrective action. Failure by 
the other Party to take appropriate action within 15 days or such other period as m ay be agreed 
shall be grounds for the requesting 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 carriers under the safety oversight of the 
other Party.  
5. Any aircraft operated by, or under a lease arrangement on behalf of, an air carrier or air 
carriers of one Party may, while within the territory of the other Party, be made the subject of a 
ramp inspection, provided that this does not lead to unreasonable delay in the operation of the 
aircraft.  
6. The ramp inspection or series of ramp inspections can give rise to:  
(a) serious concerns that an aircraft or the operation of an aircraft does no t comply with the 
minimum standards established at that time pursuant to the Convention; or  
(b) 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 ai r carrier operating the aircraft of such findings 
 
252 
 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.  
7. In the event that access for the purpose of undertaking a ramp inspection of an aircraft 
operated by the air carrier or air carriers of one Party in accordance with paragraph 5 is denied, the 
other Party shall be free to infer that serious  concerns as referred to in paragraph 6 arise and 
proceed in accordance with paragraph 6.  
8. Each Party reserves the right to immediately revoke, suspend or limit the operating 
authorisations or technical permissions or to otherwise suspend or limit the op erations of an air 
carrier or air carriers of the other Party, if the first Party concludes as a result of a ramp inspection, a 
series of ramp inspections, a denial of access for ramp inspection, consultation or otherwise, that 
immediate action is essentia l to the safety of an air carrier operation. The Party taking such 
measures shall promptly inform the other Party, providing reasons for its action.  
9.  Any action by one Party in accordance with paragraphs 4, 6 or 8 shall be discontinued once 
the basis fo r the taking of that action ceases to exist.  
10. Where measures have been taken by a Party pursuant to paragraphs 4, 6 or 8, in the event 
of a dispute a Party may have recourse to arbitration in accordance with Article INST.14 [Arbitration 
procedure], with out having prior recourse to consultations in accordance with Article INST.13 
[Consultations]. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of 
Article INST.19 [Urgent Proceedings ]. At the request of the complaining Par ty, the tribunal may, 
pending its final ruling, order the adoption of interim relief measures, including the modification or 
suspension of measures taken by either Party under this Article.  
Article AIRTRN.19: Aviation security  
1. The Parties shall provide upon request all necessary assistance to each other to address any 
threat to the security of civil aviation, including the prevention of acts of unlawful seizure of civil 
aircraft and other unlawful acts against the safety of such aircraft, of their passen gers and crew, 
airports and air navigation facilities, and any other threat to the security of civil aviation.  
2. The Parties shall, in their mutual relations, act in conformity with the aviation security 
standards established by ICAO. They shall require t hat operators of the aircraft in their registries  and 
the operators of airports in their territory, act, at least, in conformity with such aviation security 
standards. Each Party shall, on request, provide the other Party notification of any difference 
between its laws, regulations and practices and the aviation security standards referred to in this 
paragraph. Each Party may at any time request consultations, to be held without delay, with the 
other Party to discuss those differences.  
3. Each Party shall e nsure that effective measures are taken within its territory to protect civil 
aviation against acts of unlawful interference, including, but not limited to, screening of passengers 
and their cabin baggage, screening of hold baggage, screening and security controls for persons 
other than passengers, including crew, and their items carried, screening and security controls for 
cargo, mail, in -flight and airport supplies, and access control to airside and security restricted areas. 
Each Party agrees that the se curity provisions of the other Party relating to the admission to, 
operating within, or departure from its territory of aircraft shall be observed.  
 
253 
 4. The Parties shall endeavour to cooperate on aviation security matters to the highest extent, 
to exchange information on threat, vulnerability and risk, subject to the mutual agreement of 
appropriate arrangements for the secure transfer, use, storage and disposal of classified 
information, to discuss and share best practices, performance and detection standard s of security 
equipment, compliance monitoring best practices and results, and in any other area that the Parties 
may identify. In particular, the Parties shall endeavour to develop and maintain cooperation 
arrangements between technical experts on the dev elopment and recognition of aviation security 
standards with the aim of facilitating such cooperation, reducing administrative duplication and 
fostering early notice and prior discussion of new security initiatives and requirements.   
5. Each Party shall ma ke available to the other Party on request the results of audits carried out 
by ICAO and the corrective actions taken by the audited state, subject to the mutual agreement of 
appropriate arrangements for the secure transfer, use, storage and disposal of su ch information.  
6. The Parties agree to cooperate on security inspections undertaken by them in the territory 
of either Party through the establishment of mechanisms, including administrative arrangements, 
for the reciprocal exchange of information on results of such security inspections. The Parties agree 
to consider positively requests to participate, as observers, in security inspections undertaken by the 
other Party.  
7. Subject to paragraph 9, and with full regard and mutual respect for the other Pa rty’s 
sovereignty, a Party may adopt security measures for entry into its territory. Where possible, that 
Party shall take into account the security measures already applied by the other Party and any views 
that the other Party may offer. Each Party recogn ises that nothing in this Article limits the right of a 
Party to refuse entry into its territory of any flight or flights that it deems to present a threat to its 
security.  
8. A Party may take emergency measures to meet a specific security threat. Such mea sures 
shall be notified immediately to the other Party.  Without prejudice to the need to take immediate 
action in order to protect aviation security, when considering security measures, a Party shall 
evaluate possible adverse effects on international air transport and, unless constrained by law, shall 
take such effects into account when it determines what measures are necessary and appropriate to 
address the security concerns.  
9. With regard to air services bound for its territory, a Party may not require security measures 
to be implemented in the territory of the other Party. Where a Party considers that a specific threat 
urgently requires the implementation of temporary measures in addition to the measures already in 
place in the territory of the other Pa rty, it shall inform the other Party of the particulars of that 
threat to the extent consistent with the need to protect security information, and of the proposed 
measures. The other Party shall give positive consideration to such a proposal and may decide  to 
implement additional measures as it deems necessary.  Such measures shall be proportionate and 
limited in time.  
10. When an incident or threat of an incident of unlawful seizure of civil aircraft or other 
unlawful acts against the safety of aircraft, p assengers, crew, airports or air navigation facilities 
occurs, the Parties shall assist each other by facilitating communications and other appropriate 
measures intended to rapidly and safely terminate such incident or threat.  
11. Each Party shall take all  measures it finds practicable to ensure that an aircraft subjected to 
an act of unlawful seizure or other acts of unlawful interference which is on the ground in its 
territory is detained on the ground unless its departure is necessitated by the overridin g duty to 
 
254 
 protect human life. Where practicable, such measures shall be taken on the basis of consultations 
between the Parties.  
12. When a Party has reasonable grounds to believe that the other Party does not comply with 
this Article, that Party may requ est immediate consultations with the other Party. Such consultations 
shall start within 30 days of the receipt of such a request. Failure to reach a satisfactory agreement 
within 15 days or such other period as may be agreed from the date of such request s hall constitute 
grounds for the Party that requested the consultations to take action to refuse, revoke, suspend, 
impose conditions on or limit the operating authorisation and technical permissions of an air carrier 
or air carriers of the other Party to en sure compliance with this Article. When required by an 
emergency, or to prevent further non -compliance with this Article, a Party may take interim action 
prior to the expiry of the 15 day -period referred to in this paragraph.  
13. Any action taken in accord ance with paragraph 8 shall be discontinued when the Party in 
question considers that the action is no longer required or has been superseded by other measures 
to mitigate the threat.  Any action taken in accordance with paragraph 12 shall be discontinued upon 
compliance by the other Party with this Article.  In the case of action taken in accordance with 
paragraph 8 or 12, this may be discontinued as mutually agreed by the Parties.  
14. Where measures or actions have been taken in accordance with paragraphs  7, 8, 9 or 12, a 
Party may have recourse to the dispute settlement provisions of Title I [Dispute settlement] of Part 
Six. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 
INST.19 [Urgent Proceedings ]. 
Article AIRTRN.20: Air traffic management  
1. The Parties and their respective competent authorities and air navigation service providers 
shall cooperate with each other in such a way as to enhance the safe and efficient functioning of air 
traffic in the European r egion. The Parties shall seek interoperability between each other’s service 
providers.  
2. The Parties agree to cooperate on matters concerning the performance and charging of air 
navigation services and network functions, with a view to optimising overall flight efficiency, 
reducing costs, minimising environmental impact and enhancing the safety and capacity of air traffic 
flows between the existing air traffic management systems of the Parties.  
3. The Parties agree to promote cooperation between their air  navigation service providers in 
order to exchange flight data and coordinate traffic flows to optimise flight efficiency, with a view to 
achieving improved predictability, punctuality and service continuity for air traffic.  
4. The Parties agree to coopera te on their air traffic management modernisation programmes, 
including research, development and deployment activities, and to encourage cross -participation in 
validation and demonstration activities with the goal of ensuring global interoperability.  
Artic le AIRTRN.21: 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).  
 
255 
 Article AIRTRN.22: Consumer p rotection  
1. The Parties share the objective of achieving a high level of consumer protection and shall 
cooperate to that effect.  
2. The Parties shall ensure that effective and non -discriminatory measures are taken to protect 
the interests of consumers in air transport. Such measures shall include the appropriate access to 
information, assistance including for persons with disabilities and reduced mobility, reimbursement 
and, if applicable, compensation in case of denied boarding, cancellation or delays, an d efficient 
complaint handling procedures.  
3. The Parties shall consult each other on any matter related to consumer protection, including 
their planned measures in that regard.  
Article AIRTRN.23: Relationship to other agreements  
1. Earlier agreements and  arrangements relating to the subject matter of this Title between the 
United Kingdom and the Member States, to the extent that they may not have been superseded by 
the law of the Union, shall be superseded by this Agreement.  
2. The United Kingdom and a Me mber State may not grant each other any rights in connection 
with air transport to, from or within their respective territories other than those expressly laid down 
in this Title, save as provided for in Article AIRTRN.3 (4) and (9) [traffic rights].  
3. If the Parties become party to a multilateral agreement, or endorse a decision adopted by 
ICAO or another international organisation that addresses matters covered by this Title, they shall 
consult in the Specialised Committee on Air Transport to determine w hether this Title should be 
revised to take into account such developments.  
4. Nothing in this Title shall affect the validity and application of existing and future 
agreements between the Member States and the United Kingdom as regards territories under t heir 
respective sovereignty which are not covered by Article FINPROV.1 [Territorial scope ].  
5. Nothing in this Title shall affect any rights available to the United Kingdom and Member 
States under the Multilateral Agreement on Commercial Rights of Non -Scheduled Air Services in 
Europe, signed at Paris on 30 April 1956, to the extent that such rights go beyond those laid down in 
this Title.  
Article AIRTRN.24:   Suspension and Termination  
1. A suspension of this Title, in whole or in part, pursuant to Article INST.24 [Temporary 
remedies], may be implemented no earlier than the first day of the International Air Transport 
Association (IATA) traffic season following the season during which the suspension has been 
notified.  
2. Upon termination of this A greement pursuant to  Article FINPROV.8 [Termination]  or upon 
termination of this  Title  pursuant to  Article AIRTRN.25 [Termination of this Title]  or Article OTH.10 
[Termination of Part Two] or Article FISH.17 [Termination],  the provisions governing the matt ers 
falling within the scope of this  Title  shall continue to apply beyond the date of cessation referred to 
in Article FINPROV.8 [Termination]  or Article AIRTRN.25 [Termination of this Title]  or Article OTH.10 
[Termination of Part Two] or Article FISH.17 [ Termination], until the end of the IATA traffic season in 
progress on that date.  
 
256 
 3. The Party suspending this  Title, in whole or in part, or terminating this Agreement or 
this Title  shall inform ICAO thereof.  
Article AIRTRN.25: Termination of this Title  
Without prejudice to  Article FINPROV.8 [Termination], Article OTH.10 [Termination of Part Two], and 
Article FISH.17 [Termination] each Party may at any moment terminate  this Title, by written 
notification through diplomatic channels. In that event,  this Titl e shall cease to be in force on the 
first day of the ninth month following the date of notification.  
Article AIRTRN.26: Registration of the Agreement  
This Agreement and any amendments thereto shall, insofar as relevant, be registered with ICAO in 
accordanc e with Article 83 of the Convention.  
  
 
257 
 TITLE II: AVIATION S AFETY  
Article AVSAF.1: Objectives  
The objectives of this Title are to:  
(a) enable the reciprocal acceptance, as provided for in the Annexes to this Title, of findings of 
compliance made and certificate s issued by either Party’s competent authorities or approved 
organisations;  
(b) promote cooperation toward a high level of civil aviation safety and environmental 
compatibility;  
(c) facilitate the multinational dimension of the civil aviation industry;  
(d) facilitate and promote the free flow of civil aeronautical products and services.  
Article AVSAF.2: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “approved organisation” means any legal person certified by the competent authority of 
either Party to exercise privileges related to the scope of this Title;  
(b) “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;  
(c) “civil aeronautical product” means any civil aircraft, aircraft engine, or aircraft propeller, or 
subassembly, appliance, part or component, installed or to be installed th ereon;  
(d) “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:  
(i) 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;  
(ii) to conduct  monitoring  of their  continued  compliance  with  these  requirements;  and 
(iii) to take  enforcement  actions  to ensure  their  compliance  with  these  requirements;  
(e) “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;  
(f) “monitoring” means the regular surveillance by a competent authority of a Party to determine 
continuing compliance with the applicable requirements set out in laws an d regulations of 
that Party;  
 
258 
 (g) “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  
(h) “the Conventi on” means the Convention on International Civil Aviation, signed in Chicago on 7 
December 1944, and includes:  
(i) 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 
(ii) 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 AVSAF.3: Scope and implementation  
1. The Parties may cooperate in the following areas:  
(a) airworthiness certificates and monitoring of civil aeronautical products;  
(b) environmental  certificates and testing of civil aeronautical products;  
(c) design and  production certificates and monitoring of design and production organisations;  
(d) maintenance organisation certificates and monitoring of maintenance organisations;  
(e) personnel licensing and t raining;  
(f) flight simulator qualification evaluation;  
(g) operation of aircraft;  
(h) air traffic management and air navigation services; and  
(i) other  areas related to aviation safety subject to Annexes to the Convention.  
2. The scope of this Title shall  be established  by way of Annexes covering each area of 
cooperation set out in paragraph 1.  
3. The Specialised Committee on Aviation Safety may only adopt Annexes as referred to in 
paragraph 2 where each Party has established  that the civil aviation standards, rules, pr actices, 
procedures and systems of the other Party ensure a sufficiently equivalent level of safety to permit 
acceptance of findings of compliance made and certificates issued by its competent authorities or by 
organisations approved by that competent auth ority.  
4. Each Annex referred  to in paragraph 2 shall describe the terms, conditions and methods for 
the reciprocal acceptance of findings of compliance and certificates, and, if necessary, transitional 
arrangements.  
5. The technical agents may develop imp lementation procedures for each individual Annex. 
Technical differences between the Parties' civil aviation standards, rules, practices, procedures and 
 
259 
 systems shall be addressed in the Annexes referred to in paragraph 2 and implementation 
procedures.  
Article AVSAF.4: General obligations  
1. Each Party shall accept findings of compliance made and certificates issued by the other 
Party's competent authorities or approved organisations, in accordance with the terms and 
conditions set out in the Annexes referred to in Article AVSAF.3(2) [Scope and implementation].  
2. Nothing in this Title shall entail reciprocal acceptance of the standards or technical 
regulations of the Parties.  
3. Each Party shall ensure that its respective competent authorities remain capable and fulfil 
their responsibilities under this Title.  
Article AVSAF.5: 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 AVSAF.6: Safeguard measures  
1. Either Party may take all appropriate and immediate measures whenever it considers that 
there is a reasonable r isk that a civil aeronautical product, a service or any activity that falls within 
the scope of this Title may compromise safety or the environment, may not meet its applicable 
legislative, regulatory or administrative measures, or may otherwise fail to sa tisfy a requirement 
within the scope of the applicable Annex to this Title.  
2. Where either Party takes measures pursuant to paragraph 1, it shall inform the other Party 
in writing within 15 working days of taking such measures, providing reasons therefor.  
Article AVSAF.7: Communication  
1. The Parties shall designate and notify each other of a contact point for the communication 
related to the implementation of this Title. All such communications shall be in the English language.  
2. The Parties shall notify  to each other a list of the competent authorities, and thereafter an 
updated list each time that becomes necessary.  
Article AVSAF.8: Transparency, regulatory cooperation and mutual assistance  
1. Each Party shall ensure that the other Party is kept informe d of its laws and regulations 
related to this Title and any significant changes to such laws and regulations.  
2. The Parties shall to the extent possible inform each other of their proposed significant 
revisions of their relevant laws, regulations, standar ds, and requirements, and of their systems for 
issuing certificates insofar as these revisions may have an impact on this Title. To the extent possible, 
they shall offer each other an opportunity to comment on such revisions and give due consideration 
to such comments.  
 
260 
 3. For the purpose of investigating and resolving specific safety issues, each Party's competent 
authorities may allow the other Party’s competent authorities to participate as observers in each 
other’s oversight activities as specified in th e applicable Annex to this Title.  
4. For the purpose of monitoring and inspections, each Party's competent authorities shall 
assist, if necessary, the other Party's competent authorities with the objective of providing 
unimpeded access to regulated entitie s subject to its oversight.  
5. To ensure the continued confidence by each Party in the reliability of the other Party’s 
processes for findings of compliance, each technical agent may participate as an observer in the 
other's oversight activities, in accord ance with procedures set out in the Annexes to this Title. That 
participation shall not amount to a systematic participation in oversight activity of the other Party.  
Article AVSAF.9: Exchange of safety information  
The Parties shall, without prejudice to A rticle AVSAF.11 [Confidentiality and protection of data and 
information] and subject to their applicable legislation:  
(a) 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  
(b) exchange other safety information as the technical agents may agree . 
Article AVSAF.10: Cooperation in enforcement activiti es 
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.  
Articl e AVSAF.11: Confidentiality and protection of data and information  
1. Each Party shall, in accordance with its laws and regulations, maintain the confidentiality of 
data and information received from the other Party under this Title. Such data and informat ion may 
only be used by the Party receiving the data and information for the purposes of this Title.  
2. In particular, subject to their respective laws and regulations, the Parties shall neither 
disclose to a third party, including the public, nor permit t heir competent authorities to disclose to a 
third party, including the public, any data and information received from the other Party under this 
Title that constitutes trade secrets, intellectual property, confidential commercial or financial 
information, proprietary data, or information that relates to an ongoing investigation. To that end, 
such data and information shall be considered to be confidential.  
3. A Party or a competent authority of a Party may, upon providing data or information to the 
other Pa rty or a competent authority of the other Party, designate data or information that it 
considers to be confidential and not to be subject to disclosure. In that case, the Party or its 
competent authority shall clearly mark such data or information as confi dential.  
 
261 
 4. If a Party disagrees with the designation made by the other Party or a competent authority 
of that Party in accordance with paragraph 3, the former Party may request consultations with the 
other Party to address the issue.  
5. Each Party shall take all reasonable precautions necessary to protect data and information, 
received under this Title, from unauthorised disclosure.  
6. The Party receiving data and information from the other Party under this Title shall not 
acquire any proprietary rights o n such data and information by reason of its receipt from the other 
Party.  
Article AVSAF.12: Adoption and amendments of Annexes to this Title  
The Specialised Committee on Aviation Safety may amend ANNEX AVSAF -1 [Airworthiness and 
Environment Certification]  to this Title, adopt or amend Annexes as provided for in Article 
AVSAF.3(2) [Scope and implementation] and delete any Annex.  
Article AVSAF.13: 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 AVSAF.14: Other agreements and prior arrangements  
1. Upon entry into force of this Agreement, this Title shall supersede any bilateral aviation 
safety agreements or arrangements between the United Kingdom and the Member States with 
respect to any matter covered by this Title that has been implemented in accordanc e with Article 
AVSAF.3 [Scope and implementation].  
2. The technical agents shall take necessary measures to revise or terminate, as appropriate, 
prior arrangements between them.  
3. Subject to paragraphs 1 and 2, nothing in this Title shall affect the right s and obligations of 
the Parties under any other international agreements.  
Article AVSAF.15: Suspension of reciprocal acceptance obligations  
1. A Party shall have the right to suspend, in whole or in part, its acceptance obligations under 
paragraph 1 of Article AVSAF.4 [General obligations], when the other Party materially violates its 
obligations under this Title.  
2. Before exercising its right to suspend its acceptance obligations, a Party shall request 
consultations for the purpose of seeking correctiv e measures of the other Party. During the 
consultations, the Parties shall, where appropriate, consider the effects of the suspension.  
3. Rights under this Article shall be exercised only if the other Party fails to take corrective 
measures within an appro priate period of time following the consultations. If a Party exercises a 
right under this Article, it shall notify the other Party of its intention to suspend the acceptance 
obligations in writing and detail the reasons for suspension.  
 
262 
 4. Such suspension shall take effect 30 days after the date of the notification, unless, prior to 
the end of that period, the Party which initiated the suspension notifies the other Party in writing 
that it is withdrawing its notification.  
5. Such suspension shall not affect  the validity of findings of compliance made and certificates 
issued by the competent authorities or approved organisations of the other Party prior to the date 
the suspension took effect. Any such suspension that has become effective may be rescinded 
imme diately upon an exchange of diplomatic notes to that effect by the Parties.  
Article AVSAF.16: Termination of this Title  
Without prejudice to Article FINPROV.8 [Termination], Article OTH.10 [Termination of Part Two] and 
Article FISH.17 [Termination], 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.  
  
 
263 
 HEADING THREE: ROAD TRANSPORT  
TITLE I: TRANSPORT OF  GOODS BY ROAD   
Article ROAD.1: Objective  
1. The objective of this Title is to ensure, as regards the transport of goods by road, continued 
connectivity between, through and within the territories of the Parties and to lay down the rules 
which are applicable  to such transport.  
2. The Parties agree not to take discriminatory measures when applying this Title.  
3. Nothing in this Title shall affect the transport of goods by road within the territory of one of 
the Parties by  a road haulage operator established in that territory.  
Article ROAD.2: Scope  
1. This Title applies to the transport of goods by road with a commercial purpose between, 
through and within the territories of the Parties and is without prejudice to the application of the 
rules established by the European Conference of Ministers of Transp ort.   
2. Any transp ort of goods by road for which no direct or indirect remuneration is received and 
which does not directly or indirectly generate any income for the driver of the vehicle or for others, 
and which is not linked to professional activity shall  be considered as the transport of goods for a 
non-commercial purpose.  
Article ROAD.3: Definitions  
For the purposes of this Title and in addition to the definitions set out in Article [SERVIN 1.2] 
[Definitions] of Chapter one of Title II of Heading one o f Part Two [Services and Investment], the 
following definitions apply:  
(a) “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;    
(b) “road haulage operator” means any natural or legal person engaged in the transport of goods 
with a commercial purpose, by means of a vehicle;   
(c) “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;  
(d) “party of establishment” means the Party in which a road haulage operator is established;     
(e) “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;   
(f) “transit” means the movement of vehicles across the territory of a Party without loading or 
unloading of goods;  
(g)  “regulatory measure s” means:  
(i) for the Union:  
 
264 
 (A) regulations  and directives, as provided for in Article 288 of the Treaty on the 
Functioning of the European Union (TFEU); and  
(B) implementing  and delegated acts, as provided for in Article 290 and 291 
TFEU, respectively; and  
(ii) for the Unite d Kingdom:  
(A) primary legislation; and  
(B) second ary legislation.  
Article ROAD.4 Transport of goods between, through and within the territories of the Parties  
1. Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of a Party 
may undertake:  
(a) 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;  
(b) laden journeys with a vehicle from the territo ry of the Party of establishment to the territory 
of the same Party with transit through the territory of the other Party;  
(c) laden journeys with a vehicle to or from the territory of the Party of establishment with transit 
through the territory of the other Party;  
(d) unladen journeys  with a vehicle in conjunction with the journeys referred to in points (a) to 
(c). 
2. Road haulage  operators of a Party may only undertake a journey referred to in paragraph 1 
if:  
(a) they hold  a valid licence issued in accordance with Art icle ROAD.5 [ Requirements for 
operators ], except in the cases referred to in Article ROAD.6 [Exemptions from licensing 
requirements]; and   
(b) the journey  is carried out by drivers who hold a Certificate of Professional Competence in 
accordance with Article R OAD.7(1) [Requirements for drivers].  
3. Subject to paragraph 6, and provided that the conditions in paragraph 2 are fulfilled , road 
haulage operators of the United Kingdom may undertake up to two laden journeys from one 
Member State to another Member State, without returning to the territory of the United Kingdom, 
provided that such journeys follow a journey from the territory of the United Kingdom permitted 
under point (a) of paragraph 1.  
4. 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:  
(a) follows a journey from the territory of the United Kingdom permitted under point (a) of 
paragraph 1; and  
 
265 
 (b) 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).  
5. Subject to paragraph 6 and provided that the conditions in paragra ph 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:  
 
(a) follow a journey from the territory of the Northern Irel and permitted under point (a) of 
paragraph 1; and  
(b) are p erformed within seven days of the unloading in the territory of Ireland of goods carried 
on the  journey referred to in point (a).  
6. Road haulage operators of the United Kingdom shall be limited to a maximum of two 
journeys within the territory of the Union under paragraphs 3, 4 and 5 before returning to the 
territory of the United Kingdom.  
7. Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the 
Union may undertake up t o two laden journeys within the territory of the United Kingdom provided 
that such operations:  
(a) follow a journey from the territory of the Union permitted under point (a) of paragraph 1; and  
(b) are p erformed 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 ROAD.5: Requirements for operators  
1. Road haulage  operators of a Party undertaking a journey referred to in Article ROAD.4 
[Transport of goods between, through and wi thin the territories of the Parties] shall hold a valid 
licence issued in accordance with paragraph 2 of this Article.   
2. Licences shall only be issued, in accordance with the law of the Parties, to road haulage 
operators who comply with the requirements se t out in Section 1 of Part A of Annex ROAD -1 
governing the admission to, and the pursuit of, the occupation of road haulage operator.  
3. A certifi ed true copy of the licence shall be kept on board the vehicle and shall be presented 
at the request of any insp ecting officers authorised by each Party. The licence and the certified true 
copies shall correspond to one or either of the models set out in Appendix ROAD.A.1.3 of Part A to 
Annex ROAD -1, which also lays down the conditions governing its use. The licence  shall contain at 
least two of the security features listed in Appendix ROAD.A.1.4 to Part A of Annex ROAD -1. 
4. Road haulage operators shall comply with the requirements set out in Section 2 of Part A of 
Annex ROAD -1 laying down requirements for the posting of drivers when undertaking a journey 
referred to in Article ROAD.4(3) -(7) [Transport of goods between, through and within the territories 
of the Parties].  
 
266 
 Article ROAD.6: 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 5 [Requirements for 
operators]:  
(a) transport of mail as a universal service;  
(b) transport of vehicles which have suffered damage or bre akdown;  
(c) until 20 February 2022, transport of goods in motor vehicles the permissible laden mass of 
which, including that of trailers, does not exceed 3.5 tonnes;  
(d) from 21 February 2022, transport of goods in motor vehicles the permissible laden mass of 
which, including that of trailers, does not exceed 2.5 tonnes;  
(e) transport of medicinal products, appliances, equipment and other articles required for 
medical care in emergency  relief, in particular for natural disasters and humanitarian 
assistance;   
(f) transp ort of goods in vehicles  provided that the following conditions are fulfilled:   
(i) 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 ;   
(ii) 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;   
(iii) 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;   
(iv) 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   
(v) such transport is no more than ancillary to the overall activities of the road haulage 
operator;  
(g) transport  of goods by means of motor vehicles with a maximum authorised speed not 
exceeding 40 km/h.  
Article ROAD .7: Requirements for drivers  
1 Drivers of the vehicles undertaking journeys as referred to in Article  ROAD.4 [Transport of 
goods between, through and within the territories of the Parties] shall:  
(a) hold a Certificate of Professional  Competence issued in acc ordance with Section 1 of Part B of 
Annex  ROAD - 1; and  
 
267 
 (b) 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  ROAD -1.     
2. The European  Agreement concernin g the Work of Crews of Vehicles Engaged in 
International Road Transport (AETR) done in Geneva on 1 July 1970 shall apply, instead of point (b) 
of paragraph 1, to international road transport operations undertaken in part outside the territory of 
the Partie s, for the whole journey.  
Article ROAD.8: Requirements for vehicles  
1. A Party shall not reject or prohibit the use in its territory of a vehicle undertaking a journey 
referred to in Article ROAD.4 [Transport of goods between, through and within the territor ies of the 
Parties] if the vehicle complies with the requirements set out in Section 1 of Part C of Annex  ROAD -1.  
2. Vehicles undertaking the journeys  referred to in Article ROAD.4 [Transport of goods 
between, through and within the territories of the Parties] shall be equipped with a tachograph 
constructed, installed, used, tested and controlled in accordance with Section 2 of Part C of Annex  
ROAD -1.   
Article ROAD.9: 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 ROAD.10: Development of laws and Specialised Committee on Road Transport  
1.  When a Party proposes a new regulatory measure in an area covered by Annex ROAD -1, it 
shall:  
(a) notify the other Party of the proposed regulatory measure as soon as possible;  and 
(b) keep t he other Party informed of progress of the regulatory measure.  
2.  At the request of one of the Parties, an exchange of views shall take place within the 
Specialised Committee on Road Transport no later than two months after the submission of th e 
request, as to whether the proposed new regulatory measure would apply to journeys referred to in 
Article ROAD.4 [Transport of goods between, through and within the territories of the Parties], or 
not. 
3. When a Party adopts a new regulatory measure refe rred to in paragraph 1, it shall notify the 
other Party, and supply the text of the new regulatory measure within one week of its publication.  
4. The Specialised Committee on Road Transport shall meet to discuss any new regulatory 
measure adopted, on request by either Party within two months of the submission of the request, 
whether or not a notification has taken place in accordance with paragraph 1 or 3, or a discussion 
has taken place in accordance with paragraph 2.  
5.  The Specialised Committee  on Road Transport  may : 
(a) amend Annex ROAD -1 to take account of regulatory and/or technological developments, or to 
ensure the satisfactory implementation o f this Title;  
 
268 
 (b) confirm that the amendments made by the new regulatory measure conform to Annex ROAD -
1; or  
(c) decide on  any other measure aimed at safeguarding the proper functioning of this Title.  
Article ROAD.11: Remedial measures  
1 If a Party considers that the other Party has adopted a new regulatory measure that does 
not comply with the requirements of Annex ROAD -1, in particular in cases where the Specialised 
Committee on Road Transport has not reached a decision under Article 10( 5) [Development of laws 
and Specialised Committee on Road Transport], 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 oth er Party, adopt appropriate remedial measures, 
including the suspension of obligations under this Agreement or any supplementing Agreement, 
provided that such measures:  
(a) 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 ROAD -1; and  
(b) 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.  
2. The appropriate remedial  measures shall cease to apply:  
(a) when the Party having taken such measures is satisfied that the other Party is complying with 
its obligations under this Title; or  
(b) in compliance with a ruling of the arbitration tribunal.  
3. A Party sh all not invoke the WTO Agreement or any other international agreement to 
preclude the other Party from suspending  obligations under this Article.  
Article ROAD.12: Taxation  
1. Vehicles used for the carriage of goods in accordance with this Title shall be exemp t from 
the taxes and charges levied on the possession or circulation of vehicles in the territory of the other 
Party.  
2. The exemption referred  to in paragraph 1 shall not apply to:  
(a) a tax or charge on fuel consumption;  
(b) a charge for using a road or network of roads; or  
(c) a charge  for using particular bridges, tunnels or ferries.  
3. The fuel contained in the standard tanks of the vehicles and of special containers, admitted 
temporarily, which is used directly for the purpose  of propulsion and, where appropriate, for the 
operation, during transport, of refrigeration systems and other systems, as well as lubricants present 
in the motor vehicles and required for their normal operation during the journey, shall be free of 
 
269 
 custom duties and any other taxes and levies, such as VAT and excise duties, and shall not be subject 
to any import restrictions.  
4. The spare parts imported for repairing a vehicle  on the territory of one Party that has been 
registered or put into circulation  in the other Party, shall be admitted under cover of a temporary 
duty -free admission and without prohibition or restriction of importation. The replaced parts are 
subject to customs duties and other taxes (VAT) and shall be re -exported or destroyed under the 
control of the customs authorities of the other Party.  
Article ROAD.13: Obligations in other Titles  
Articles SERVIN 3.2 [Market access] and SERVIN 3.4 [National treatment] of Chapter three of Title II 
of Heading one of Part two are incorporated into and made part of this Title and apply to the 
treatment of road haulage operators undertaking journeys in accordance with Article ROAD.4 
[Transport of goods between, through and within the territories of the Parties].  
Article ROAD.14: Te rmination of this Title  
5.  Without prejudice to Article FINPROV.8 [Termination], Article OTH.10 [Termination of Part 
Two] and Article FISH.17 [Termination], each Party may at any moment terminate this Title, by 
written notification through diplomatic channel s. 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 ROA D  
Article X: Scope  
1. The objective of this Title is to ensure, as regards the transport of passengers by road, 
continued connectivity between, through and within the territories of the Parties and to lay down 
the rules which are applicable  to such transport. It applies to the occasional, regular and special 
regular transport of passengers by coach and bus between, through and within the territories of the 
Parties.  
2. The Parties agree not to take discriminatory measures when applying this Title.  
3. Nothing in this Title shall affect the transport of passenge rs within the territory of one of the 
Parties by a road passenger transport operator established in that territory.  
Article X+1 :Definitions  
For the purposes of this Title and in addition to the definitions set out in Article SERVIN 1.2 
[Definitions] of Chapter one of Title II of Heading one of  Part Two [Services and Investment], the 
following definitions apply:  
(a) “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;      
(b) “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;  
 
270 
 (c) “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;  
(d) “road passenger transpo rt operator of a Party” means a road passenger transport operator 
which is established in the territory of a Party or a natural person of a Party;   
(e) “regular services” means passenger transport services supplied at specified frequency along 
specified route s, whereby passengers may be picked up and set down at predetermined 
stopping points;  
(f) “special regular services” means services by whomsoever organised, which provide for the 
transport of specified  categories of passengers to the exclusion of other passen gers, in so far 
as such services are operated under the conditions specified for regular services. Special 
regular services shall include:  
(i) the transport of workers between home and work, and  
(ii) the transport  of school pupils and students to and from the educ ational 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;  
(g) ‘’group” means any of the following:  
(i) one or more associated natural or legal persons and their parent natural or legal 
person or persons;  
(ii) one or more associated natural person or legal persons which have the same parent 
natural or legal person or persons;  
(h) “Interbus  Agreement” means the Agre ement on the international occasional carriage of 
passengers by coach and bus, as subsequently amended, which entered into force on 1 
January 2003;  
(i) “transit” means the movement of coaches and buses across the territory of a Party without 
picking up or set ting down of passengers;  
(j) “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 X+2: Passenger transport by coach and bus between, through and within the territories of the 
Parties  
1. Road passenger transport operators of a Party may, when operating regular and special 
regular services, un dertake laden journeys from the territory of a Party to the territory of the other 
Party, with or without transit through the territory of a third country, and unladen journeys related 
to such journeys.  
 
271 
 2. Road passenger  transport operators of a Party may, w hen operating regular and special 
regular services, undertake laden journeys from the territory of the Party, in which the road 
passenger transport operator is established, to the territory of the same Party with transit through 
the territory of the other Party, and unladen journeys related to such journeys.  
3. A road passenger transport operator of a Party may not operate regular or special regular 
services with both origin and destination in the territory of the other Party.  
4. Where the  passenger transport s ervice referred to in paragraph 1 is part of a service to or 
from the territory of the Party where the road passenger transport operator is established, 
passengers may be picked up or set down in the territory of the other Party en route , provided the 
stop  is authorised in accordance with the rules applicable in that territory.   
5. Where the passenger transport service referred to in this Article is part of an international 
regular or special regular service between Ireland and the United Kingdom in respect o f Northern 
Ireland, passengers may be picked up and set down in one Party by a road passenger transport 
operator established in the other Party.  
6. Road passenger  transport operators established in the territory of one Party may, on a 
temporary basis, operat e occasional services on the island of Ireland which pick up and set down 
passengers on the territory of the other Party.  
7. Road passenger transport operators may, when operating occasional services, undertake a 
laden journey from the territory of a Party th rough the territory of the other Party to the territory of 
a non -Contracting Party to the Interbus Agreement, including a related unladen journey.  
8. The passenger transport services referred to in this Article shall b e performed using coaches 
and buses registered in the Party where the road passenger transport operator is established or 
resides. Those coaches and buses shall comply with the technical standards laid down in Annex 2 to 
the Interbus Agreement.  
Article X+3: Conditions for the provision of se rvices referred to in Article X+2  
1. Regular services shall be open to all road passenger transport operators of a Party, subject 
to compulsory reservation, where appropriate.  
2. Regular and special regular  services shall be subject to authorisation in accorda nce with 
Article X+4, and paragraph 6.  
3. The regular nature of the service shall not be affected by any adjustment to the service 
operating conditions.  
4. The orga nisation of parallel or temporary services serving the same public as existing regular 
services,  the non -serving of certain stops and the serving of additional stops on existing regular 
services shall be governed by the same rules as those applicable to existing regular services.  
5. Sections V (Social provisions) and VI (Custom and fiscal provisions) o f the Interbus 
Agreement as well as Annexes I (Conditions applying to road passenger transport operators) and II 
(Technical standards applying to buses and coaches) thereto shall apply.  
 
272 
 6. For a  period of six months from the date of entry into force of this Agreement, special 
regular services shall not be subject to authorisation where they are covered by a contract 
concluded between the organiser and the road passenger transport operator.  
7. Occasional services covered by this Title in accordance with Article X +(2) shall not require 
authorisation. However, the organisation of parallel or temp orary services comparable to existing 
regular services and serving the same public as the latter shall be subject to authorisation in 
accordance with Section VIII of the Int erbus Agreement.  
Article X+4: Authorisation   
1. Authorisations for services referred to in Article X+2 shall be issued by the competent 
authority of the Party in whose territory the road passenger transport operator is established (the 
"authorising authority").  
2. If a road pa ssenger transport operator is established in the Union, the authorising authority 
shall be the competent authority of the Member State of origin or destination.  
3. In the case of a group of road passenger transport operat ors intendi ng to operate a service 
referred to in Article X+2, the authorising authority shall be the competent authority to which the 
application is addressed in accordance with the second part of Article X+5(1).  
4. Authorisations shall be issued in the name of the ro ad passenger transport operator and 
shall be non -transferable. However, a road passenger transport operator of a Party who has received 
an authorisation may, with the consent of the authorising authority, operate the service through a 
subcontractor, if suc h a possibility is in line with the law of the Party. In this case, the name of the 
subcontractor and its role shall be indicated in the authorisation. The subcontractor shall be a road 
passenger transport operator of a Party and shall comply with all the provisions of this Title.  
In the case of a group of road passenger transport operators that intend to operate services referred 
to in Article X+2, the authorisation shall be issued in the names of all the road passenger transport 
operators of the group an d 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.  
5. Without prejudice to Article X+6(3), the period of validity of an authorisation shall not 
exceed five years. It may be set for a shorter period either at the request  of the applicant or by 
mutual c onsent of the competent authorities of the Parties on whose territories passengers are 
picked up or set down.  
6. Authorisations shall specify the following:  
(a) the type of service;  
(b) the route of the service, giving in particular the point of departure and the point of arrival;  
(c) the period of validity of the authorisation; and  
(d) the stops and  the timetable.  
7. Authorisations shall  conform to the model set out in Annex ROAD -2.  
 
273 
 8. The road pas senger transport operator of a Party carrying out a service referred to in Article 
X+2 may use additional vehicles to deal with temporary and exceptional situations. Such additional 
vehicles may be used only under the same conditions as set out in the auth orisation referred to in 
paragraph 6.  
In this case, in addition to the documents referred to in Article X+10(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 X+5: Submission of application for authorisation  
1. Applications for authorisation shall be submitted by the road passenger transport operator 
of a Party to the authorising authority referred to in Article X+4(1).  
For each service, only one application shall be submitted. In the cases re ferred to in Article X+4(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 i t is established.  
2. Applications for authorisation  shall be submitted on the basis of the model set out in Annex 
ROAD -3.  
3. The road passenger transport operator applying  for authorisation shall provide any further 
information which it considers relevant or w hich is requested by the authorising authority, in 
particular, the documents listed in Annex ROAD -3.  
Article X+6: Authorisation procedure  
1. Authorisations shall be issued in agreement with the competent authorities in the Parties in 
whose territory passeng ers are picked up or set down. The authorising authority shall forward to 
such competent authorities, as well as to the competent  authorities whose territories are crossed  
without passengers being picked up or set down, a copy of the application, together with copies of 
any other relevant documentation, and its assessment.  
In respect of the Union, the competent authorities referred to in the first part of this paragraph shall 
be those of the Member States in whose territories passengers are picked up or se t down and whose 
territories are crossed without passengers being picked up or set down.  
2. The competent authorities whose agreement has been requested shall notify the authorising 
authority of their decision regarding the application within four months. Th is time limit shall be 
calculated from the date of receipt of the request for agreement which is shown in the 
acknowledgement of receipt. If the decision received from the competent authorities whose 
agreement has been requested is negative, it shall conta in a proper statement of reasons. If the 
authorising authority does not receive a reply within four months, the competent authorities 
consulted shall be deemed to have given their agreement and the authorising authority may grant 
the authorisation.  
The c ompetent authorities whose territory is crossed  without passengers being picked up or set 
down may notify the authorising authority of their comments within four months.  
 
274 
 3. In respect of services that had been authorised under Regulation (EC) No 1073/2009 of the 
European Parliament and Council70 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:  
(a) where, subject to the changes necessary to comply with Article X+2, 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 a ny comments they may have;  
(b) 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 Regu lation (EC) No 1073/2009.  
4. The authorising authority  shall take a decision on the application no later than six months 
from the date of submission of the application by the road passenger transport operator.  
5. Authorisation  shall be granted unless:  
(a) the appl icant is unable to provide the service which is the subject of the application with 
equipment directly available to the applicant;  
(b) the applicant has not complied with national or international legislation on road transport, 
and in particular the condition s 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 
perio ds for drivers;  
(c) in the case of an application for renewal of authorisation, the conditions of authorisation have 
not been complied with;  
(d) 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 appli ed 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  
(e) 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.  
                                                            
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 f or coach and bus services, and amending Regulation (EC) 
No 561/2006 (recast) (OJ EU L 300, 14.11.2009, p. 88).  
 
275 
 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 l aw 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.  
6. Having completed  the procedure laid down in paragraphs 1 to 5, the authorising autho rity 
shall grant the authorisation or formally refuse 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 representatio ns 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 X+7: Renewal and alteration of authorisation   
1. Article X+6 shall apply, mutatis  mutandis , to applications for the renewal of authorisations or 
for alteration of the conditions under which the services subject to authorisation must be carried 
out.  
2. Where the existing authorisation expires within six m onths from the date of entry into force 
of this Agreement, the period of time in which the competent authorities referred to in Article 
X+6(2) shall notify the authorising authority of their agreement to, or comments on, the application 
in accordance with that Article, is two months.  
3. In the event of a minor alteration to the operating conditions, in particular the adjustment of 
intervals, fares and timetables, the authorising authority needs only supply the competent 
authorities of the other Party with inf ormation relating to the alteration. Changing the timetables or 
intervals in a manner that affects the timing of controls at the borders between the Parties or at 
third country borders shall not be considered a minor alteration.  
Article X+8: Lapse of an a uthorisation   
1. Without prejudice to Article X+6(3), an authorisation for a service referred to in Article X+2 
shall lapse at the end of its period of validity or three months after the authorising authority has 
received notice from its holder of his or her intention to withdraw the service. Such notice shall 
contain a proper statement of reasons.  
2. Where demand  for a service has ceased to exis t, the period of notice provided for in 
paragraph 1 shall be one month.  
3. The authorising  authority shall inform the competent authorities of the other Party 
concerned that the authorisation has lapsed.  
 
276 
 4. The holder of the authorisation shall notify users of  the service concerned of its withdrawal 
one month in advance by means of appropriate publicity.  
Article X+9: Obligations of transport operators   
1. Save in the event of force  majeure , the road passenger transport operator of a Party carrying 
out a service r eferred to in Article X+2 shall launch the service without delay and, until the 
authorisation expires, take all measures to guarantee a transport service that fulfils the standards of 
continuity, regularity and capacity and complies with the conditions spe cified in accordance with 
Article X+4(6)  and Annex ROAD -2.  
2. The road passenger transport operator of a Party shall display the route of the service, the 
bus stops, the timetable, the fares and the conditions of carriage in such a way as to ensure that 
such  information is readily available to all users.  
3. It shall be possible for the Parties to make changes to the operating conditions governing a 
service referred  to in Article X+2 by common agreement and in agreement with the holder of the 
authorisation.  
Article X+10: Documents to be kept on the coach or bus  
1. Without prejudice  to Article X+4(8), the authorisation or a certified true copy thereof to 
carry out services referred to in Article X+2 and the operator's licence of the road passenger 
transport operato r or a certified true copy thereof for the international carriage of passengers by 
road provided for according to national or Union law shall be kept on the coach or bus and shall be 
presented at the request of any authorised inspecting officer.  
2. Without p rejudice to paragraph 1 as well as to Article X+4(8), in the case of a special regular 
service, the contract between  the organiser and the road passenger transport operator or a copy 
thereof as well as a document evidencing that the passengers constitute a  specific category to the 
exclusion of other passengers for the purposes of a special regular service shall also serve as control 
documents, shall be kept in the vehicle and shall be presented at the request of any authorised 
inspecting officer.  
3. Road pass enger transport operators carrying out occasional services under Article X+2(6) 
and (7) shall carry a completed journey form , using the model in Annex ROAD -4. Books of journey 
forms shall be supplied by the competent authority of the territory in which the  operator is 
registered, or by bodies appointed by the competent authority.  
Article X+11: 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 X+12: Application  
The provisions of the present Title shall cease to apply as of the date the Protocol to the Interbus 
Agreement regarding the international regular and special carriage of passengers by coach and bus 
enters into force for the UK, 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 X+2(2);  
Article X+2(5); Article X+2(6) and Article X+2(7).  
 
277 
 Article X+13: Obligations in other Titles  
Articles SERVIN 3.2 [Market access] and SERVIN 3.4 [National treatment] of Chapter three of Title II 
of Heading one of Part two are incorporated  into and made pa rt of this Title and apply to the 
treatment of transport operators undertaking journeys in accordance with Article X+2 of this Title.  
Article X+14: Specialised Committee  
The Specialised Committee on Road Transport may amend Annexes ROAD -2, ROAD -3 and ROA D-4 to 
take into account  regulatory developments. It may adopt measures regarding the implementation of 
this Title.  
  
 
278 
 HEADING FOUR: SOCIAL SECURITY COORDINATION AND VISAS FOR SHORT -TERM VISITS  
TITLE I: SOCIAL SECU RITY COORDINATION  
Ch.SSC.1: 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.  
Ch.SSC.2: Legally residing  
1. The Protocol  on Social Security Coordination shall apply to persons legally residing in a 
Member State or the United Kingdom.  
2. Paragraph 1 of this Article shall not affect entitlements to cash benefits which relate to 
previous periods of legal residence  of persons covered by Article SSC.2 [ Persons covered ] of the 
Protocol  on Social Security Coordination.  
Ch.SSC.3: Cross border situations  
1. The Protocol on Social Security Coordination shall only apply to situations arising between 
one or more Member States of the Union and the United Kingdom.  
2. The Protocol on Social Security Coordination shall not apply to persons whose situations are 
confined in all respects either to the United Kingdom, or to the Member States.  
Ch.SSC.4: Immigration applications  
The Protocol on Social Security Coordination shall apply 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 t o reside in that State.  
 
TITLE II: VISAS FOR SHORT -TERM VISITS  
Article VSTV.1: Visas for short -term visits  
1. The Parties note that on the date of entry into force of this Agreement both Parties provide 
for visa -free travel for short -term visits in respect  of their nationals in accordance with their 
domestic law.   Each Party shall notify the other of any intention to impose a visa requirement for 
short -term visits by nationals of the other Party in good time and, if possible, at least three months 
before s uch a requirement takes effect.   
2. Subject to paragraph 3 and to Article FINPROV.10 [future accessions to the Union], in the 
event that the United Kingdom decides to impose a visa requirement for short -term visits on 
nationals of a Member State, that req uirement shall apply to the nationals of all Member States.  
3. This Article is without prejudice to any arrangements made between the United Kingdom 
and Ireland concerning the Common Travel Area.  
  
 
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 HEADING FIVE: FISHERIES  
Chapter one: Initial provisions  
Article FISH.1: 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 w aters 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 of 10 December 1982.  
Article FISH.2: Objectives and principles  
1.  The Parties shall cooperate with a view to ensuring that fishing activities for shared stocks in 
their waters are environmentally sustainable in the long term and contribute to achieving economic 
and social benefits, while fully respecting the rights and obligations of independent co astal States as 
exercised by the Parties.  
2.  The Parties share the objective of exploiting shared stocks at rates intended to maintain and 
progressively restore populations of harvested species above biomass levels that can produce the 
maximum sustainable  yield.  
3.         The Parties shall have regard to the following principles:  
(a) applying the precautionary approach to fisheries management;   
(b) promoting the long -term sustainability (environmental, social and economic) and optimum 
utilisation of shared stocks;  
(c) 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);  
(d) ensuring selectivity in fisheries to protect juvenile fish and spawning aggregations of fish, and 
to avoid and reduce unwanted bycatch;  
(e) 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;  
(f) 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;  
(g) ensuring the collection and timely sharing of complete and acc urate data relevant for the 
conservation of shared stocks and for the management of fisheries;  
(h) ensuring compliance with fisheries conservation and management measures, and combating 
illegal, unreported and unregulated fishing; and  
(i) ensuring the timely implementation of any agreed measures into the Parties’ regulatory 
frameworks.  
 
280 
 Article FISH.3: Definitions  
1. For the purposes of this Heading the following definitions apply:  
(a) “EEZ” (of a Party) means, in accordance with the United Nations Convention on the  Law of the 
Sea of 10 December 1982:  
(i) in the case  of the Union,  the exclusive  economic  zones  established  by its Member  
States  adjacent  to their  European  territories;  
(ii) the exclusive  economic  zone  established  by the United  Kingdom;  
(b) “precautionary approach to f isheries 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 a nd their environment;  
(c) “shared stocks” means fish, including shellfish of any kind that are found in the waters of the 
Parties, which includes molluscs and crustaceans;  
(d) “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;  
(e) “non -quota stocks” means stocks which are not managed through TACs;  
(f) “territorial sea” (of a Party) means, in accordance with the United Nations Convention on the 
Law of the Sea of 10 December 1982:  
(i) in the case  of the Union,  by derogation  from  Article  FINPROV.1(1)  [Territorial  scope],  
the territorial  sea established  by its Member  States  adjacent  to their  European  
territories;  
(ii) the territorial  sea established  by the United  Kingdom;  
(g) “waters” (of a Party) means:  
(i) in respect of the Union,  by derogation from Article FINPROV.1(1)[Territorial scope], 
the EEZs of the Member States and their territorial seas;  
(ii) in respect  of the United Kingdom, its EEZ and its territorial sea, excluding for the 
purposes of Articles FISH.8 [Access to waters], FISH.9 [Compensatory measures in case 
of withdrawal or reduction of access] and Annex FISH.4 [Protocol on access to waters] 
the terri torial sea adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey and the 
Isle of Man;  
(h) “vessel” (of a Party) means:  
(i) in the case of the United Kingdom, a fishing vessel flying the flag of the United 
Kingdom,  registered in the United Kingdom, the B ailiwick of Guernsey, the Bailiwick of 
Jersey or the Isle of Man, and licensed by a UK fisheries administration;  
 
281 
 (ii) in the case of the Union, a fishing vessel flying the flag of a Member State and is 
registered in the Union.  
Chapter two: Conservation and sus tainable exploitation  
Article FISH.4: Fisheries management  
1.  Each Party shall decide  on any measures applicable to its waters in pursuit of the objectives 
set out in Article FISH.2(1) and (2)[Objectives and principles], and having regard to  the principle s 
referred to in Article FISH.2(3) [Objectives and principles].  
2.  A Party shall  base the measures referred to in paragraph 1 on the best available scientific 
advice.   
A Party shall not apply the measures referred to in paragraph 1 to the vessels of the o ther 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 the Recommendation 18 -09 by International Commission for the Conservation of 
Atlantic Tunas on Port State Measures to Prevent, Deter and Elim inate 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.  
3.  Each Party shall notify the other Party of new measures as referred to in paragraph 1 that 
are likely to affect  the vessels of the other Party before those measures are applied, allowing 
sufficient time for the other Party to provide comments or seek clarification.  
Article FISH.5: Authorisations, compliance and e nforcement  
1. Where vessels  have access to fish  in the waters of the other Party pursuant to Article FISH.8 
[Access to waters] and Article FISH.10 [ Access to waters of the Bailiwick of Guernsey, the Bailiwick of 
Jersey and the Isle of Man ]: 
(a) 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  
(b) the other Party shall issue authorisations or licences  to fish.  
2.  Each Party shall take all necessary measures  to ensure compliance by its vessels with the 
rules applicable to those vessels in the other Party’s waters,  including authorisation or licence 
conditions.  
Chapter three: Arrangements on access to waters and resources  
Article FISH.6: Fishing opportunities  
1. By 31 January of each year, the Parties shall cooperate to set the schedule for consultations 
with the aim  of agreeing  TACs for the stocks listed in Annex FISH.1 for the following year or years. 
 
282 
 That schedule shall take into account other annual consultat ions among coastal States that affect 
either or both of the Parties.  
2. 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 FISH.1. This shall include an early exc hange 
of views on priorities as soon as advice on the level of the TACs is received. The Parties shall agree 
those TACs:  
(a) on the basis of the best available scientific advice, as well as other relevant factors,  including 
socio -economic aspects; and  
(b) in comp liance with any applicable multi -year strategies for conservation and management 
agreed  by the Parties.  
3. The Parties’ shares of the TACs for the stocks listed in Annex FISH.1  shall be allocated 
between the Parties in accordance  with the quota shares set ou t in that Annex.  
4. Annual consultations  may also cover, inter alia:  
(a) transfers  of parts of one Party’s shares of TACs to the other Party;  
(b) a list of stocks  for which fishing is prohibited;  
(c) the determination  of the TAC for any stock which is not listed in Annex FISH.1 or Annex FISH.2 
and the Parties’  respective shares of those stocks;  
(d) measures for fisheries management, including, where appropriate, fishing effort limits;  
(e) stocks of mutual interest to the Part ies other than those listed in the Annexes to this Heading.  
5. The Parties may hold consultations with the aim of agreeing amended TACs if either Party so 
requests .  
6. A written record documenting the arrangements made between the Parties as a result of 
consult ations  under this Article shall be produced and signed by the heads of delegation of the 
Parties.  
7. Each Party shall give sufficient notice to the other Party before setting or amending TACs for 
the stocks  listed in Annex FISH.3.  
8. The Parties agree to set up  a mechanism for voluntary in -year transfers of fishing 
opportunities between  the Parties, to take place each year. The Specialised Committee on Fisheries 
shall decide on the details of this mechanism. The Parties shall consider making transfers of fishing  
opportunities for stocks which are, or are projected to be, underfished available at market value 
through this mechanism.  
Article FISH.7: Provisional TACs  
1. If the Parties have not agreed a TAC for a stock  listed in Annex FISH.1  or Annex FISH.2A or B 
by 10 December, they shall  immediately resume consultations with the continued aim of agreeing 
the TAC. The Parties shall engage frequently with a view to exploring all possible options for reaching 
agreement in the shortest possible time.  
 
283 
  
2. If a stock listed in Annex FISH.1 or Annex FISH.2A and B remains without an  agreed TAC on 
20 December , each Party shall set a provisional TAC corresponding to the level advised by ICES, 
applying from 1 January.  
3. By derogation  from paragraph 2, the TACs for special st ocks shall be set in accordance with 
guidelines adopted under paragraph 5.  
4. For the purposes of this article, “special stocks” means:  
(a) stocks where the ICES advice is for a zero TAC;  
(b) stocks caught in a mixed fishery, if that stock or another stock in the same fishery is 
vulnerable; or  
(c) other stocks which the  Parties consider require special treatment.  
5. The Specialised Committee on Fisheries shall adopt guidelines by 1 July 2021 for the setting 
of provisional TACs for special stocks.  
6. Each year when advice is received from ICES on TACs, the Parties shall discuss, as a priority, 
the special stocks and the application of any guidelines set under paragraph 5 to the setting of 
provisional TACs  by each Party.  
7. Each Party shall set its share for each of the provisional TACs, which shall not exceed its 
share as set out in the corresponding Annex.  
8. The provisional TACs and shares referred to in paragraphs 2, 3 and 7 shall apply until 
agreement is re ached under paragraph 1.  
9. Each Party shall, immediately, notify the other Party of its provisional TACs under paragraphs 
2 and 3 and its provisional  share of each of those TACs under paragraph 7.  
Article FISH.8: Access to waters  
1. Provided that TACs have bee n agreed each Party shall grant vessels of the other Party access 
to fish in its waters in the relevant ICES sub -areas that year. Access shall be granted at a level  and on 
conditions  determined in those annual consultations.  
2. The Parties may agree, in annua l consultations, further specific access conditions in relation 
to: 
(a) the fishing opportunities  agreed;  
(b) any multi -year strategies for non -quota stocks  developed under point (c) of Article FISH.16(1) 
[Specialised Committee on Fisheries]; and  
(c) any technical and conservation measures  agreed by the Parties, without prejudice to Article 
FISH.4 [Fisheries management].  
 
284 
 3. The Parties shall conduct the annual consultations, including on the level and conditions of 
access referred to in paragraph 1 of thi s Article, in good faith and with the objective of ensuring a 
mutually satisfactory balance between the interests of both Parties.  
4. In particular, the outcome of the consultations should normally result in each Party granting:  
(a) access to fish the stocks listed in Annex FISH.1 and Annex FISH.2.A, B and F 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 share s of the TACs;  
(b) 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  
(c) access to the waters of the Parties between six and twelve nautical miles from the baseline 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.  
5. During the application of a provisional TAC, and pending an agreed TAC, the Parties shall 
grant provision al access to fish in the relevant ICES sub -areas as follows  
(a) for stocks  listed in Annex FISH.1 and non -quota stocks, from 1 January until 31 March at the 
levels provided for in paragraph 4(a) and (b);  
(b) for stocks  listed in Annex FISH.2 from 1 January until 14 February at the levels provided for in 
paragraph 4(a); and  
(c) in relation to access to fish in the six to twelve nautical miles zone, access in accordance  with 
paragraph 4(c) from 1 January to 31 January at a level equivalent to the average monthly 
tonnage  fished in that zone in the previous 3 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 FISH.2, 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), as of 15 February in respect of the stocks listed 
in Annex FISH.2, and as of 1 April in respect of all other stocks for the relevant ICES sub -areas.  
6. Without  prejudice to Article FISH.7(1) and (8)[Provisional TACs], after the period of one 
month in  relation to the situation in point (c) of paragraph 5, one and a half months in respect of the 
 
285 
 stocks listed in Annex FISH.2 and three months in respect of all other stocks, the Parties shall seek to 
agree further provisional access arrangements at the appropriate geographical level with the aim of 
minimising disruption to fishing activities.  
 
7. In granting access under paragraph 1, a Party may take into accoun t compliance of individual 
or groups of vessels with the applicable rules in its waters during the preceding year, and  measures 
taken by the other Party pursuant to Article FISH.5(2) [Authorisations, compliance and enforcement] 
during the preceding year.  
8. This Article shall apply  subject to Annex FISH.4 [Protocol on access to waters].  
Article FISH.9: Compensatory measures in case of withdrawal or reduction of access   
1. Following a notification by a Party (“host Party”) under Article FISH.8(5)[Access to waters], 
the other Party (“fishing Party”) may take compensatory measures commensurate to the economic 
and societal impact of the change  in the level and conditions of acc ess to waters. Such impact shall 
be measured on the basis of reliable evidence and not merely on conjecture and remote possibility. 
Giving priority to those compensatory measures which will least disturb the functioning of this 
Agreement, the fishing Party  may suspend, in whole or in part, access to its waters and the 
preferential tariff treatment granted to fishery products under Article GOODS.5[Prohibition and 
customs duties].  
2.           A compensatory measure referred to in paragraph 1 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 and, in any case, not earlier than 1 February in relation to the situation in point (c) of 
Article 8(5)[Access to waters], 15  February in respect of Annex FISH.2 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:  
(a) the date upon which the fishing  Party intends to suspend; and  
(b) the obligations to be suspended and the level of the intended suspension.  
3.           After the notification of the compensatory measures in accordance with paragraph 2, the 
host Party may request  the establishment of an arb itration tribunal pursuant to Article INST.14 
[Arbitration procedure] of Title I [Dispute settlement] of Part Six, without having recourse to 
consultations in accordance with Article INST.13 [Consultations]. The arbitration tribunal may only 
review the con formity of the compensatory measures with paragraph 1. The arbitration tribunal 
shall treat the issue as a case of urgency for the purpose of Article INST.19 [Urgent proceedings] of 
Title I [Dispute settlement] of Part Six.  
4.           When the condition s for taking compensatory measures referred to in paragraph 1 are no 
longer met, such measures  shall be withdrawn immediately.  
5. Following a finding against the fishing Party in the procedure  referred to in paragraph 3, the 
host Party  may  request the arbitration tribunal, within 30 days from its ruling, to determine a level 
of suspension of obligations under  this Agreement not exceeding the level equivalent to the 
nullification or impairment caused by the application of the compensatory me asures, if it finds that 
the inconsistency of the compensatory measures with paragraph 1 is significant. The request shall 
propose a level of suspension in accordance with the principles set out in paragraph 1 and any 
 
286 
 relevant principles set out in Article  INST.34C [Suspension of obligations for the purposes of 
LPFS.3.12(12), Article FISH.9(5) and Article FISH.14(7)]. The host Party may apply the level of 
suspension of obligations under this Agreement in accordance with the level of suspension 
determined by  the arbitration tribunal, no sooner than 15 days following such ruling.  
 
6.           A Party shall not invoke the WTO Agreement or any other international agreement to 
preclude the other Party from suspending  obligations under this Article.  
Article FISH. 10: Access to waters of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle  of 
Man  
1. By derogation  from Articles FISH.8(1) and (3) to (7) [Access to waters], FISH.9 [Compensatory 
measures in case of withdrawal or reduction of access] and Annex  FISH.4 [Protocol on access to 
waters], each Party shall grant vessels of the other Party access to fish in its waters reflecting the 
actual extent and nature of fishing activity that it can be demonstrated was carried out during the 
period beginning on 1 February 2017 and ending on 31 January 2020 by qualifying vessels of the 
other Party in the waters and under any treaty arrangements that existed on 31 January 2020 .  
2. 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:  
(a) "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 on, or between, 1 February 
2017 and 31 January 2020;  
(b) "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;  
(c) "waters" (of a Party) means:  
(i) in respect of the Union, the territorial sea adjacent to a Member State; and  
(ii) 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.  
3. At the request of either Party, the Partnership Council shall decide, within 90 days of the 
entry into force of this Agreement, that this Article, Article FISH.11 [Notification periods relating to 
the importation and direct landing of fisheries products] and any other provisions of this Heading in 
so far as they relate to the arrangements provided for in those Articles as well as paragraphs 3 to 5 
of Article OTH.9 [Geographical applicati on] shall cease to apply in respect of one or more of Bailiwick 
of Guernsey, the Bailiwick of Jersey and the Isle of Man, following 30 days from this decision.  
4. The Partnership Council may decide to amend this Article, Article FISH.11 [Notification 
perio ds relating to the importation and direct landing of fisheries products] and any other provisions 
of this Heading in so far as they relate to the arrangements provided for in those Articles.  
 
287 
 Article FISH.11: Notification periods relating to the importation  and direct landing of fisheries 
products  
1. The Union shall  apply the following notification periods to fisheries 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 t erritorial sea adjacent to those territories or in the territorial sea adjacent 
to a Member State:    
(a) prior notification between three and five hours before landing fresh fisheries products into 
the Union’s territory ;  
(b) prior notification between one and th ree hours of the validated catch certificate for the direct 
movement of consignments  of fisheries products by sea before the estimated time of arrival 
at the place of entry into the Union’s territory.  
2. For the purposes of this Article  only, “fisheries produ cts” means all species of marine fish, 
molluscs and crustaceans.  
Article FISH.12: Alignment of management areas  
1.  By 1 July 2021, the Parties shall request advice from ICES on the alignment of the 
management areas and the assessment units used by ICES fo r the stocks marked with an asterisk in 
Annex FISH.1.  
2.  Within six months of receipt of the advice referred to in paragraph 1, the Parties shall jointly 
review that advice  and shall jointly consider adjustments to the management areas of the stocks 
conce rned, with a view to agreeing consequential changes to the list of stocks and shares set out in 
Annex FISH.1.  
Article FISH.13: Shares of TACs for certain other stocks  
1. The Parties’  respective shares of the TACs for certain other stocks are set out in Annex 
FISH.2.  
2. Each Party  shall notify the relevant States and international organisations of its shares in 
accordance with the sharing arrangement set out in Annex FISH.2A to D.  
3. Any su bsequent changes to those shares in Annex FISH.2C and D are a matter for the 
relevant multilateral  fora.  
4. Without prejudice to the powers of the Partnership Council in Article 16(3)[Specialised 
Committee on Fisheries], any subsequent changes to the shares Annex FISH.2A and B after 30 June 
2026 are a matter for the relevant multilateral fora.  
5. Both Parties shall approach the management of those stocks in Annex FISH.2A to D in 
accordance with the objectives and principles set out in Article FISH.2[Objectives a nd principles].   
Chapter four: Arrangements on governance  
 
288 
 Article FISH.14: Remedial measures  and dispute resolution  
1. In relation to an alleged failure by a Party (“the respondent Party”) to comply with this 
Heading ( other than in relation  to alleged failu res dealt with under paragraph 2) , the other Party 
(“the complaining Party”) may, after giving notice to the respondent Party:  
(a) suspend, in whole  or in part, access to its waters and the preferential tariff  treatment granted 
to fishery products under Articl e GOODS.5[Prohibition of customs duties]; and  
(b) if it considers that the suspension referred to in point (a) is not commensurate  to the 
economic and societal impact of the alleged failure, it may suspend, in whole or in part, the 
preferential tariff treatmen t of other goods under Article GOODS.5[Prohibition of customs 
duties]; and  
(c) if it considers that the suspension referred to in points (a) and (b) 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 [Trade] of Part Two [Economic Partnership] with the exception 
of Title XI [Level Playing Field for open and fair competition and sustainable development]. If 
Heading One [Trade] is suspended in whole, Heading Three [Road  Transport] is also 
suspended.  
2. In relation to an alleged failure by a Party (the “respondent Party”) to comply with Article 
FISH.10 [Access to waters of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man], 
FISH.11 [Notification periods relating to the importation and direct landing of fisheries products] 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 r espondent Party:  
(a) may suspend , in whole or in part, access to its waters within the meaning of Article FISH.10 
[Access to waters of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man];  
(b) if it considers that the suspension referred to in point (a) 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 granted to fisheries products under Article GOODS.5 [Prohibition 
of customs duties];  
(c) if it con siders that the suspension referred to in points (a) and (b) 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 GOODS.5 [Prohi bition of customs 
duties]; and  
by way of derogation from paragraph 1, remedial measures affecting the arrangements established  
under Article FISH.10 [Access to waters of the Bailiwick of Guernsey, the Bailiwick of Jersey and the 
Isle of Man], Article FISH. 11 [Notification periods relating to the importation and direct landing of 
fisheries products]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 failu re by a Party to comply 
with provisions of the Heading unconnected to those arrangements.  
3. Measures  referred to paragraphs 1 and 2 shall be proportionate to the alleged failure by the 
respondent Party  and the economic and societal impact thereof.  
4. 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 
 
289 
 Parties shall consult within the Specialised Committee on Fisheries with a view to reaching a 
mutually agreeable solution. That notification  shall identify:  
(a) the way in which the complaining Party considers that the respondent Party has failed to 
comply;  
(b) the date upon which the complaining Party intends to suspend; and  
(c) the level  of intended suspension.  
5.       The complaining Party must, within 14 days of the notification referred to in  paragraph 4 
challenge the alleged  failure by the respondent Party to comply with this Heading, as referred to in 
paragraphs  1 and 2, by requesting  the establishment of an arbitration tribunal under INST.14 
[Arbitration Procedure] of Title I [Dispute settlement] of Part Six. Recourse to arbitration under this 
Article shall be made without having prior recourse to consultations under Article INST.13 
[Consultations]. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of 
Article INST.19 [Urgent proceedings] of Title I [Dispute settlement] of Part Six.  
6. The suspension shall cease to apply when:  
(a) the complaining Party is satisfied that the respondent Party is complying with its relevant 
obligations under this Heading; or  
(b) the arbitration tribunal has decided that the respondent Party has not failed to comply with its 
relevant obligations under this Hea ding.  
7. Following a finding against the complaining Party in the procedure referred to in paragraph 
5, the respondent Party may request the arbitration tribunal, within 30 days from its ruling, to 
determine a level of suspension of obligations under this Agreement not exceeding the level 
equivalent to the nullification or impairment caused by the application of the compensatory 
measures, if it finds that the inconsistency of the compensatory measures with paragraphs 1 or 2 is 
significant. The request shall  propose a level of suspension in accordance with paragraphs 1 or 2 and 
any relevant principles set out in Article INST.34C [Suspension of obligations for the purposes of 
OTHS.3.12(12), Article FISH.9(5) and Article FISH.14(7)].  The respondent Party may ap ply the level of 
suspension of obligations under this Agreement in accordance with the level of suspension 
determined by the arbitration tribunal, no sooner than 15 days following such ruling.  
8. A Party shall not invoke the WTO Agreement or any other inte rnational agreement to 
preclude the other Party from suspending obligations under this Article.  
Article FISH.15: Data sharing  
The Parties shall share such information as is necessary to support the implementation of this 
Heading subject to each Party’s law s. 
Article FISH.16: Specialised Committee on Fisheries  
1. The Specialised Committee on Fisheries may in particular:  
(a) provide a forum for discussion and co -operation in relation to sustainable fisheries 
management;  
 
290 
 (b) consider the development of multi -year strate gies for conservation and management as the 
basis for the setting of TACs and other management measures;  
(c) develop  multi -year strategies for the conservation and management of non -quota stocks as 
referred to in paragraph 2(b) of Article FISH.8 [Access to waters];  
(d) consider measures for fisheries management and conservation, including emergency 
measures and measures to  ensure selectivity of fishing;   
(e) 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 consultati on of scientific bodies regarding  the best available 
scientific advice;  
(f) consider measures to ensure compliance with the applicable rules , including joint control, 
monitoring and surveillance programmes and the exchange of data to facilitate monitoring 
upta ke of fishing opportunities and control and enforcement;  
(g) develop the guidelines  for setting the TACs referred to  in paragraph 5 of Article FISH.7 
[Provisional TACs];  
(h) make preparations for annual consultations;  
(i) 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;  
(j) establish timelines  for the notification of measures referred to in Article FISH.4(3) [Fisheries 
management], the communication of the lists of vessels referred to in Article FISH.5(1) 
[Authorisations, compliance and enforcement] and the notice referred to in Article FISH.6(7) 
[Fishing opportunities];  
(k) provide a forum  for consultations under Article FISH .9(2) [Compensatory measures] and 
Article FISH.14(4) [Remedial measures];  
(l) develop guidelines  to support the practical application of Article FISH.8 [Access to waters];  
(m) develop a mechanism  for voluntary in -year transfers of fishing opportunities between th e 
Parties, as referred to in Article FISH.6(8)[Fishing Opportunities]; and  
(n) consider the application and implementation of Article FISH.10 [ Access to waters of the 
Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man ] and Article FISH.11 
[Noti fication periods relating to the importation and direct landing of fisheries products].  
2. The Specialised Committee on Fisheries may adopt measures, including decisions and 
recommendations:  
(a) recording  matters agreed by the Parties following consultations under  Article FISH.6 [Fishing 
opportunities];  
(b) 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;  
 
291 
 (c) amending the list of pre -existing international obligations referred to in paragraph 2 of Article 
FISH.4 [Fisheries management]  
(d) in relation to any other aspect of co -operation on sustainable fisheries management under 
this Heading ; and  
(e) on the modalities of a review under Article FISH.18[Review].  
3.  The Partnership  Council shall have the power to amend Annexes FISH.1, FISH.2 , and FISH.3 .  
Article FISH.17: Termination  
1. Without prejudice to Article FINPROV.8 [Termination] or Article OTH.10 [Termination of Part 
Two], each Party  may at any moment terminate this Heading, by w ritten notification through 
diplomatic channels. In that event, Heading One [Trade], Heading Two [Aviation], Heading Three 
[Road transport] and this Heading [Fisheries] shall cease to be in force on the first day of the ninth 
month following the date of no tification.  
2.     In the event  of termination of this Heading pursuant to paragraph 1, Article FINPROV.8 
[Termination] or Article OTH.10 [Termination of Part Two], obligations entered into by the Parties 
under this Heading for the year ongoing at the time  when the Heading ceases to be in force shall 
continue to apply until the end of the year.   
3. Notwithstanding paragraph  1, Heading Two [Aviation] may remain in force, if the Parties 
agree to integrate the relevant parts of Title XI [Level playing field fo r open and fair competition and 
sustainable development] . 
4. By way of derogation from paragraphs 1 to 3 and without prejudice to Article FINPROV.8 
[Termination] or Article OTH.10 [Termination of Part Two] :  
(a) unless agreed  otherwise between the Parties, Article FISH.10 [Access to waters of the Bailiwick of 
Guernsey, the Bailiwick of Jersey and the Isle of Man], Article FISH.11 [Notification periods 
relating to the importation and direct landing of fisheries products] and an y other provision of 
this Heading in so far as it relates to the arrangements provided for in those Articles, shall 
remain in force until:  
(i) they are terminated  by either  Party  giving  to the other  Party  three  years'  written  
notice  of termination;  or 
(ii) if earli er, the date  on which paragraphs 3 to 5 of Article OTH.9[Geographical 
application] cease to be in force;  
(b) for the purposes of paragraph 4(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 FISH.10 
[Access to waters of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man], 
Article FISH.11 [Notification periods relating to the importation and direct landing of fisheries 
products] 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  
(c) for the purposes of paragrap h 4(a)(ii), if paragraphs 3 to 5 of Article OTH.9[Geographical 
application] of the Agreement cease to be in force in relation to one or more (but not all) of 
 
292 
 the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, Article FISH.10 [Access to 
waters of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man], Article 
FISH.11 [Notification periods relating to the importation and direct landing of fisheries 
products] and any other provision of this Heading in so far as it relates t o the arrangements 
provided for in those Articles, shall continue to be in force for those territories in respect of 
which paragraphs 3 to 5 of Article OTH.9 [Geographical application] remain in force.  
Article FISH.18: Review clause  
1. The Parties, within  the Partnership Council, shall jointly review the implementation of this 
Heading four years after the end of the adjustment period referred to in the Article 1 of Annex 
FISH.4 [Protocol on access to waters] with the aim of considering whether arrangements, in cluding 
in relation to access to waters, can be further codified and strengthened.  
2. Such a review may  be repeated at subsequent intervals of four years after  the conclusion  of 
the first review . 
3. The Parties  shall decide, in advance, on the modalities of the review through the Specialised 
Committee on Fisheries.  
4. The review shall, in particular, allow for an evaluation, in relation to the previous years, of:  
(a) the provisions  for access to each other’s waters und er Article FISH.8 [Access to waters];  
(b) the shares  of TACs set out in the Annexes FISH.1, 2 and 3;  
(c) the number  and extent of transfers as part of annual consultations under Article FISH.6(4) 
[Fishing opportunities] and any transfers under Article FISH.6(8) [F ishing opportunities];  
(d) the fluctuations  in annual TACs;  
(e) 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;  
(f) the nature  and extent of co -operation under this Heading; and  
(g) any other  element the Parties decide, in advance, through the Specialised Committee on 
fisheries.  
Article FISH.19: Relationship with other agreements  
1. Subject to paragraph 2 , this Heading shall be without preju dice to other existing agreements 
concerning fishing by vessels of a Party within the area of jurisdiction of the other Party.  
2. This Heading shall supersede and replace any existing agreements or arrangements with 
respect to fishing by Union fishing vessels  in the territorial sea adjacent to the Bailiwick of Guernsey, 
the Bailiwick of Jersey or the Isle of Man and with respect to fishing by United Kingdom fishing 
vessels registered in the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man in t he 
territorial sea adjacent to a Member State. However, in case the Partnership Council has taken a 
decision in accordance with Article 10(3) [Access to waters of the Bailiwick of Guernsey, the Bailiwick 
of Jersey and the Isle of Man] for the Agreement to cease to apply in respect of the Bailiwick of 
Guernsey, the Bailiwick of Jersey or the Isle of Man, the relevant agreements or arrangements shall 
 
293 
 not be superseded and replaced in respect of the territory or territories for which such a decision 
has been t aken.  
HEADING SIX: OTHER PROVISIONS  
Article OTH.1: Definitions  
Unless otherwise specified, for the purposes of Part Two of this Agreement, the Protocol on mutual 
administrative assistance in customs matters and the Protocol on administrative cooperation an d 
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:  
(a) “agricultural good” means a product listed in Annex 1 to the Agreement on Agriculture;  
(b) “cus toms authority” means:  
(i) 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 to apply and enforce customs 
legislation, and  
(ii) with respect to the United Kingdom, Her Majesty’s Revenue and Customs and any 
other authority responsible for customs matters.  
(c) “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:  
(i) a charge equivalent to an internal tax imposed consistently with Article GOODS.4 
[National Treatment on Internal Taxation and Regulation] of Title I of Heading One of 
Part Two;  
(ii) 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   
(iii) 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;  
(d) “CPC”  means the Provisional Central Product Classification (Statistical Papers Series M No.77, 
Department of International Economic and Social Affai rs, Statistical Office of the United 
Nations, New York, 1991);  
(e)  “existing” means in effect on the date of entry into force of this Agreement;  
(f) “goods of a Party” means domestic products within the meaning of GATT 1994, and includes 
originating goods of that  Party;  
(g) “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;  
 
294 
 (h) “heading” means the first four digits in the tariff classificat ion number under the Harmonised 
System;  
(i) “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, tru st, partnership, joint venture, sole 
proprietorship or association;  
(j) “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 
(k) “measures o f a Party” means any measures adopted or maintained by:  
(i) central, regional or local governments or authorities; and  
(ii) non-governmental bodies in the exercise of powers delegated by central, regional or 
local governments  or authorities;  
“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;  
(l) “natural person of a Party” m eans72:  
(i) for the European Union, a national of a Member State according to its law;73 and  
(ii) for the United Kingdom, a British citizen;  
(m) “person” means a natural person or a legal person;  
(n) “sanitary or phytosanitary measure” means any measure referred to in para graph 1 of Annex 
A to the SPS Agreement;  
(o) “third country” means a country or territory outside the territorial scope of application of this 
Agreement;  
(p) “Vienna Convention on the Law of Treaties” means the Vienna Convention on the Law of 
Treaties, done at Vienna on 23 May 1969; and  
(q) “WTO” means the World Trade Organization.  
Article OTH.2: WTO Agreements  
For the purposes of this Agreement, the WTO Agreement s are referred to as follows:  
                                                            
71  For greater certainty, the term “measure” includes failures to act.  
72  This does not include natural persons residing in the territory referr ed to in Article FINPROV.1(3) 
[Territorial Scope].  
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 la w of the 
Republic of Latvia, to receive a non -citizen’s passport.  
 
295 
 (a) “Agreement on Agriculture” means the Agreement on Agriculture, contained in Annex 1A to 
the WTO Agreement;  
(b) “Anti -dumping Agreement” means the Agreement on Implementation of Article VI of the 
General Agreement on Tariffs and T rade 1994;  
(c) “GATS” means the General Agreement on Trade in Services, contained in Annex 1B to the 
WTO Agreement;  
(d) “GATT 1994” means the General Agreement on Tariffs and Trade 1994, contained in Annex 1A 
to the WTO Agreement;  
(e) “GPA” means the Agreement on Government Procurement in Annex 4 to the WTO 
Agreement74; 
(f) “Safeguards Agreement” means the Agreement on Safeguards, contained in Annex 1A to the 
WTO Agreement;  
(g) “SCM Agreement” means the Agreement on Subsidies and Countervailing Measures, 
contained in Annex 1A to the WTO Agreement;  
(h) “SPS Agreement” means the Agreement on the Application of Sanitary and Phytosanitary 
Measures, contained in Annex 1A to the WTO Agreement;  
(i) “TBT Agreement” means the Agreement on Technical Barriers to Trade, contained in Annex 1A 
to the WTO Agreement;  
(j) “TRIPS Agreement” means the Agreement on Trade -Related Aspects of Intellectual Property 
Rights, contained in Annex 1C to the WTO Agreement; and  
(k) “WTO Agreement” means the Marrakesh Agreement Establishing the World Trade 
Organization, don e at Marrakesh on 15 April 1994.  
Article OTH.3: 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 OTH.4: 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 i ts obligations under the WTO Agreement.  
                                                            
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.  
 
296 
 Article OTH.4a: 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 Disp ute 
Settlement Body of the WTO as well as in arbitration awards under the Dispute Settlement 
Understanding.  
Article OTH.5: 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 OTH.7: References to laws and other Agreements  
1. Unless otherwise specified, where reference is made in this Part to laws and regulations of a 
Party, those laws and regulations shall be understood to include amendments thereto.  
 
2. Unless otherwise specified, where international agreements are referred to or incorporated 
into this Part, in whole or in part, they shall be understood to include amendments thereto or their 
successor agreements entering into force for both Parties on or after the date of signature of this 
Agreement. If any matter arises rega rding the implementation or application of the provisions of this 
Part as a result of such amendments or successor agreements, the Parties may, on request of either 
Party, consult with each other with a view to finding a mutually satisfactory solution to t his matter, 
as necessary.  
Article OTH.8: Tasks of the Partnership Council in Part Two  
The Partnership Council may:  
 
(a) adopt decisions to amend:  
(i) Chapter two of Title I of Heading one of Part two [Rules of Origin] and its Annexes, in 
accordance with Article ORIG.31 [ Amendment to this Chapter and its Annexes];  
(ii) the arrangements set out in Annexes TBT -[XX] and TBT -[ZZ], in accordance with Article 
TBT.9(8) [Cooperation on market surveillance and non -food product safety and 
compliance ];  
(iii) Appendices A and B, in accordance with Article 2(3) [Product definitions, oenological 
practices and processes] of Annex TBT -5 [TRADE IN WINE];  
(iv) Appendix C, in accordance with Article 3(3) [Certification requirements on import in 
the respective territories of the Parties] of Annex  TBT-5 [TRADE IN WINE];  
(v) Appendices A, B, C and D, in accordance with Article 1 [Objective and scope] of Annex 
TBT-4 [ORGANIC PRODUCTS];  
(vi) Appendices 1 to 3, in accordance with Article 1 [Definitions] and Article 2 [Product 
scope of Annex TBT -2 [MEDICINAL PRO DUCTS];  
(vii) 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 
 
297 
 Added Tax and on mutual assistance for the recovery of claims relating to taxes a nd 
duties, and the list of goods set out in Article CUSTMS.16(2) [Temporary admission], in 
accordance with Article CUSTMS.21 [Amendments];  
(viii) the relevant Sub -section under Section B of ANNEX.PPROC -1, in accordance with 
Article PPROC.18 [Amendment of Section B of ANNEX.PPROC -1]; 
(ix) Annex ENER -1 [LISTS OF ENERGY GOODS, HYDROCARBONS AND RAW MATERIALS], 
Annex ENER -2 [ENERGY AND ENVIRONMENTAL SUBSIDIES] and Annex ENER -3 [NON -
APPLICATION OF THIRD -PARTY ACCESS AND OWNERSHIP UNBUNDLING TO 
INFRASTRUCTURE], in accordance with Article ENER.31 [Effective implementation and 
amendments];  
(x) Paragraph 4 of Article LPFS.3.2 [Scope and exceptions] in accordance with that 
paragraph, third sentence of paragraph 2 of Article LPFS.3.3 [Services of public 
economic interest] in accordanc e with the fourth sentence of that paragraph, 
paragraph 3 of Article LPFS.3.3 [Services of public economic interest] in accordance 
with that paragraph, Article LPFS.3.5 [Prohibited subsidies and subsidies subject to 
conditions] in accordance with paragraph  1 of that Article and Article LPFS.3.11 
[Recovery] in accordance with paragraph 7 of that article, of Chapter 3 [Subsidy 
control];  
(xi) Article FISH.10 [Bailiwick of Guernsey, Bailiwick of Jersey and the Isle of Man], Article 
FISH.11 [Notification periods rela ting to the importation and direct landing of fisheries 
products] and any other provision of Heading Five [Fisheries], in accordance with 
Article FISH.10(4) [Bailiwick of Guernsey, Bailiwick of Jersey and the Isle of Man];  
(xii) Annexes FISH.1, FISH.2 and FISH.3 , in accordance with Article FISH.16(3) [Specialised 
Committee on Fisheries];  
(xiii) any other  provision, protocol, appendix or annex, for which the possibility of such 
decision is explicitly foreseen in Part Two of this Agreement . 
(b) adopt decisions to issue interp retations of the provisions of Part Two of this Agreement.  
Article OTH.9: Geographical application  
1.  The provisions of this Agreement concerning the tariff treatment of goods, including rules of 
origin and the temporary suspension of this treatment shal l also apply, with respect to the Union, to 
those areas of the customs territory of the Union, as defined by Article 4 of Regulation (EU) No 
952/2013 of the European Parliament and of the Council75, which are not covered by Article 
FINPROV.1(a) [Territorial  scope] of Part Seven [Final provisions].   
2.  Without prejudice to Article FINPROV.1(2), (3) and (4) [Territorial Scope], the rights and 
obligations of the Parties under this Part shall also apply with regard to the areas beyond each 
Party's territorial s ea, including the sea -bed and subsoil thereof, over which that Party exercises 
sovereign rights or jurisdiction in accordance with international law including the United Nations 
                                                            
75 Regulatio n (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).  
 
298 
 Convention on the Law of the Sea, done at Montego Bay on 10 December 1982 and its laws and 
regulations which are consistent with international law.76 
3.   Subject to the exceptions contained in paragraph 4,  Chapters 1 [NTMA], 2 [Rules of Origin] 
and 5 [Customs and trade facilitation] of Title IV [Trade in goods] and the Protocols and  Annexes to 
those Chapters shall also apply, with respect to the United Kingdom,  to the territories  referred to in 
Article  FINPROV.1(2) [Territorial scope]. For that purpose, the territories referred to in Article 
FINPROV.1(2) [Territorial scope]  shall be  considered as being part of the customs territory of the 
United Kingdom. The customs authorities of the territories referred to in Article FINPROV.1(2) 
[Territorial scope]  shall be responsible for the application and implementation of these 
Chapters,  and t he Protocols and Annexes to these Chapters,  in their respective  territories. 
References to "customs authority" in those provisions shall be read accordingly. However, requests 
and communications made under  these Chapters, and the Protocols and Annexes to t hese Chapters, 
shall be administered by the customs authority of the United Kingdom . 
4.  Article CUSTMS.9 [Authorised Economic Operators] of Chapter 5 [Customs and trade 
facilitation] of Title IV [Trade in goods] of Heading One of Part Two, ANNEX  CUSTMS -1 [Authorised 
Economic Operators] 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 shall not apply to the Bailiwick of Jersey o r the Bailiwick of Guernsey.  
5.  Chapters 3 [SPS] and 4 [TBT] of Title IV [Trade in goods] of Heading One of Part Two and the 
Annexes to those Chapters shall also apply, with respect to the United Kingdom, to  the 
territories  referred to in Article FINPROV.1(2) [Territorial scope]. The authorities of the territories 
referred to in Article FINPROV.1(2) [Territorial scope] shall be responsible for the application and 
implementation of these Chapters, and the Annexes to these Chapters, in their respecti ve territories 
and relevant references shall be read accordingly. However, requests and communications made 
under these Chapters, and the Annexes to these Chapters, shall be administered by the authorities 
of the United Kingdom.  
6.  Without prejudice to Ar ticle FINPROV.8 [Termination] and Article OTH.10 [Termination of 
Part Two] and unless agreed otherwise between the Parties, paragraphs 3 to 5 of this Article shall 
remain in force until the earlier of:  
(a) expiry of a period of three years following written no tice of termination to the other Party; or  
(b) the date on which  Article FISH.10 [Access to waters of the Bailiwick of Guernsey, the Bailiwick 
of Jersey and the Isle of Man], Article FISH.11 [Notification periods relating to the importation 
and direct landing of fisheries products] and any other provision of Heading Fi ve [Fisheries] in 
so far as it relates to the arrangements provided for in those Articles cease to be in force.  
7.  For the purposes of point (a) of paragraph 6, 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 
paragraphs 3 to 5 of this Article shall continue in force for those territories in respect of which a 
notice of termination has not been given.  
                                                            
76 For greater certainty, for the European Union, the areas beyond each Party's territorial sea s hall be 
understood as the respective areas of the Member States of the European Union.  
 
 
299 
 8. For the purposes of point (b) of paragraph 6, if Article FISH.10 [Access to waters of the 
Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man], Article FISH.11 [Notification 
periods relating to the importation and direct landing of fisheries products] and any other provision 
of Heading Five [Fisheries] in  so far as it relates to the arrangements provided for in those Articles 
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, paragraphs 3 to 5 of this Article shall continu e to be in force for those 
territories in respect of which Article FISH.10 [Access to waters of the Bailiwick of Guernsey, the 
Bailiwick of Jersey and the Isle of Man], Article FISH.11 [Notification periods relating to the 
importation and direct landing of  fisheries products] and any other provision of Heading Five 
[Fisheries] in so far as it relates to the arrangements provided for in those Articles remain in force.  
Article OTH.10: Termination of Part Two  
Without prejudice to Article FINPROV.8 [Termination ], 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 [Social 
secur ity coordination and visas for short -term travels] and the Protocol on Social Security 
Coordination shall not be terminated pursuant to this Article.  
  
 
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 PART THREE: LAW ENFORCEMENT AND JUDICIAL COOPERATION IN CRIMINAL MATTERS  
TITLE I : GENERAL PROVISIONS  
Article LAW.GEN.1: Objective  
1. The objective of this Part is to provide for law enforcement and judicial cooperation 
between the Member States and Union institutions, bodies, offices and agencies, on the one side, 
and the United Kingdom, on the other side, in r elation to the prevention, investigation, detection 
and prosecution of criminal offences and the prevention of and fight against money laundering and 
financing of terrorism.  
2. This Part only applies to law enforcement and judicial cooperation in criminal matters taking 
place exclusively between the United Kingdom, on the one side, and the Union and the Member 
States, on the other side. It does not apply to situations arising between the Member States, or 
between Member States and Union institutions, bodies , offices and agencies, nor does it apply to 
the activities of authorities with responsibilities for safeguarding national security when acting in 
that field.  
Article LAW.GEN.2: Definitions  
For the purposes of this Part, the following definitions apply:  
(a) “third country” means a country other than a State;  
(b) “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 p rocessed for the purpose of uniquely identifying a natural person, data 
concerning health or data concerning a natural person's sex life or sexual orientation;  
(c) “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;  
(d) “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;  
(e) “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;  
(f) “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;  
 
301 
 (g) “filing system” means any structured set of personal data which are accessible according to 
specific criteria , whether centralised, dece ntralised or dispersed on a functional or 
geographical basis;  
(h) “Specialised Committee on Law Enforcement and Judicial Cooperation” means the Committee 
by that name established by Article INST.2 [Committees].  
Article LAW.GEN.3: Protection of human rights and  fundamental freedoms  
1. The cooperation provided for in this Part is based on the Parties’ and Member States’ long -
standing respect for democracy, the rule of law and the protection of fundamental rights and 
freedoms of individuals, including as set out in t he Universal Declaration of Human Rights and in the 
European Convention on Human Rights, and on the importance of giving effect to the rights and 
freedoms in that Convention domestically.  
2. Nothing in this Part modifies the obligation to respect fundamental rights and legal 
principles as reflected, in particular, in the European Convention on Human Rights and, in the case of 
the Union and its Member States, in the Charter of Fundamental Rights of the European Union.  
Article LAW.GEN.4: Protection of personal d ata 
8. The cooperation provided for in this Part is based on the Parties’ long -standing commitment 
to ensuring a high level of protection of personal data.  
9. To reflect that high level of protection, the Parties shall ensure that personal data processed 
under t his Part is subject to effective safeguards in the Parties’ respective data protection regimes, 
including that:  
(a) personal data is processed lawfully and fairly in compliance with the principles of data 
minimisation, purpose limitation, accuracy and storage limitation;  
(b) 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;  
(c) 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;  
(d) data subjects are granted enforceable  rights of access, rectification and erasure, subject to 
possible restricti ons provided for by law which constitute necessary and proportionate 
measures in a democratic society to protect important objectives of public interest;  
(e) in the event of a data breach creating  a risk to the rights and freedoms of natural persons, the 
compe tent 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;  
(f) onward transfers  to a third country are allowed only subject to conditions and safeguards 
appropriate to the transfer e nsuring that the level of protection is not undermined;  
 
302 
 (g) the supervision of compliance with data protection safeguards and the enforcement of data 
protection  safeguards are ensured by independent authorities; and  
(h) data subjects are  granted enforceable rights  to effective administrative and judicial redress in 
the event that data protection safeguards have been violated.  
10. The United Kingdom, on the one side, and the Union, also on behalf of any of its Member 
States, on the other side, shall notify the Specialised Committee on Law Enforcement and Judicial 
Cooperation of the supervisory authorities responsible for overseeing the implementation of, and 
ensuring compliance with, data protection rules applicable to cooperation under this Part. The 
supervisor y authorities shall cooperate to ensure compliance with this Part.  
11. The provisions on the protection of personal data set out in this Part apply to the processing 
of personal data wholly or partly by automated means, and to the processing other than by 
auto mated means of personal data which form part of a filing system or are intended to form part of 
a filing system.  
12. This Article is without prejudice to the application of any specific provisions in this Part 
relating to the processing of personal data.  
Article LAW.GEN.5: Scope of cooperation where a Member State no longer participates in analogous 
measures under Union law  
1. This Article applies if a Member State ceases to participate in, or enjoy rights under, 
provisions of Union law relating to law enforc ement and judicial cooperation in criminal matters 
analogous to any of the relevant provisions of this Part.  
2. The United Kingdom may notify the Union in writing of its intention to cease to operate the 
relevant provisions of this Part in relation to that Me mber State.  
3. A notification given under paragraph 2 takes effect on the date specified therein, which shall 
be no earlier than the date on which the Member State ceases to participate in, or to enjoy rights 
under, the provisions of Union law referred to in paragraph 1.  
4. If the United Kingdom gives notification under this Article of its intention to cease to apply 
the relevant provisions of this Part, the Specialised Committee on Law Enforcement and Judicial 
Cooperation shall meet to decide what measures are n eeded to ensure that any cooperation 
initiated under this Part that is affected by the cessation is concluded in an appropriate manner. In 
any event, with regard to all personal data obtained through cooperation under the relevant 
provisions of this Part b efore they cease to be applied, the Parties shall ensure that the level of 
protection under which the personal data were transferred is maintained after the cessation takes 
effect.  
5. The Union shall notify the United Kingdom in writing, through diplomatic ch annels, of the 
date on which the Member State is to resume its participation in, or the enjoyment of rights under, 
the provisions of Union law in question. The application of the relevant provisions of this Part shall 
be reinstated on that date or, if late r, on the first day of the month following the day on which that 
notification has been given.  
6. To facilitate the application of this Article, the Union shall inform the United Kingdom when 
a Member State ceases to participate in, or enjoy rights under, prov isions of Union law relating to 
 
303 
 law enforcement and judicial cooperation in criminal matters analogous to the relevant provisions of 
this Part.  
TITLE  II: EXCHANGES OF DN A, FINGERPRINTS AND VEHICLE REGISTRATION  DATA  
Article LAW.PRUM.5: Objective  
The object ive 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 c ertain domestic 
vehicle registration data.  
Article LAW.PRUM.6: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “competent law enforcement authority” means a domestic police, customs or other authority 
that is authorised by dome stic 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 com petent law enforcement authorities for the purposes of this Title ; 
(b) “search” and “comparison”, as referred to in Articles LAW.PRUM.8 [Automated searching of 
DNA profiles], LAW.PRUM.9 [Automated comparison of DNA profiles], LAW.PRUM.12 
[Automated searching o f dactyloscopic data], and LAW.PRUM.17 [Implementing measures] 
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 dactylosc opic data stored in the databases of one, several, or all of the other 
States;  
(c) “automated searching”, as referred to in Article LAW.PRUM.15 [Automated searching of 
vehicle registration data], means an online access procedure for consulting the databases of  
one, several, or all of the other States;  
(d) “non -coding part of DNA” means chromosome regions not genetically expressed, i.e. not 
known to provide for any functional properties of an organism;  
(e) “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);  
(f) “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 p erson 
(unidentified DNA profiles) shall be recognisable as such;  
(g) “reference DNA profile” means the DNA profile of an identified  person;  
(h) “unidentified DNA profile” means the DNA profile obtained from traces collected during the 
investigation of criminal off ences and belonging to a person not yet identified;  
 
304 
 (i) “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;  
(j) “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;  
(k) “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 recogni sable as such;  
(l) “vehicle registration data” means  the data -set as specified in Chapter 3 of ANNEX LAW -1; 
(m) “individual case”, as referred to in Article LAW.PRUM.8(1) [Automated searching of DNA 
profiles], second sentence, Article LAW.PRUM.12(1) [Automated searching of dactyloscopic 
data], second sentence and Article LAW.PRUM.15(1) [Automated searching of vehicl e 
registration data], 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;  
(n) “laboratory activi ty” 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 exchang ing 
forensic evidence;  
(o) “results of laboratory activities” means any analytical outputs and directly associated 
interpretation;  
(p) “forensic service provider” means any organisation, public or private, that carries out 
laboratory activities at the request of competent law enforcement or judicial authorities;  
(q) “domestic  accreditation body” means the sole body in a State that performs accreditation 
with authority derived from the State.  
Article LAW.PRUM.7: Establishment of domestic DNA analysis files  
1. The States s hall open and keep domestic DNA analysis files for the investigation of criminal 
offences.  
2. For the purpose of implementing this Title, the States shall ensure the availability of DNA 
reference data from their domestic DNA analysis files as referred to in p aragraph  1. 
3. The States shall declare the domestic DNA analysis files to which Articles LAW.PRUM.7 
[Establishment of domestic DNA analysis files] to LAW.PRUM.10 [Collection of cellular material and 
supply of DNA profiles]  and Articles LAW.PRUM.13 [National contact points] , LAW.PRUM.14 [Supply 
of further personal data and other information]  and LAW.PRUM. 17 [Implementing measures] apply 
and the conditions for automated searching as referred to in Article LAW.PRUM.8(1) [Automated 
searching of DNA profiles] . 
 
305 
 Article LAW.PRUM.8: Automated searching of DNA profiles  
1. For the investigation of criminal offences, States shall allow other States' national contact 
points as referred to in Article LAW.PRUM.13 [National contact points] access to the DNA reference 
data in t heir DNA analysis files, with the power to conduct automated searches by comparing DNA 
profiles. Searches may be conducted only in individual cases and in compliance with the requesting 
State's domestic law.  
2. If an automated  search shows that a DNA profile supplied matches DNA profiles entered in 
the requested State's searched file, the requested State shall send to the national contact point of 
the requesting State in an automated way the DNA reference data with which a match has been 
found. If no match can  be found, this shall be notified automatically.  
Article LAW.PRUM.9: Automated comparison of DNA profiles  
1. For the investigation of criminal offences, the States, via their national contact points, shall 
compare the DNA profiles of their unidentified DNA pr ofiles with all DNA profiles from other 
domestic DNA analysis files' reference data in accordance with mutually accepted practical 
arrangements between the States concerned. DNA profiles shall be supplied and compared in 
automated form. Unidentified DNA pr ofiles shall be supplied for comparison only where provided 
for under the requesting State's domestic law.  
2. If a State, as a result  of the comparison referred to in paragraph 1, finds that any DNA 
profiles supplied by another State match any of those in its  DNA analysis files, it shall supply that 
other State's national contact point with the DNA reference data with which a match has been found 
without delay.  
Article LAW.PRUM.10: 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 ma terial from that individual and by supplying 
the DNA profile obtained to the requesting State, if:  
(a) the requesting State specifies the purpose for which it is required;  
(b) 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  
(c) under th e requested  State's law, the requirements for collecting and examining cellular 
material and for supplying the DNA profile obtained are fulfilled.  
Article LAW.PRUM.11: 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.  
 
306 
 Article LAW.PRUM.12: Automated searching of dactyloscopic da ta 
1. For the prevention and investigation of criminal offences, States shall allow other States' 
national contact points , as referred to in Article LAW.PRUM.13 [National contact points], access to 
the reference data in the automated fingerprint identificatio n systems which they have established 
for that purpose, with the power to conduct automated searches by comparing dactyloscopic data. 
Searches may be conducted only in individual cases and in compliance with the requesting State's 
domestic law.  
2. The confirm ation of a match of dactyloscopic data with reference data held by the 
requested State shall be carried out by the national contact point of the requesting State by means 
of the automated supply of the reference data required for a clear match.  
Article LA W.PRUM.13: National contact points  
1. For the purposes  of the supply of data as referred to in Articles LAW.PRUM.8 [ Automated 
searching of DNA profiles ], LAW.PRUM.9 [ Automated comparison of DNA profiles ] and 
LAW.PRUM.12 [Automated searching of dactyloscopic d ata], the States shall designate national 
contact points.  
2. In respect of the Member States, national contact points designated for an analogous 
exchange of data within the Union shall be considered as national contact points for the purpose of 
this Title.  
3. The powers  of the national contact points shall be governed by the applicable domestic law.  
Article LAW.PRUM.14: Supply of further personal data and other information  
If the procedure referred to in Articles LAW.PRUM.8 [ Automated searching of DNA profiles ], 
LAW.PRUM.9 [ Automated comparison of DNA profiles ] and LAW.PRUM.12 [ Automated searching of 
dactyloscopic data ] show a match between DNA profiles or dactyloscopic data, the supply of further 
available personal data and other information relating t o the reference data shall be governed by 
the domestic law, including the legal assistance rules, of the requested State, without prejudice to 
Article LAW.PRUM.17(1) [Implementing measures].  
Article LAW.PRUM.15: Automated searching of vehicle registration  data  
1. 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 Sta tes' 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:   
(a) data relating to owners  or operators; and  
(b) data relating to vehicles.   
2. Searches may be conducted  under paragraph 1 only with a full chassis number or a full 
registration number and in compliance with the requesting State's domestic law.  
 
307 
 3. For the purposes of the supply of data as referred to in paragraph 1, the States s hall 
designate a national contact point for incoming requests from other States. The powers of the 
national contact points shall be governed by the applicable domestic law.  
Article LAW.PRUM.16: Accreditation of forensic service providers carrying out labo ratory activities  
1. The States shall ensure that their forensic service providers carrying out laboratory activities 
are accredited by a domestic accreditation body as complying with EN ISO/IEC 17025.  
2. Each  State shall ensure that the results of accredited forensic service providers carrying out 
laboratory activities in other States are recognised by its authorities responsible for the prevention, 
detection, and investigation of criminal offences as being eq ually reliable as the results of domestic 
forensic service providers carrying out laboratory activities accredited to EN ISO/IEC 17025.  
3. The competent law enforcement authorities of the United Kingdom shall not carry out 
searches and automated comparison in  accordance with Articles LAW.PRUM.8 [Automated 
searching of DNA profiles ], LAW.PRUM.9 [Automated comparison of DNA profiles] and 
LAW.PRUM.12 [Automated searching of dactyloscopic data ] before the United Kingdom has 
implemented and applied the measures ref erred to in paragraph 1 of this Article.  
4. Paragraphs 1 and 2 do not affect domestic rules on the judicial assessment of evidence.  
5. The United Kingdom shall communicate to the Specialised Committee on Law Enforcement 
and Judicial Cooperation the text of the m ain provisions adopted to implement and apply the 
provisions of this Article.  
Article LAW.PRUM.17: Implementing measures  
1. For the purposes of this Title, States shall make all categories of data available for searching 
and comparison to the competent law e nforcement authorities of other States under conditions 
equal to those under which they are available for searching and comparison by domestic competent 
law enforcement authorities. States shall supply further available personal data and other 
information relating to the reference data as referred to in Article LAW.PRUM.14 [Supply of further 
personal data and other information] to the competent law enforcement authorities of other States 
for the purposes of this Title under conditions equal to those under w hich they would be supplied to 
domestic authorities.  
2. For the purpose of implementing the procedures referred to in Articles LAW.PRUM.8 
[Automated searching of DNA profiles], LAW.PRUM.9 [Automated comparison of DNA profiles], 
LAW.PRUM.12 [Automated searchin g of dactyloscopic data] and LAW.PRUM.15 [Automated 
searching of vehicle registration data], technical and procedural specifications are laid down in 
ANNEX LAW -1. 
3. The declarations made by Member States in accordance with Council Decisions 
2008/615/JHA77 and 2008/616/JHA78 shall also apply in their relations with the United Kingdom.  
                                                            
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).  
 
308 
 Article LAW.PRUM.18: Ex ante evaluation  
1. In order to verify whether the United Kingdom has fulfilled the conditions set out in Article 
LAW.PRUM.17 [Implementing measures] and ANNEX LAW -1, an evaluation visit and a pilot run, to 
the extent required by ANNEX LAW -1, shall be carried out in respect of, and under conditions and 
arrangements acceptable to, the United Kingdom. In any event, a pilot run shall be carried out in 
relation  to the searching of data under Article LAW.PRUM.15 [Automated searching of vehicle 
registration data].  
2. On the basis of an overall evaluation report on the evaluation visit and, where applicable, 
the pilot run, as referred to in paragraph 1, the Union sha ll determine the date or dates from which 
personal data may be supplied by Member States to the United Kingdom pursuant to this Title.  
3. Pending the outcome of the evaluation referred to in paragraph 1, from the date of the 
entry into force of this Agreement , Member States may supply to the United Kingdom personal data 
as referred to in Articles LAW.PRUM.8 [Automated searching of DNA profiles], LAW.PRUM.9 
[Automated comparison of DNA profiles], LAW.PRUM.12 [Automated searching of dactyloscopic 
data] and LAW.P RUM.14 [Supply of further personal data and other information] until the date or 
dates determined by the Union in accordance with paragraph 2 of this Article, but not longer than 
nine months after the entry into force of this Agreement. The Specialised Com mittee on Law 
Enforcement and Judicial Cooperation may extend this period once by a maximum of nine months .  
Article LAW.PRUM.19: Suspension and disapplication  
1. In the event that  the Union considers it necessary to amend this Title because Union law 
relatin g to the subject matter governed by this Title is amended substantially, or is in the process of 
being amended substantially, it may notify the United Kingdom accordingly with a view to agreeing 
on a formal amendment of this Agreement in relation to this T itle. Following such notification, the 
Parties shall engage in consultations.  
2. Where within nine mo nths of that notification the Parties have not reached an agreement 
amending this Title, the Union may decide to suspend the application of this Title or any provisions 
of this Title for a period of up to nine months. Before the end of that period, the Parties may agree 
on an extension of the suspension for an additional period of up to nine months. If by the end of the 
suspension period the Parties have not re ached an agreement amending this Title, the suspended 
provisions shall cease to apply on the first day of the month following the expiry of the suspension 
period, unless the Union informs the United Kingdom that it no longer seeks any amendment to this 
Title. In that case, the suspended provisions of this Title shall be reinstated.  
3. If any of the provisions of this Title are suspended under this Article, the Specialised 
Committee on Law Enforcement and Judicial Cooperation shall meet to decide what steps are  
needed to ensure that any cooperation initiated under this Title and affected by the suspension is 
concluded in an appropriate manner. In any event, with regard to all personal data obtained through 
cooperation under this Title before the provisions conce rned by the suspension provisionally cease 
to apply, the Parties shall ensure that the level of protection under which the personal data were 
transferred is maintained after the suspension takes effect.  
                                                                                                                                                                                         
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).  
 
309 
 TITLE III: TRANSFER AND PROCESSING OF PA SSENGER NAME  RECORD DATA  
Article LAW.PNR.18: Scope  
1. This Title lays down rules under which passenger name record data may be transferred to, 
processed and used by the United Kingdom competent authority for flights between the Union and 
the United Kingdom, and establish es specific safeguards in that regard.  
2. This Title applies to air carriers operating passenger flights between the Union and the 
United Kingdom.  
3. This Title also applies to air carriers incorporated, or storing data, in the Union and operating 
passenger flights to or from the United Kingdom.  
4. This Title also provides for police and judicial cooperation in criminal matters between the 
United Kingdom and the Union in respect of PNR data.  
Article LAW.PNR.19: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “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;  
(b) “passe nger name record” (“PNR”) me ans 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 LAW -2; 
(c) “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 facil ity 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 LAW.PNR.22 [Police and judicial Cooperation];  
(d) “Passenge r Information  Units” (“PIUs”) means the Units established or designated by Member 
States that are responsible for receiving and processing PNR data;  
(e) “terrorism ” means  any offence listed in ANNEX LAW -7; 
(f) “serious crime” means  any offence punishable by a cust odial sentence or detention order for 
a maximum period of at least three years under the  domestic law of the United Kingdom.  
Article LAW.PNR.20: Purposes of the use of PNR data  
1. The United Kingdom shall ensure that PNR data received pursuant to this Title i s processed 
strictly for the purposes of preventing, detecting, investigating or prosecuting terrorism or serious 
 
310 
 crime and for the purposes of overseeing the processing of PNR data within the terms set out in this 
Agreement.  
2.  In exceptional cases, the Uni ted Kingdom competent authority may process PNR data where 
necessary to protect the vital interests of any natural person, such as:  
(a) a risk of death or serious injury; or  
(b) a significant pu blic health risk, in particular as identified under internationally re cognised 
standards.  
3. The United Kingdom competent authority may also process PNR data on a case -by-case basis 
where the disclosure of relevant PNR data is compelled by a United Kingdom court or administrative 
tribunal in a proceeding directly related to any  of the purposes referred to in paragraph 1.  
Article LAW.PNR.21: Ensuring PNR data is provided  
1. The Union shall ensure that air carriers are not prevented from transferring PNR data to the 
United Kingdom competent authority pursuant to this Title.  
2. The Union  shall ensure that air carriers may transfer PNR data to the United Kingdom 
competent authority th rough authorised agents, who act on behalf of and under the responsibility of 
an air carrier, pursuant to this Title.  
3. The United Kingdom shall not require an air carrier to provide elements of PNR data which 
are not already collected or held by the air carrier for reservation purposes.  
4. The United Kingdom shall delete any data transferred to it by an air carrier pursuant to this 
Title upon receipt of that data, if that data element is not listed in ANNEX LAW -2. 
Article LAW.PNR.22: Police and judicial cooperation  
1. The United Kingdom competent  authority shall share with Europol or Eurojust, within the 
scope of their respective mandates, or with the PIUs of the Member States all relevant and 
appropriate analytical information containing PNR data as soon as possible in specific cases where 
necess ary to prevent, detect, investigate, or prosecute terrorism or serious crime.  
2. At the request of Europol or Eurojust, within the scope of their respective mandates, or of 
the PIU of a Member State, the United Kingdom competent authority  shall share PNR data, the 
results of processing those data, or analytical information containing PNR data, in specific cases 
where necessary to prevent, detect, investigate, or prosecute  terrorism or serious crime.  
3. The PIUs of the Member States shall shar e with the United Kingdom competent authority  all 
relevant and appropriate analytical information containing PNR data as soon as possible in specific 
cases where necessary to prevent, detect, investigate, or prosecute terrorism or serious crime.  
4. At the req uest of the United Kingdom competent authority , the PIUs of the Member States 
shall share PNR data, the results of processing those data, or analytical information containing PNR 
data, in specific cases where necessary to prevent, detect, investigate, or p rosecute terrorism or 
serious crime.  
 
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 5. The Parties  shall ensure that the information referred to in paragraphs 1 to 4 is shared in 
accordance with agreements and arrangements on law enforcement or information sharing 
between the United Kingdom and Europol, E urojust, or the relevant Member State. In particular, the 
exchange of information with Europol under this Article shall take place through the secure 
communication line established for the exchange of information through Europol.  
6. The United Kingdom compete nt authority and the PIUs of the Member States shall ensure 
that only the minimum amount of PNR data necessary is shared under paragraphs 1 to 4.  
Article LAW.PNR.23: Non -discrimination  
The United Kingdom shall ensure that the safeguards applicable to the p rocessing of PNR data apply 
to all natural persons on an equal basis without unlawful discrimination.  
Article LAW.PNR.24: 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 LAW.PNR.25: Data security and integrity  
1. The United Kingdom shall implement regulatory, procedural or technical measures to 
protect PNR data against accidental, unlawful or unauthorised access, processing or loss.  
2. The United Kingdom shall ensure compliance verification and the protection, security, 
confidentiality, and integrity of the data. In that regard, the United Kingdom shall:  
(a) apply encryption, authorisation, and documentation procedures to the PNR data;  
(b) limit access to PNR data to authorised officials;  
(c) hold PNR data in a secure physical enviro nment that is protected with access controls; and  
(d) establish  a mechanism that ensures that PNR data queries are conducted in a manner 
consistent with Article LAW.PNR.20 [Purposes of the use of PNR data].  
3. If a natural person’s PNR data is accessed or disclos ed without authorisation, the United 
Kingdom shall take measures to notify that natural person, to mitigate the risk of harm, and to take 
remedial action.  
4. The United Kingdom competent authority  shall promptly inform the Specialised Committee 
on Law Enforce ment and Judicial Cooperation of any significant incident of accidental, unlawful or 
unauthorised access, processing or loss of PNR data.  
5. The United Kingdom shall ensure that any breach of data security, in particular any breach 
leading to accidental or un lawful destruction or accidental loss, alteration, unauthorised disclosure 
or access, or any unlawful forms of processing, are subject to effective and dissuasive corrective 
measures which may include sanctions.  
 
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 Article LAW.PNR.26: Transparency and notific ation of passengers  
1. The United Kingdom competent authority shall make  the following available on its website:  
(a) a list of the legislation authorising the collection of PNR data;  
(b) the purposes for the collection of PNR data;  
(c) the manner of protecting PNR data;  
(d) the manner and extent to which PNR data may be disclosed;  
(e) information regarding the rights of access, correction, notation and redress; and  
(f) contact infor mation for inquiries.  
2. The Parties shall work with interested third parties, such as the aviation and ai r travel 
industry, to promote transparency at the time of booking regarding the purpose of the collection, 
processing and use of PNR data, and regarding how to request access, correction and redress. Air 
carriers shall provide passengers with clear and mea ningful information in relation to the transfer of 
PNR data under this Title, including the details of the recipient authority, the purpose of the transfer 
and the right to request from the recipient authority, access to and correction of the personal data  
of the passenger that has been transferred.  
3. Where PNR data retained in accordance with Article LAW.PNR.28 [ Retention of PNR data ] 
has been used subject to the conditions set out in Article LAW.PNR.29 [ Conditions for the use of PNR 
data ] or has been disclo sed in accordance with Article LAW.PNR.31 [ Disclosure within the United 
Kingdom ] or Article LAW.PNR.32 [ Disclosure outside the United Kingdom ], the United Kingdom shall 
notify the passengers concerned in writing, individually and within a reasonable time o nce such 
notification is no longer liable to jeopardise the investigations by the public authorities concerned to 
the extent that the relevant contact information of the passengers is available or can be retrieved, 
taking into account reasonable efforts. T he notification shall include information on how the natural 
person concerned can seek administrative or judicial redress.  
Article LAW.PNR.27: Automated processing of PNR data  
1. The United Kingdom competent authority  shall ensure that any automated processin g of 
PNR data is based on non -discriminatory, specific and reliable pre -established models and criteria to 
enable it  to: 
(a) arrive at results targeting natural persons who might be under a reasonable suspicion of 
involvement or participation in terrorism or s erious crime; or  
(b) in exceptional circumstances, protect the vital interests of any natural person as set out in 
Article LAW.PNR.20(2) [ Purposes of the use of PNR data ]. 
2. The United Kingdom competent authority  shall ensure that the databases against which PNR  
data are compared are reliable, up to date and limited to those databases it uses in relation to the 
purposes set out in Article LAW.PNR.20 [ Purposes of the use of PNR data ]. 
3. The United Kingdom shall not take any decision adversely affecting a natural per son in a 
significant manner solely on the basis of automated processing of PNR data.  
 
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 Article LAW.PNR.28: Retention of PNR data  
1. The United Kingdom shall not retain PNR data for more than five years from the date that it 
receives the PNR data.  
2. 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 : 
(a) names, including the names of other passengers on the PNR and number of passengers on the 
PNR travelling together;  
(b) addresses, telephone numbers and electronic contact information of the passenger, the 
persons who made the flight reservation for th e passenger, persons through whom the air 
passenger may be contacted and persons who are to be informed in the event of an 
emergency;  
(c) all available payment and billing information, to the extent that it contains any information 
which could serve to identif y a natural person;  
(d) frequent flyer information;  
(e) 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  
(f) any advance passenger information  (API) data that have been collected.  
3. The United Kingdom competent authority may unmask PNR data only if it is necessary to 
carry out investigations for the purposes set out in Article LAW.PNR.20 [Purposes of th e use of PNR 
data]. Such unmasked PNR data shall be accessible only to a limited number of specifically 
authorised officials.  
4. Notwithstanding paragraph 1, the United Kingdom shall delete the PNR data of passengers 
after their departure from the country un less a risk assessment indicates the need to retain such 
PNR data. In order to establish that need, the United Kingdom shall identify objective evidence from 
which it may be inferred that certain passengers present the existence of a risk in terms of the f ight 
against terrorism and serious crime.  
5. For the purposes of paragraph 4, unless information is available on the exact date of 
departure, the date of departure should be considered as the last day of the period of maximum 
lawful stay in the United Kingdom  of the passenger concerned.  
6. The use of the data retained under this Article is subject to the conditions laid down in 
Article LAW.PNR.29 [ Conditions for the use of PNR ]. 
7. An independent administrative body in the United Kingdom shall assess on a yearly bas is the 
approach applied by the United Kingdom competent authority as regards the need to retain PNR 
data pursuant to paragraph 4.  
 
314 
 8. Notwithstanding paragraphs 1, 2 and 4, the United Kingdom may retain PNR data required 
for any specific action, review, invest igation, enforcement action, judicial proceeding, prosecution, 
or enforcement of penalties, until concluded.  
9. The United Kingdom shall delete the PNR data at the end of the PNR data retention period.  
10. Paragraph 11 applies due to the special circumstances tha t prevent the United Kingdom 
from making the technical adjustments necessary to transform the PNR processing systems which 
the United Kingdom operated whilst Union law applied to it into systems which would enable PNR 
data to be deleted in accordance with paragraph 4.  
11. 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:  
(a) 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;  
(b) the request to use the PNR data shall be refused in cases where the data is to be deleted in 
accor dance 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;  
(c) 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  
(d) the following shall be documented  in accordance with Article LAW.PNR.30 [Logging and 
documenting of PNR data processing], and such documentation sha ll be made available to the 
independent administrative body referred to in paragraph 7 of this Article:  
(i) any requests to use the PNR data;  
(ii) the date and time of the access to the PNR data for the purpose of assessing whether 
deletion of the PNR data was requ ired;  
(iii) 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  
(iv) the date and time  of the deletion of the PNR data in accordance with point (c)  of this 
paragraph.  
12. 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 y ear: 
(a) 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 
 
315 
 Article LAW.GEN.4(3) [Protection of personal data] as to whether t he safeguards provided for 
in paragraph 11 of this Article have been effectively applied; and  
(b) the assessment of the United Kingdom o f 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.  
13. The Specialised Committee on Law Enforcement and Judicial Cooperation shall me et within 
one year of the entry into force of this Agreement to consider the report and assessment provided 
under paragraph 12. Where the special circumstances referred to in paragraph 10 persist, the 
Partnership Council shall extend the interim period ref erred to in paragraph 11 for one year. The 
Partnership Council shall extend the interim period for one further final year, under the same 
conditions and following the same procedure as for the first extension where, in addition, 
substantial progress has be en made, although it has not yet been possible to transform the United 
Kingdom PNR processing systems into systems which would enable PNR data to be deleted in 
accordance with paragraph 4.  
14. If the United Kingdom considers that a refusal by the Partnership C ouncil to grant either of 
those extensions was not justified , it may suspend this Title with one month’s notice.  
15. On the third anniversary of the date of entry into force of this Agreement, paragraphs 10 to 
14 shall cease to apply.  
Article LAW.PNR.29: Condi tions for the use of PNR data  
1. The United Kingdom competent authority may use PNR data retained in accordance with 
Article LAW.PNR.28 [ Retention of PNR data ] for purposes other than security and border control 
checks, including any disclosure under Article LAW.PNR.31 [ Disclosure within the United Kingdom ] 
and Article LAW.PNR.32 [ Disclosure outside the United Kingdom ], only where new circumstances 
based on objective grounds indicate that the PNR data of one or more passengers might make an 
effective contribut ion to the attainment of the purposes set out in Article LAW.PNR.20 [Purposes of 
the use of PNR data].  
2. 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:  
(a) in cases of validly established urgency; or  
(b) for the purpose of verifying the reliability and currency of the pre -established models and 
criteria on whi ch the automated processing of PNR data is based, or of defining new models 
and criteria for such processing.  
Article LAW.PNR.30: 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:  
(a) self-monitor and to verify the lawfulness of data proce ssing;  
 
316 
 (b) ensure proper data integrity;  
(c) ensure the security of data processing; and  
(d) ensure oversight.  
Article LAW.PNR.31: Disclosure within the United Kingdom  
1. The United Kingdom competent authority shall not disclose PNR data to other public 
authorities in th e United Kingdom unless the following conditions are met:  
(a) the PNR  data is disclosed to public authorities whose functions are directly related to the 
purposes set out in Article LAW.PNR.20 [Purposes of the use of PNR data];  
(b) the PNR data is disclosed only on a case -by-case basis;  
(c) the discl osure is necessary, in the particular circumstances, for the purposes set out in Article 
LAW.PNR.20 [Purposes of the use of PNR data];  
(d) only the minimum amount of PNR data necessary is disclosed;  
(e) the receiving public author ity affords protection equivalent to the safeguards described in this 
Title; and  
(f) 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 wit h the 
conditions laid down in this paragraph.  
2. When transferring analytical information containing PNR data obtained under this Title, the 
safeguards set out in this Article shall apply.  
Article LAW.PNR.32: Disclosure outside the United Kingdom  
1. The United K ingdom 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:  
(a) the PNR data is disclosed to public authorities whose functions are directly re lated to the 
purposes  set out in Article LAW.PNR.20 [Purposes of the use of PNR data];  
(b) the PNR data is disclosed only on a case -by-case basis;  
(c) the PN R data is disclosed only if necessary for the purposes set out in Article LAW.PNR.20 
[Purposes of the use of PNR data];  
(d) only the minimum amount of PNR data necessary is disclosed; and  
(e) 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 Agreemen t 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.  
 
317 
 2. As an exception to point (e) of paragraph 1, the United Kingdom competent authority may 
transfer PNR data to a third country if:  
(a) the head of that authority, or a senior official specifically mandated by the head, considers 
that the disclosure is necessary for t he prevention and investigation of a serious and imminent 
threat to public security or to protect the vital interests of any natural person; and  
(b) the third country pro vides a written assurance, pursuant to an arrangement, agreement or 
otherwise, that the in formation 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.  
3. A transfer in accordance with paragraph 2 of this Article shall be do cumented. Such 
documentation shall be made  available to the supervisory  authority referred to in Article 
LAW.GEN.4(3) [Protection of personal data]  on request, including the date and time of the transfer, 
information about the receiving authority, the just ification for the transfer and the PNR data 
transferred.  
4. If, in accordance with paragraph 1 or 2, the United Kingdom competent authority discloses 
PNR data collected under this Title that originates in a Member State, the United Kingdom 
competent authority  shall notify the authorities of that Member State of the disclosure at the 
earliest appropriate opportunity. The United Kingdom shall make that notification in accordance 
with agreements or arrangements on law enforcement or information sharing between th e United 
Kingdom and that Member State.  
5. When transferring analytical information containing PNR data obtained under this Title, the 
safeguards set out in this Article shall apply.  
Article LAW.PNR.33: 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:  
(a) 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;  
(b) transfer PNR data using a mutually accepted messaging format; and  
(c) transfer PNR data in a secure manner using common protocols as required by the United 
Kingdom competent authority.  
Article LAW.PNR.34: F requency of transfer  
1. The United Kingdom  competent authority shall require air carriers to transfer the PNR data:  
(a) initially from no earlier than 96 hours before the scheduled flight service departure time; and  
(b) a maximum number of five times as spec ified by the United Kingdom competent authority.  
 
318 
 2. The United Kingdom competent authority shall permit air carriers to limit the transfer 
referred to in point (b) of paragraph 1 to updates of the PNR data transferred as referred to in point 
(a) of that paragraph.  
3. The United Kingdom competent authority shall inform air carriers of the specified times for 
the transfers.  
4. In specific cases where there is an indication that additional access to PNR data is necessary 
to respond to a specific threat related to the purposes s et out in Article LAW.PNR.20 [Purposes of 
the use of PNR data], the United Kingdom competent authority may require an air carrier to provide 
PNR data prior to, between or after the scheduled transfers. In exercising that discretion, the United 
Kingdom comp etent authority shall act judiciously and proportionately, and shall use the method of 
transfer described in Article LAW.PNR.33 [Method of transfer].  
Article LAW.PNR.35: Cooperation  
The United Kingdom competent authority and the PIUs of the Member States s hall 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 LAW.PNR.36: 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 LAW.PNR.37: Consultation and review  
1. The Parties shall advise each other of any m easure that is to be enacted that may affect this 
Title.  
2. When carrying out joint reviews of this Title as referred to in Article LAW.OTHER.135(1) 
[Review and evaluation], the Parties shall pay particular attention to the necessity and 
proportionality of pr ocessing and retaining PNR data for each of the purposes set out in Article 
LAW.PNR.20 [Purposes of the use of PNR data]. The joint reviews shall also include an examination 
of how the United Kingdom competent authority has ensured that the pre -established  models, 
criteria and databases referred to in Article LAW.PNR.27 [Automated processing of PNR data] are 
reliable, relevant and current, taking into account statistical data.  
Article LAW.PNR 38: Suspension of cooperation under this Title  
1. In the event  that either  Party  considers  that the continued  operation  of this Title  is no longer  
appropriate,  it may  notify the other Party accordingly of its intention to suspend the application of 
this Title. Following such notification, the Parties shall engage in consul tations.  
2. Where within 6 months  of that notification  the Parties  have  not reached  a resolution,  either  
Party  may  decide  to suspend  the application  of this Title  for a period  of up to 6 months.  Before  the 
end of that period,  the Parties  may  agree  an extensio n of the suspension  for an additional  period  of 
up to 6 months.  If by the end of the suspension  period  the Parties  have  not reached  a resolution  
with  respect  to this Title,  this Title  shall  cease  to apply  on the first day of the month  following  the 
expiry  of the suspension period, unless the notifying Party informs the other Party that it wishes to 
withdraw the notification. In that case, the provisions of this Title shall be reinstated.  
 
319 
 3. If this Title is  suspended  under  this Article,  the Specialised  Committ ee on Law Enforcement  
and Judicial  Cooperation  shall  meet  to decide  what  steps  are needed  to ensure  that any cooperation  
initiated  under  this Title  that is affected  by the suspension  is concluded  in an appropriate  manner.  In 
any event,  with  regard  to all personal  data  obtained  through  cooperation  under  this Title  before  the 
provisions  concerned  by the suspension  provisionally  cease  to apply,  the Parties  shall  ensure  that 
the level  of protection  under  which  the personal  data  were  transferred  is maintained  after the 
suspension  takes  effect.  
  
 
320 
 TITLE IV: COOPERATIO N ON OPERATIONAL INF ORMATION  
Article LAW.OPCO.1: Cooperation on Operational Information  
1. 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: 
(a) the prevention, investigation, detection or prosecution of criminal offences;  
(b) the execution of criminal penalties;  
(c) safeguarding against, and the prevention of, threats to public safety; and  
(d) the prevention and combating of money laundering  and the financing of terrorism.  
2. For the purposes of this Title, a “competent authority” means a domestic police, customs or 
other authority  that is competent under domestic law to undertake activities for the purposes set 
out in paragraph 1.  
3. Information, including  information on wanted and missing persons as well as objects, may 
be requested by a competent authority of the United Kingdom or of a Member State, or provided 
spontaneously to a competent authority of the United King dom or of a Member State. Information 
may be provided in response to a request or spontaneously, subject to the conditions of the 
domestic law which applies to the providing competent authority and within the scope of its powers.  
4. Information may be request ed and provided to the extent that the conditions of the 
domestic law which applies to the requesting or providing competent authority do not stipulate that 
the request or provision of information has to be made or channelled  via judicial authorities.  
5. In urgent cases, the providing competent authority shall respond to a request, or provide 
information spontaneously, as soon as possible.  
6. A competent a uthority of the requesting State may, in accordance with relevant domestic 
law, at the time of making  the req uest or at a later point in time, seek consent from the providing 
State for the information to be used for evidential purposes  in proceedings before a judicial 
authority . The providing State may, subject to the conditions set out in Title VIII [Mutual Lega l 
Assistance] and the conditions of the domestic law which applies to it,  consent to the information 
being used for evidential purposes before a judicial authority in the requesting State. Equally, where 
information is provided spontaneously,  the providing  State may consent to the information being 
used for evidential purposes in proceedings before a judicial authority in the receiving State . Where 
consent is not given under this paragraph, the information received shall not be used for evidential 
purposes in proceedings before a judicial authority.  
7. The providing competent authority may, under relevant domestic law, impose conditions on 
the use of the information provided.  
8. A competent authority may provide under this Title any type of information which it holds, 
subject to the conditio ns of the domestic law which applies to it and within the scope of its powers. 
 
321 
 This may include information from other sources, only if onward transfer of that information is 
permitted in the framework under which it was obtai ned by the providing competent authority.  
9. Information may be provided under this Title via any appropriate communication channel, 
including the secure communication line for the purpose of provision of information through 
Europol.  
10. This Article  shall not af fect the operation or conclusion of  bilateral agreements between the 
United Kingdom and Member States, provided that the Member States act in compliance with Union 
law. It shall also not affect any other powers which are available to the competent  authorit ies of the 
United Kingdom or of the Member States under applicable domestic or international law to provide 
assistance through the sharing of information for the purposes set out in paragraph 1.  
TITLE V: COOPERATION  WITH EUROPOL  
Article LAW.EUROPOL.46: Obj ective  
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 LAW.EUROPOL.48 [Forms of crime].  
Article LAW.EUROPOL.47: Definitions  
For the purposes o f this Title, the following definitions apply:  
(a) “Europol” means the European Union Agency for Law Enforcement Cooperation, set up under 
Regulation (EU ) 2016/794 79 (the “Europol Regulation”);  
(b) “competent a uthority” 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 LAW.EUROPOL.48: Forms of crime  
1. The cooperation established under this Title relates to the forms of crime within Eu ropol’s 
competence, as listed in ANNEX LAW -3, including related criminal offences.  
2. Related criminal offences are criminal offences committed in order to procure the means of 
committing the forms of crime referred to in paragraph 1, criminal offences commit ted in order to 
facilitate or carry out such crimes, and criminal offences committed to ensure impunity for such 
crimes.  
3. Where the list of forms of crime for which Europol is competent under Union law is changed, 
the Specialised Committee on Law Enforcemen t and Judicial Cooperation may, upon a proposal from 
                                                            
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, 2009/93 6/JHA and 2009/968/JHA ( OJ EU L 135, 
24.5.2016, p. 53).  
 
322 
 the Union, amend ANNEX LAW -3 accordingly from the date when the change to Europol’s 
competence enters into effect.  
Article LAW.EUROPOL.49: Scope of cooperation  
The cooperation may, in addition to the ex change 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:  
(a) the exchange of information such as specialist knowledge;  
(b) general situation repo rts;  
(c) results of strategic analysis;  
(d) information on criminal investigation procedures;  
(e) information on crime prevention methods;  
(f) participation in training activities; and  
(g) the provision of advice and support in individual criminal investigations as well as  operational 
cooperation.  
Article LAW.EUROPOL.50: National contact point and liaison officers  
1. The United Kingdom shall designate a national contact point to act as the central point of 
contact between Europol and the competent authorities of the United Kin gdom.  
2. The exchange of information between Europol and the competent authorities of the United 
Kingdom shall take place between Europol and the national contact point referred to in paragraph  1. 
This does not preclude, however, direct exchanges of informat ion between Europol and the 
competent authorities of the United Kingdom, if considered appropriate by both Europol and the 
relevant competent authorities.  
3. The national contact point shall also be the central point of contact in respect of review, 
correcti on and deletion of personal data.  
4. To facilitate the cooperation established under this Title, the United Kingdom shall second 
one or more liaison officers to Europol. Europol may second one or more liaison officers to the 
United Kingdom.  
5. The United Kingdom  shall ensure that its liaison officers have speedy and, where technically 
possible, direct access to the relevant domestic databases of the United Kingdom that are necessary 
for them to fulfil their tasks.  
6. The number of liaison officers, the details of th eir tasks, their rights and obligations and the 
costs involved shall be governed by working arrangements concluded between Europol and the 
competent authorities of the United Kingdom as referred to in Article LAW.EUROPOL.59 [Working 
and administrative arra ngements].  
 
323 
 7. Liaison officers from the United Kingdom and representatives of the competent authorities 
of the United Kingdom may be invited to operational meetings. Member State liaison officers and 
third -country liaison officers, representatives of compete nt authorities from the Member States and 
third countries, Europol staff and other stakeholders may attend meetings organised by the liaison 
officers or the competent authorities of the United Kingdom.  
Article LAW.EUROPOL.51: Exchanges of information  
1. Exchanges of information between the competent authorities shall comply with the 
objective and provisions of this Title. Personal data shall be processed only for the specific purposes 
referred to in paragraph 2.  
2. The competent authorities shall clearly ind icate, at the latest at the moment of transferring 
personal data, the specific purpose or purposes for which the personal data are being transferred. 
For transfers to Europol, the purpose or purposes of such transfer shall be specified in line with the 
specific purposes of processing set out in the Europol Regulation. If the transferring competent 
authority has not done so, the receiving competent authority, in agreement with the transferring 
authority, shall process the personal data in order to determine their relevance as well as the 
purpose or purposes for which it is to be further processed. The competent authorities may process 
personal data for a purpose other than the purpose for which they have been provided only if 
authorised to do so by the transf erring competent authority.  
3. The competent authorities receiving the personal data shall give an undertaking stating that 
such data will be  processed only for the purpose for which they were transferred. The personal data 
shall be deleted as soon as they a re no longer necessary for the purpose for which they were 
transferred.  
4. Europol and the competent authorities of the United Kingdom shall determine without 
undue delay, and in any event no later than six months after receipt of the personal data, if and t o 
what extent those personal data are necessary for the purpose for which they were transferred and 
inform the transferring authority accordingly.  
Article LAW.EUROPOL.52: Restrictions on access to and further use of transferred personal data  
1. The transfer ring competent authority may indicate, at the moment of transferring personal 
data, any restriction on access thereto or the use to be made thereof, in general or specific terms, 
including as regards its onward transfer, erasure or destruction after a cert ain period of time, or its 
further processing. Where  the need for such restrictions becomes apparent after the personal data 
have been transferred, the transferring competent authority shall inform the receiving competent 
authority accordingly.  
2. The receivi ng competent authority shall comply with any restriction on access or further use 
of the personal data indicated by the transferring competent authority as described in paragraph 1.  
3. Each Par ty shall ensure that information transferred under this Title was collected, stored 
and transferred in accordance with its respective legal framework. Each Party shall ensure, as far as 
possible, that such information has not been obtained in violation of human rights. Nor shall such 
information be transferred if, to the  extent reasonably foreseeable, it could be used to request, hand 
down or execute a death penalty or any form of cruel or inhuman treatment.  
 
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 Article LAW.EUROPOL.53: Different categories of data subjects  
1. The transfer of personal data in respect of victims  of a criminal offence, witnesses or other 
persons who can provide information concerning criminal offences, or in respect of persons under 
the age of 18, shall be prohibited unless such transfer is strictly necessary and proportionate in 
individual cases for preventing or combating a criminal offence.  
2. The United Kingdom and Europol shall each ensure that the processing of personal data 
under paragraph 1 is subject to additional safeguards, including restrictions on access, additional 
security measures and limitations on onward transfers.  
Article LAW.EUROPOL.54: 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 ens uring 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, w hile taking account 
of the fact that the United Kingdom is not a Member State.  
Article LAW.EUROPOL.55: Assessment of reliability of the source and accuracy of information  
1. The competent authorities shall indicate as far as possible, at the latest at the m oment of 
transferring the information, the reliability of the source of the information on the basis of the 
following criteria:  
(a) 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;  
(b) where the information is provided by a source which has in most instances proved to be 
reliable;  
(c) where the information is provided by a source which has in most instances proved to be 
unreliable ; 
(d) where the reliability of the source cannot be assessed.  
2. 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:  
(a) information the accuracy of which is not in doubt;  
(b) information known personally to the source but not known personally to the official passing it 
on; 
(c) information not known personally to the source but corroborated by other information 
already recorded;  
(d) information not  known personally to the source and which cannot be corroborated.  
 
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 3. Where the receiving competent  authority, on the basis of information already in its 
possession, comes to the conclusion that the assessment of information or of its source suppl ied by 
the transferring competent authority in accordance with paragraphs 1 and 2 needs correction, it 
shall inform that competent authority and shall attempt to agree on an amendment to the 
assessment. The receiving competent authority shall not change th e assessment of information 
received or of its source without such agreement.  
4. If a competent authority receives information without an assessment, it shall attempt as far 
as possible and where possible in agreement with the transferring competent authority  to assess the 
reliability of the source or the accuracy of the information on the basis of information already in its 
possession.  
5. If no reliable assessment can be made, the information shall be evaluated as provided for in 
point (d) of paragraph 1 and poi nt (d) of paragraph 2.  
Article LAW.EUROPOL.56: Security of the information exchange  
1. The technical and organisational measures put in place to ensure the security of the 
information exchange under this Title shall be laid down in administrative arrangement s between 
Europol and the competent authorities of the United Kingdom as referred to in Article 
LAW.EUROPOL.59 [Working and administrative arrangements].  
2. The Parties agree on the establishment, implementation and operation of a secure 
communication line fo r the purpose of the exchange of information bet ween Europol and the 
competent authorities of the United Kingdom.  
3. Administrative arrangements between Europol and the competent authorities of the United 
Kingdom as referred  to in Article LAW.EUROPOL.58 [Exc hange of classified and sensitive non -
classified information] shall regulate the secure communication line’s terms and conditions of use.  
Article LAW.EUROPOL.57: Liability for unauthorised or incorrect personal data processing  
1. The competent authorities sh all be liable, in accordance with their respective legal 
frameworks, for any damage caused to an individual as a result of legal or factual errors in 
information exchanged. In order to avoid liability under their respective legal frameworks vis -à-vis an 
injured party, neither Europol nor the competent authorities of the United Kingdom may plead that 
the other competent authority had transferred inaccurate information.  
2. If damages are awarded either against Europol or against the competent authorities of the  
United Kingdom because of the use by either of them of information which was erroneously 
communicated by the other, or communicated as a result of a failure on the part of the other to 
comply with their obligations, the amount paid as compensation under p aragraph 1 either by 
Europol or by the competent authorities of the United Kingdom shall be repaid by the other, unless 
the information was used in breach of this Title.  
3. Europol and the competent authorities of the United Kingdom shall not require each other 
to pay for punitive or non -compensatory damages under paragraphs  1 and 2.  
Article LAW.EUROPOL.58: 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 
 
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 Article LAW.EUROPOL.59 [Working and administrative arrangements] between Europol and the 
competent authorities of the United Kingdom.  
Article LAW.EUROPOL.59: Working and administrative arrangements  
1. The details of cooperation between the United Kingdom and Europol, as appropriate to 
complement and implement the provision s of this Title, shall be the subject of working 
arrangements in accordance with Article 23(4) of the Europol Regulation and administrative 
arrangements in accordance with Article 25(1) of the Europol Regulation concluded between 
Europol and the competent authorities of the United Kingdom.  
2. 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:  
(a) consultations between Europol and one or more representati ves 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 compet ent authorities of the United Kingdom;  
(b) the participation of one or more representatives of the United Kingdom as observer or 
observers in specific meetings of the Europol Heads of Unit meetings in line with the rules of 
proceedings of such meetings;  
(c) the a ssociation 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;  
(d) the specification of liaison officers’ tasks, their rights and obligations  and the costs involved; or  
(e) cooperation  between the competent authorities of the United Kingdom and Europol in the 
event of privacy or security breaches.  
3. The substance of working and administrative arrangements may be set out together in one 
document.  
Article LAW.EUROPOL.60: Notification of implementation  
1. The United Kingdom and Europol shall each make publicly available a document setting out 
in an intelligible form the provisions regarding the processing of personal data transferred under this 
Title inc luding the means available for the exercise of the rights of data subjects, and shall each 
ensure that a copy of that document be provided to the other.  
2. Where not already in place, the United Kingdom and Europol shall adopt rules specifying 
how compliance with the provisions regarding the processing of personal data will be enforced in 
practice. The United Kingdom and Europol shall each send a copy of those rules to the other and to 
the respective supervisory authorities.  
 
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 Article LAW.EUROPOL.61: Powers of E uropol  
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.  
  
 
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 TITLE VI: COOPERATIO N WITH EUROJUST  
Article LAW.EUROJUST.61: 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 
LAW.EUROJUST.63 [Forms of crime].  
Article LAW.EUROJUST.62: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “Eurojust” means the European Union Agency for Criminal Justice Cooperation, set up under 
Regulation (EU) 2018/172780 (the “Eurojust Regulation ”); 
(b) “competent autho rity” 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;  
(c) “College” means the College of Eurojust, as referred to in the Eurojus t Regulation;  
(d) “National Member” means the National Member seconded to Eurojust by each Member 
State, as referred to in the Eurojust Regulation;  
(e) “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 
LAW.EUROJUST.66(3) [Liaison Prosecutor] respectively;  
(f) “Liaison Prosecutor” means a public prosecutor seconded by the United Kingdo m to Eurojust 
and subject to the domestic  law of the United Kingdom as regards the public prosecutor’s 
status;  
(g) “Liaison  Magistrate” means a magistrate posted by Eurojust to the United Kingdom in 
accordance with Article LAW.EUROJUST.67 [Liaison Magistrate];  
(h) “Domestic Correspondent for Terrorism Matters” means the contact point designated by the 
United Kingdom  in accordance with Article LAW.EUROJUST.65 [Contact points to Eurojust], 
responsible for handling correspondence related to terrorism matters.  
Article LAW.EUROJUST.63: Forms of crime  
1. The cooperation established under this Title relates to the forms of serious crime within the 
competence of Eurojust, as listed in ANNEX LAW -4, including related criminal offences.  
2. Related criminal offences are the criminal offences committed in order to procure the 
means of committing forms of serious crime referred to in paragraph 1, criminal offences committed 
                                                            
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 Cou ncil 
Decision 2002/187/JHA (OJ EU L 295, 21.11.2018, p. 138)  
 
329 
 in order to facilitate or commit  such serious crimes, and criminal offences committed to ensure 
impunity for such serious crimes.  
3. Where the list of forms of serious crime for which Eurojust is competent under Union law is 
changed, the Specialised Committee on Law Enforcement and Judicial Cooperation may, upon a 
proposal from the Union, amend ANNEX LAW -4 accordingly fr om the date when the change to 
Eurojust’s competence enters into effect.  
Article LAW.EUROJUST.64: 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 LAW.EUROJUST.65: Contact points to Eurojust  
1. The United Kingdom shall put in place or appoint at least one contact point to Eurojust 
within the competent authorities of the United Kingdom.  
2. The United Kingdom shall designate one of its contact points as the United Kingdom 
Domestic Correspondent for Ter rorism Matters.  
Article LAW.EUROJUST.66: Liaison Prosecutor  
1. To facilitate the cooperation established under this Title, the United Kingdom shall second a 
Liaison Prosecutor to Eurojust.  
2. The mandate and the duration of the secondment shall be determined by  the United 
Kingdom.  
3. The Liaison Prosecutor may be assisted by up to five Assistants, reflecting the volume of 
cooperation. When necessary, Assistants may replace the Liaison Prosecutor or act on the Liaison 
Prosecutor’s behalf.  
4. The United Kingdom shall i nform Eurojust of the nature and extent of the judicial powers of 
the Liaison Prosecutor and the Liaison Prosecutor’s Assistants within the United Kingdom to 
accomplish their tasks in accordance with this Title. The United Kingdom shall establish the 
compe tence of its Liaison Prosecutor and the Liaison Prosecutor’s Assistants to act in relation to 
foreign judicial authorities.  
5. The Liaison Prosecutor and the Liaison Prosecutor’s Assistants shall have access to the 
information contained in the domestic crimin al record, or in any other register of the United 
Kingdom, in accordance with domestic law in the case of a prosecutor or person of equivalent 
competence.  
6. The Liaison Prosecutor and the Liaison Prosecutor’s Assistants shall have the power to 
contact the competent authorities of the United Kingdom directly.  
7. The number of Assistants referred to in paragraph 3 of this Article, the details of the tasks of 
the Liaison Prosecutor and the Liaison Prosecutor’s Assistants, their rights and obligations and the 
costs involved shall be governed by a working arrangement concluded between Eurojust and the 
 
330 
 competent authorities of the United Kingdom as referred to in Article LAW.EUROJUST.75 [Working 
arrangement].  
8. The working documents of the Liaison Prosecutor and the Li aison Prosecutor’s Assistants 
shall be held inviolable by Eurojust.  
Article LAW.EUROJUST.67: Liaison Magistrate  
1. For the purpose of facilitating judicial cooperation with the United Kingdom in cases in which 
Eurojust provides assistance, Eurojust may post a Liaison Magistrate to the United Kingdom, in 
accordance with Article 53 of the Eurojust Regulation.  
2. The details of the Liaison Magistrate’s tasks referred to in paragraph 1 of this Article, the 
Liaison Magistrate’s rights and obligations and the costs in volved, shall be governed by a working 
arrangement concluded between Eurojust and the competent authorities of the United Kingdom as 
referred to in Article LAW.EUROJUST.75 [Working arrangement].  
Article LAW.EUROJUST.68: Operational and strategic meetings  
1. The Liaison Prosecutor, the Liaison Prosecutor’s Assistants, and representatives of other 
competent authorities of the United Kingdom, including the contact point to Eurojust, may 
participate in meetings with regard to strategic matters at the invitation of  the President of Eurojust 
and in meetings with regard to operational matters with the approval of the National Members 
concerned.  
2. National Members, their Deputies and Assistants, the Administrative Director of Eurojust 
and Eurojust staff may attend meetin gs organised by the Liaison Prosecutor, the Liaison Prosecutor’s 
Assistants, or other competent authorities of the United Kingdom, including the contact point to 
Eurojust.  
Article LAW.EUROJUST.69: Exchange of non -personal data  
Eurojust and the competent a uthorities 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 LAW.EUROJUST.74 [Exchange of classified and sensitive non -classified 
information] .  
Article LAW.EUROJUST.70: Exchange of personal data  
1. Personal data requested and received by competent authorities under this Title shall be 
processed by them only for the objectives set out in Article  LAW.EUROJUST.61 [Objective], for the 
specific purposes referred to in paragraph 2 of this Article and subject to the restrictions on access 
or further use referred to in paragraph 3 of this Article.  
2. The transferring competent authority shall clearly indic ate, at the latest at the moment of 
transferring personal data, the specific purpose or purposes for which the data are being 
transferred.  
3. The transferring competent authority may indicate, at the moment of transferring personal 
data, any restriction on ac cess thereto or the use to be made thereof, in general or specific terms, 
including as regards its onward transfer, erasure or destruction after a certain period of time, or its 
 
331 
 further processing. Where the need for such restrictions becomes apparent afte r the personal data 
have been provided, the transferring authority shall inform the receiving authority accordingly.  
4. The receiving competent authority shall comply with any restriction on access or further use 
of the personal data indicated by the transfer ring competent authority as provided for in paragraph 
3.  
Article LAW.EUROJUST.71: Channels of transmission  
1. Information shall be exchanged:  
(a) either between the Liaison Prosecutor or the Liaison Prosecutor’s Assistants or, if none is 
appointed or otherwise a vailable, the United Kingdom’s contact point to Eurojust and the 
National Members concerned or the College;  
(b) 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  
(c) 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.  
2. Eurojust and the competent authorities of the United Kingdom may agree to use other 
channels for the exchange of information in particular cases.  
3. Eurojust and the competent authorities of the United Kingdom shall each ensure that their 
respective representatives are authorised to exchange information at the appropriate level and in 
accordance with United Kingdom law and the Eurojust Regulation respectively, and are adequately 
screened.  
Article LAW.EUROJUST.72: 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 LAW.EUROJUST.73: Liability for unauthorised or incorrect personal dat a processing  
1. The competent authorities shall be liable, in accordance with their respective legal 
frameworks, for any damage caused to an individual as a result of legal or factual errors in 
information exchanged. In order to avoid liability under their re spective legal frameworks vis -à-vis an 
injured party, neither Eurojust nor the competent authorities of the United Kingdom may plead that 
the other competent authority had transferred inaccurate information.  
2. If damages are awarded against any competent au thority because of its use of information 
which was erroneously communicated by the other, or communicated as a result of a failure on the 
part of the other to comply with their obligations, the amount paid as compensation under 
paragraph  1 by the competen t authority shall be repaid by the other, unless the information was 
used in breach of this Title.  
 
332 
 3. Eurojust and the competent authorities of the United Kingdom shall not require each other 
to pay for punitive or non -compensatory damages under paragraphs 1 and 2.  
Article LAW.EUROJUST.74: 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 
LAW.EUROJUST.75 [Working arrangement] concluded between Eurojust and the competent 
authorities of the United Kingdom.  
Article LAW.EUROJUST.75: Working arrangement  
The modalities of cooperation between the Parties as appropriate t o 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 LAW.EUROJUST.76: 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 LAW.SURR.76: 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 accorda nce with the terms of this Title.  
Article LAW.SURR.77: 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 ha ving 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 LAW.SURR.78: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “arrest warrant” means a judicial decision issued by a State with a view to the arrest and 
surrender by another State of a requested pers on, for the purposes of conducting a criminal 
prosecution or executing a custodial sentence or detention order;  
(b) “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;  
(c) “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;  
 
333 
 (d) “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 LAW.SURR.79: Scope  
1. An arrest warrant may be issued for acts punishable by the law of t he issuing State by a 
custodial sentence or a detention order for a maximum period of at least 12 months or, where a 
sentence has been passed or a detention order has been made, for sentences or detention orders of 
at least four months.  
2. Without prejudice t o paragraphs 3 and 4, surrender is subject to the condition that the acts 
for which the arrest warrant has been issued constitute an offence under the law of the executing 
State, whatever the constituent elements or however it is described.  
3. Subject to Arti cle LAW.SURR.80 [Grounds for mandatory non -execution of the arrest 
warrant], points (b) to (h) of Article LAW.SURR.81(1) [Other grounds for non -execution of the arrest 
warrant], Article LAW.SURR.82 [Political offence exception], Article LAW.SURR.83 [Nation ality 
exception] and Article LAW.SURR.84 [Guarantees to be given by the issuing State in particular cases], 
a State shall not refuse to execute an arrest warrant issued in relation to the following behaviour 
where such behaviour is punishable by deprivatio n of liberty or a detention order of a maximum 
period of at least 12 months:  
(a) 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 achie vement of the group’s criminal 
activities; or  
(b) terrorism as defined in ANNEX LAW -7. 
4. 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:  
(a) one of the offences listed in paragraph 5, as defined by the law of the issuing St ate; and  
(b) punishable in the issuing State by a custodial sentence or a detention order for a maximum 
period of at least three years.  
5. The offences referred to in paragraph 4 are:  
 participation in a criminal organisation;  
 terrorism  as defined in ANNEX LAW -7; 
 trafficking in human beings;  
 
334 
  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 speci es 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;  
 
335 
  illicit trafficking in nuclear or radioactive materials;  
 trafficking in stolen vehicles;  
 rape;  
 arson;  
 crimes within the jurisdiction of the International Criminal Court;  
 unlaw ful seizure of aircraft, ships or spacecraft; and  
 sabotage.  
Article LAW.SURR.80: Grounds for mandatory non -execution of the arrest warrant  
The execution of the arrest warrant shall be refused:  
(a) 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;  
(b) 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 long er be enforced under the 
law of the sentencing State; or  
(c) 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 execu ting State.  
Article LAW.SURR.81: Other grounds for non -execution of the arrest warrant  
1. The execution of the arrest warrant may be refused:  
(a) if, in one of the cases referred to in Article LAW.SURR.79(2) [Scope], 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;  
(b) if the person who is the subject of the arrest warrant is being prosecuted in the executi ng 
State for the same act as that on which the arrest warrant is based;  
(c) 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 judgm ent 
which prevents further proceedings has been passed upon the requested person in a State in 
respect of the same acts;  
 
336 
 (d) if the criminal prosecution or punishment of  the requested person is statute -barred under the 
law of the executing State and the acts f all within the jurisdiction of that State under its own 
criminal law;  
(e) 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 
impo sed, it has been enforced, is in the process of being enforced or can no longer be 
enforced under the law of the sentencing country;  
(f) if the arrest warrant has been issued for the purposes of execution of a custodial sentence or 
detention order and  the requ ested 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 o r 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;  
(g) if the arrest warrant  relates to offences which:  
(i) 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 
(ii) have been committed  outside the territory of the issuing State, and the law of the 
executi ng State does not allow prosecution for the same offences if committed 
outside its territory;  
(h) 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 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;  
(i) if the arrest warrant has been issued for the purpose of executing a custodial sentence or a 
detention order and the requeste d 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:  
(i) in due time:  
(A) 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 d ate 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 
(B) was informed that a decision may be handed down if that person did not 
appear for the trial;  
or 
 
337 
 (ii) 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 
(iii) 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:  
(A) expressly stated that the person did not contest the decision;  
or 
(B) did not request a retrial or appeal within the applicable time frame;  
or 
(iv) was not personally  served  with  the decision  but: 
(A) 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 lea d to the original 
decision being reversed;  
and 
(B) 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.  
2.  Where the arrest warrant is issued for the purpose of execu ting a custodial sentence or 
detention order under the conditions in point (i) (iv) of paragraph 1 and the person concerned has 
not previously received any official information about the existence of the criminal proceedings 
against him or her, that person  may, when being informed about the content of the arrest warrant, 
request to receive a copy of the judgment before being surrendered. Immediately after having been 
informed about the request, the issuing authority shall provide the copy of the judgment vi a the 
executing authority to the person concerned. The request of the person concerned shall neither 
delay the surrender procedure nor delay the decision to execute the arrest warrant. The provision of 
the judgment to the person concerned shall be for info rmation purposes only; it shall not be 
regarded as a formal service of the judgment nor actuate any time limits applicable for requesting a 
retrial or appeal.  
3.  Where  a person  is surrendered  under  the conditions  in point  (i) (iv) of paragraph  1 and that 
person  has requested  a retrial  or appeal,  until  those  proceedings  are finalised  the detention  of that 
person  awaiting  such  retrial  or appeal  shall  be reviewed  in accordance  with  the domestic  law of the 
issuing  State,  either  on a regular  basis  or upon  reque st of the person  concerned.  Such  a review  shall  
in particular  include  the possibility  of suspension  or interruption  of the detention.  The retrial  or 
appeal  shall  begin  within  due time  after  the surrender.  
 
338 
 Article LAW.SURR.82: Political offence exception  
1. The execution of an arrest warrant may not be refused on the grounds that the offence may 
be regarded by the executing State as a political offence, as an offence connected with a political 
offence or as an offence inspired by political motives.  
2. 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:  
(a) the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of 
Terrorism;  
(b) 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 LAW.SURR.79(3) [Scope] of this Agreement; and  
(c) terrorism  as defined in ANNEX LAW -7 to this Agreement.  
3. Where an arrest warrant has been issued by a State having made a notification as referred 
to in paragraph 2 or by a State on behalf of which such a notification has been made, the State 
executing the arrest warrant may apply reciprocity.  
Article LAW.SURR.83: Nationality exception  
1. The execution of an arrest warrant may not be refused on the grounds that the requested 
person is a national of the executing State.  
2. 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 that State’s 
own nationals will not be surrendered or that the surrender of their own nationals will be authorised 
only under certain specified conditions. The notification shall be based on reason s related to the 
fundamental principles or practice of the domestic legal order of the United Kingdom or the State on 
behalf of which a notification was made. In such a case, the Union, on behalf of any of its Member 
States or the United Kingdom, as the ca se may be, may notify the Specialised Committee on Law 
Enforcement and Judicial Cooperation within a reasonable time after the receipt of the other Party’s 
notification that the executing judicial authorities of the Member State or the United Kingdom, as 
the case may be, may refuse to surrender its nationals to that State or that surrender shall be 
authorised only under certain specified conditions.   
3. In circumstances where a State has refused to execute an arrest warrant on the basis that, in 
the case of  the United Kingdom, it has made a notification or, in the case of a Member State, the 
Union has made a notification  on its behalf, as referred to in paragraph 2, that State shall consider 
instituting proceedings against its own national which are commensu rate with the subject matter of 
the arrest warrant, having taken into account the views of the issuing State. In circumstances where 
a judicial authority decides not to institute such proceedings, the victim of the offence on which the 
arrest warrant is ba sed shall be able to receive information on the decision in accordance with the 
applicable domestic law.  
4. Where a State’s competent authorities institute proceedings against its own national in 
accordance with paragraph 3, that State shall ensure that its competent authorities are able to take 
 
339 
 appropriate measures to assist the victims and witnesses in circumstances where they are residents 
of another State, particularly with regard to the way in which the proceedings are conducted.  
Article LAW.SURR.84: Gu arantees 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:  
(a) if the offence on which the arrest warrant is based is punishable by a custod ial 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 issui ng 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 t he non -execution of such penalty or measure;  
(b) 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;  
(c) 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 re quested person after the 
person’s surrender before it decides whether to execute the arrest warrant.  
Article LAW.SURR.85: Recourse to the central authority  
1. 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 of, in the case of the 
United Kingdom, the its central authority and, in the case of the Union, the central authority for each 
State, having designated such an authority, or, if the legal sy stem of the relevant State so provides, 
of more than one central authority to assist the competent judicial authorities.  
2. When notifying the Specialised Committee on Law Enforcement and Judicial Cooperation 
under paragraph 1, the United Kingdom and the Unio n, acting on behalf of any of its Member States, 
may each indicate that, as a result of the organisation of the internal judicial system of the relevant 
States, the central authority or central authorities are responsible for the administrative 
transmissio n and receipt of arrest warrants as well as for all other official correspondence relating to 
the administrative transmission and receipt of arrest warrants. Such indication shall be binding upon 
all the authorities of the issuing State.  
Article LAW.SURR. 86: Content and form of the arrest warrant  
1. The arrest warrant shall contain the following information set out in accordance with the 
form contained in ANNEX LAW -5: 
(a) the identity and nationality of the requested person;  
 
340 
 (b) the name, address, telephone and fax n umbers and e -mail address of the issuing judicial 
authority;  
(c) 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 LAW.SURR.79 [Scope];  
(d) the nature and  legal classification  of the offence, particularly in respect of Article 
LAW.SURR.79 [Scope];  
(e) 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;  
(f) 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  
(g) if possible, other consequences of the offen ce. 
2. The arrest warrant shall be translated into the official  language or one of the official 
languages of the executing State. 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 a translation in o ne or more other official languages of a State will be accepted.  
Article LAW.SURR.87: 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 execut ing judicial authority.  
Article LAW.SURR.88: Detailed procedures for transmitting an arrest warrant  
1. If the issuing judicial authority does not know which authority is the competent executing 
judicial authority, it shall make the requisite enquiries, in or der to obtain that information from the 
executing State.  
2. The issuing judicial authority may request the International Criminal Police Organisation 
(“Interpol”) to transmit an arrest warrant.  
3. The issuing judicial authority may transmit the arrest warrant by  any secure means capable 
of producing written records under conditions allowing the executing State to establish the 
authenticity of the arrest warrant.  
4. All difficulties concerning the transmission or the authenticity of any document needed for 
the execut ion of the arrest warrant shall be dealt with by direct contacts between the judicial 
authorities involved, or, where appropriate, with the involvement of the central authorities of the 
States.  
5. If the authority which receives an arrest warrant is not compe tent to act upon it, it shall 
automatically forward the arrest warrant to the competent authority in its State and shall inform the 
issuing judicial authority accordingly.  
 
341 
 Article LAW.SURR.89: Rights of a requested person  
1. If a requested person is arrested for the purpose of the execution of an arrest warrant, the 
executing judicial authority, in accordance with its domestic law, shall inform that person of the 
arrest warrant and of its contents, and also of the possibility of consenting to surrender to the 
issuing State.  
2. A requested person who is arrested for the purpose of the execution of an arrest warrant 
and who does not speak or understand the language of the arrest warrant proceedings shall have 
the right to be assist ed by an interpreter and to be provided with a written translation in the native 
language of the requested person or in any other language which that person speaks or 
understands, in accordance with the domestic law of the executing State.  
3. A requested per son shall have the right to be assisted by a lawyer in accordance with the 
domestic law of the executing State upon arrest.  
4. The requested person shall be informed of the person’s right to appoint a lawyer in the 
issuing State for the purpose of assisting t he lawyer in the executing State in the arrest warrant 
proceedings. This paragraph is without prejudice to the time limits set out in Article LAW.SURR.101 
[Time limits for surrender of the person].   
5. A requested person who is arrested shall have the right t o have the consular authorities of 
that person's State of nationality, or if that person is stateless, the consular authorities of the State 
where that person usually resides, informed of the arrest without undue delay and to communicate 
with those authori ties, if that person so wishes.  
Article LAW.SURR.90: 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 detent ion, 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 nec essary to prevent the person from absconding.  
Article LAW.SURR.91: Consent to surrender  
1. If the arrested person indicates that he or she consents to surrender, that consent and, if 
appropriate, the express renunciation of entitlement to the speciality rule  referred to in Article 
LAW.SURR.105(2) [Possible prosecution for other offences] must be given before the executing 
judicial authority, in accordance with the domestic law of the executing State.  
2. Each State shall adopt the measures necessary to ensure th at the consent and, where 
appropriate, the renunciation referred to in paragraph 1 are established in such a way as to  show 
that the person concerned has expressed them voluntarily and in full awareness of the 
consequences. To that end, the requested perso n shall have the right to a lawyer.  
3. The consent and, where appropriate, the renunciation referred to in paragraph 1 shall be 
formally recorded in accordance with the procedure laid down by the domestic law of the executing 
State.  
4. In principle, consent may not be revoked. Each State may provide that the consent and, if 
appropriate, the renunciation referred to in paragraph 1 of this Article may be revoked in 
 
342 
 accordance with the rules applicable under its domestic law. In such a case, the period between the 
date of the consent and that of its revocation shall not be taken into consideration in establishing 
the time limits laid down in Article LAW.SURR.101 [Time limits for surrender of the person]. The 
United Kingdom and the Union, acting on behalf of any of it s Member States, may each notify the 
Specialised Committee on Law Enforcement and Judicial Cooperation  that it wishes to have recourse 
to this possibility, specifying  the procedures whereby revocation of the consent is possible and any 
amendments to those procedures .  
Article LAW.SURR.92: Hearing of the requested person  
Where the arrested person does not consent to surrender as referred to in Article LAW.SURR.91 
[Consent to surrender],  that person shall be entitled to be heard by the executing judicial auth ority, 
in accordance with the law of the executing State.  
Article LAW.SURR.93: Surrender decision  
1. The executing judicial authority shall decide whether the person is to be surrendered within 
the time limits and in accordance with  the conditions defined in this Title, in particular the principle 
of proportionality as set out in Article LAW.SURR.77 [Principle of proportionality].  
2. If the executing judicial authority finds the information communicated by the issuing State to 
be insuffi cient to allow it to decide on surrender, it shall request that the necessary supplementary 
information, in particular with respect to Article LAW.SURR. 77 [Principle of proportionality],  Articles 
LAW.SURR.80 [Grounds for mandatory non -execution of the arr est warrant] to LAW.SURR.82 
[Political offence exception], Article LAW.SURR.84 [Guarantees to be given by the issuing State in 
particular cases] and Article LAW.SURR.86 [Content and form of the arrest warrant] , be furnished as 
a matter of urgency and may f ix a time limit for the receipt thereof, taking into account the need to 
observe the time limits provided for in Article LAW.SURR.95 [Time limits and procedures for the 
decision to execute the arrest warrant].  
3. The issuing judicial authority may forward an y additional useful information to the executing 
judicial authority at any time.  
Article LAW.SURR.94: Decision in the event of multiple requests  
1. If two or more States have issued a European arrest warrant or an arrest warrant for the 
same person, the deci sion as to which of those arrest warrants is to be executed shall be taken by 
the executing judicial authority, with due consideration of all the circumstances, especially the 
relative seriousness of the offences and place of the offences, the respective d ates of the arrest 
warrants or European arrest warrants and whether they have been issued for the purposes of 
prosecution or for the execution of a custodial sentence or detention order, and of legal obligations 
of Member States deriving from Union law reg arding, in particular, the principles of freedom of 
movement and non -discrimination on grounds of nationality.  
2. The executing judicial authority of a Member State may seek the advice of Eurojust when 
making the choice referred to in paragraph 1.  
3. In the event of a conflict between an arrest warrant and a request for extradition presented 
by a third country, the decision as to whether the arrest warrant or the extradition request takes 
precedence shall be taken by the competent authority of the executing S tate with due consideration 
of all the circumstances, in particular those referred to in paragraph 1 and those mentioned in the 
applicable convention.  
 
343 
 4. This Article is without prejudice to the States’ obligations under the Statute of the 
International Crimi nal Court.  
Article LAW.SURR.95: Time limits and procedures for the decision to execute the arrest warrant  
1. An arrest warrant shall be dealt with and executed as a matter of urgency.  
2. In cases where the requested person consents to surrender, the final decis ion on the 
execution of the arrest warrant shall be taken within ten days after the consent was given.  
3. In other cases, the final decision on the execution of the arrest warrant shall be taken within 
60 days after the arrest of the requested person.  
4. Where i n specific cases the arrest warrant cannot be executed within the time limits laid 
down in paragraphs 2 or 3, the executing judicial authority shall immediately inform the issuing 
judicial authority of that fact, giving the reasons for the delay. In such c ases, the time limits may be 
extended by a further 30 days.  
5. As long as the executing judicial authority has not taken a final decision on the arrest 
warrant, it shall ensure that the material conditions necessary for the effective surrender of the 
person r emain fulfilled.  
6. Reasons must be given for any refusal to execute an arrest warrant.  
Article LAW.SURR.96: Situation pending the decision  
1. Where the arrest warrant has been issued for the purpose of conducting a criminal 
prosecution, the executing judicial authority shall either:  
(a) agree that the requested person should be heard according to Article LAW.SURR.97 [Hearing 
the person pending the decision] ; or 
(b) agree to the temporary transfer of the  requested person.  
2. The conditions and the duration of the temporary  transfer shall be determined by mutual 
agreement between the issuing and executing judicial authorities.  
3. In the case of temporary transfer, the person must be able to return to the executing State 
to attend hearings which concern that person as part of th e surrender procedure.  
Article LAW.SURR.97: Hearing the person pending the decision  
1. The requested person shall be heard by a judicial authority. To that end, the requested 
person shall be assisted by a lawyer designated in accordance with the law of the i ssuing State.  
2. The requested person shall be heard in accordance with the law of the executing State and 
with the conditions determined by mutual agreement between the issuing and executing judicial 
authorities.  
3. The competent executing judicial authority ma y assign another judicial authority of its State 
to take part in the hearing of the requested person in order to ensure the proper application of this 
Article.  
 
344 
 Article LAW.SURR.98: Privileges and immunities  
1. Where the requested person enjoys a privilege or immunity regarding jurisdiction or 
execution in the executing State, the time limits referred to in Article LAW.SURR.95 [Time limits and 
procedures for the decision to execute the arrest warrant] only start running when, or if, the 
executing judicial authority is informed of the fact that the privilege or immunity has been waived.  
2. The executing State shall ensure that the material conditions necessary for effective 
surrender are fulfilled when the person no longer enjoys such privilege or immunity.  
3. Where power to waive the privilege or immunity lies with an authority of the executing 
State, the executing judicial authority shall request that authority to exercise that power without 
delay. Where power to waive  the privilege or immunity lies with an authority of another State, third 
country or international organisation, the issuing judicial authority shall request that authority to 
exercise that power.  
Article LAW.SURR.99: Competing international obligations  
1. This Agreement does not prejudice the obligations of the executing State where the 
requested person has been extradited to that State from a third country and where that person is 
protected by provisions of the arrangement under which that person was extrad ited concerning the 
speciality rule. The executing State shall take all necessary measures for requesting without delay 
the consent of the third country from which the requested person was extradited so that the 
requested person can be surrendered to the S tate which issued the arrest warrant. The time limits 
referred to in Article LAW.SURR.95 [ Time limits and procedures for the decision to execute the arrest 
warrant]  do not start running until the day on which the speciality rule ceases to apply.  
2. Pending t he decision of the third country from which the requested person was extradited, 
the executing State shall ensure that the material conditions necessary for effective surrender 
remain fulfilled.  
Article LAW.SURR.100: Notification of the decision  
The execu ting judicial authority shall notify the issuing judicial authority immediately of the decision 
on the action to be taken on the arrest warrant.  
Article LAW.SURR.101: Time limits for surrender of the person  
1. The requested person shall be surrendered as soo n as possible on a date agreed between 
the authorities concerned.  
2. The requested person shall be surrendered no later than ten days after the final decision on 
the execution of the arrest warrant.  
3. If the surrender of the requested person within the time lim it in paragraph 2 is prevented by 
circumstances beyond the control of any of the States, the executing and issuing judicial authorities 
shall immediately contact each other and agree on a new surrender date. In that event, the 
surrender shall take place wi thin ten days of the new date thus agreed.  
4. The surrender may exceptionally be temporarily postponed for serious humanitarian 
reasons, for example if there are substantial grounds for believing that the surrender would 
manifestly endanger the requested pers on's life or health. The execution of the arrest warrant shall 
 
345 
 take place as soon as those grounds have ceased to exist. The executing judicial authority shall 
immediately inform the issuing judicial authority and agree on a new surrender date. In that eve nt, 
the surrender shall take place within ten days of the new date - agreed.  
5. Upon the expiry of the time limits referred to in paragraphs 2 to 4, if the requested person is 
still being held in custody, that person shall be released. The executing and issui ng judicial 
authorities shall contact  each other as soon as it appears that a person is to be released under this 
paragraph and agree the arrangements for the surrender of that person.  
Article LAW.SURR.102: Postponed or conditional surrender  
1. After deciding  to execute the arrest warrant, the executing judicial authority may postpone 
the surrender of the requested person so that the requested person may be prosecuted in the 
executing State or, if the requested person has already been sentenced, so that the re quested 
person may serve, a sentence passed for an act other than that referred to in the arrest warrant in 
the territory of the executing State.  
2. Instead of postponing the surrender, the executing judicial authority may temporarily 
surrender the requested person to the issuing State under conditions to be determined by mutual 
agreement between the executing and the issuing judicial authorities. The agreement shall be made 
in writing and the conditions shall be binding on all the authorities in the issuing S tate.  
Article LAW.SURR.103: Transit  
1. 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:  
(a) the identity and nationality of the person subject to the arrest warrant;  
(b) the existence of an arrest warrant;  
(c) the nature and legal classification of the offence; and  
(d) the description  of the circumstances of the offence, including the date and place.  
2. The State, on behalf of which a notification has been made in accordance with Article 
LAW.SURR.83(2) [Nationality exception] to the effect that its own nationals will not be surrendered 
or that surrender will be authorised only under certain specified cond itions, may refuse the transit of 
its own nationals through its territory under the same terms or submit it to the same conditions.  
3. The States shall designate an authority responsible for receiving transit requests and the 
necessary documents, as well as any other official correspondence relating to transit requests.  
4. The transit request and the information referred to in paragraph 1 may be addressed to the 
authority designated pursuant to paragraph 3 by any means capable of producing a written record. 
The State of transit shall notify its decision by the same procedure.  
5. This Article does not apply in the case of transport by air without a scheduled stopover. 
However, if an unscheduled landing occurs, the issuing State shall provide the authority designated 
pursuant to paragraph 3 with the information referred to in paragraph 1.  
 
346 
 6. Where a transit concerns a person who is to be extradited from a third country to a State, 
this Article applies mutatis mutandis . In particular, references to an “arrest warrant” shal l be treated 
as references to an “extradition request”.  
Article LAW.SURR.104: Deduction of the period of detention served in the executing State  
1. The issuing State shall deduct all periods of detention arising from the execution of an arrest 
warrant from t he total period of detention to be served in the issuing State as a result of a custodial 
sentence or detention order being passed.  
2. All information concerning the duration of the detention of the requested person on the 
basis of the arrest warrant shall be  transmitted by the executing judicial authority or the central 
authority designated under Article LAW.SURR.85 [Recourse to the central authority] to the issuing 
judicial authority at the time of the surrender.  
Article LAW.SURR.105: Possible prosecution f or other offences  
1. 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, in relations 
with other States to which the same notification appl ies, consent is presumed to have been given for 
the prosecution, sentencing or detention of a person with a view to the carrying out of a custodial 
sentence or detention order for an offence committed prior to the person’s surrender, other than 
that for wh ich that person was surrendered, unless in a particular case the executing judicial 
authority states otherwise in its decision on surrender.  
2. Except in the cases referred to in paragraphs 1 and 3, a person surrendered may not be 
prosecuted, sentenced or oth erwise deprived of liberty for an offence committed prior to that 
person's surrender other than that for which the person was surrendered.  
3. Paragraph 2 of this Article does not apply in the following cases:  
(a) 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;  
(b) the offence is not punishable by a custodial sentence or detention order;  
(c) the criminal proceedings do not give rise to the application of a measure restricting personal 
liberty;  
(d) 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 o f a financial penalty, even if the penalty or 
measure may give rise to a restriction of the person’s personal liberty;  
(e) the person consented to be surrendered, where appropriate at the same time as the person 
renounced the speciality rule, in accordance wit h Article LAW.SURR.91 [Consent to surrender];  
(f) 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 
 
347 
 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  
(g) the executing  judicial authority which surrendered the person gives its consent in accordance 
with paragraph 4 of this Article.  
4. A request for consent shall be submitted to the executing judicial authority, accompanied by 
the inf ormation referred to in Article LAW.SURR.86(1) [Content and form of the arrest warrant] and 
a translation  as referred to in Article LAW.SURR.86(2) [Content and form of the arrest warrant]. 
Consent shall be given where the offence for which it is requested is itself subject to surrender in 
accordance with the provisions of this Title. Consent shall be refused on the grounds referred to in 
Article LAW.SURR.80 [Grounds for mandatory non -execution of the arrest warrant] and otherwise 
may be refused only on the grounds referred to in Article LAW.SURR.81 [ Other grounds for non -
execution of the arrest warrant] , or Article LAW.SURR.82(2) [Political offence exception] and Article 
LAW.SURR.83(2) [Nationality exception]. The decision shall be taken no later than 30 day s after 
receipt of the request. For the situations laid down in Article LAW.SURR.84 [ Guarantees to be given 
by the issuing State in particular cases]  the issuing State must give the guarantees provided for 
therein.  
Article LAW.SURR.106: Surrender or subse quent extradition  
1. 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, in relations 
with other States to which the same notification appl ies, the consent for the surrender of a person 
to a State other than the executing State pursuant to an arrest warrant or European arrest warrant 
issued for an offence committed prior to that person's surrender is presumed to have been given, 
unless in a p articular case the executing judicial authority states otherwise in its decision on 
surrender.  
2. 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:  
(a) the requested person, having had an opport unity 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;  
(b) the requested person consents to be surrendered to a S tate other than the executing State 
pursuant to an arrest warrant or European arr est 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 draw n 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  
(c) the requested person is not subject to the speciality  rule, in accordance with points (a), (e), (f) 
or (g) of Article LAW.SURR.105(3) [Possible prosecution for other offences].  
3. The executing judicial authority shall consent to the surrender to another State in 
accordance with the following rules:  
 
348 
 (a) the request for consent shall be submitted in accordance with Article LAW.SURR.87 
[Transmission of an arrest warrant], accompanied by the information set out in Article 
LAW.SURR.86(1) [Content and form of the arrest warrant] and a translation as referred t o in 
Article LAW.SURR.86(2) [Content and form of the arrest warrant];  
(b) 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;  
(c) the decision shall be taken no lat er than 30 days after receipt of the request; and  
(d) consent shall be refused on  the grounds referred to in Article LAW.SURR.80 [Grounds for 
mandatory non -execution of the arrest warrant] and otherwise may be refused only on the 
grounds referred to in Articl e LAW.SURR.81 [Other grounds for non -execution of the arrest 
warrant], Article LAW.SURR.82(2) [Political offence exception] and Article LAW.SURR.83(2) 
[Nationality exception].  
4. For the situations referred to in Article LAW.SURR.84 [Guarantees to be given b y the issuing 
State in particular cases], the issuing State shall give the guarantees provided for therein.  
5. Notwithstanding paragraph 1, a person who has been surrendered pursuant to an arrest 
warrant shall not be extradited to a third country without the  consent of the competent authority of 
the State which surrendered the person. Such consent shall be given in accordance with the 
Conventions by which that State is bound, as well as with its domestic law.  
Article LAW.SURR.107: Handing over of property  
1. 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:  
(a) may be required as evidence ; or 
(b) has been acquired by the re quested person as a result of the offence.  
2. The property referred to in paragraph 1 shall be handed over even if the arrest warrant 
cannot be carried out owing to the death or escape of the requested person.  
3. If the property referred to in paragraph 1 is liable to s eizure or confiscation in the territory of 
the executing State, that State may, if the property is needed in connection with pending criminal 
proceedings, temporarily retain it or hand it over to the issuing State on condition that it is returned.  
4. Any righ ts which the executing State or third parties may have acquired in the property 
referred to in paragraph 1 shall be preserved. Where such rights exist, the issuing State shall return 
the property without charge to the executing State as soon as the crimina l proceedings have been 
terminated.  
Article LAW.SURR.108: Expenses  
1. Expenses incurred in the territory of the executing State for the execution of an arrest 
warrant shall be borne by that State.  
2. All other expenses shall be borne by the issuing State.  
 
349 
 Article LAW.SURR.109: Relation to other legal instruments  
1. 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 foll owing conventions applicable in the field of extradition in relations between the United 
Kingdom, on the one side, and Member States, on the other side:  
(a) the European Convention on Extradition , done at Paris on 13 December 1957, and its 
additional protocols ; and  
(b) the European  Convention on the Suppression of Terrorism, as far as extradition is concerned .  
2. Where the Conventions referred to in paragraph 1 apply to the territories of States or to 
territories for whose external relations a State is responsible t o which this Title does not apply, those 
Conventions continue to govern the relations existing between those territories and the other 
States.  
Article LAW.SURR.110: Review of notifications  
When carrying out the joint review of this  Title  as referred to in  Article LAW.OTHER.135(1) [ Review 
and evaluation ], the Parties shall consider the need to maintain the notifications made under Article 
LAW.SURR.79(4) [Scope], Article LAW.SURR.82(2) [ Political offence exception]  and Article 
LAW.SURR.83(2) [Nationality exc eption]. If the notifications referred to in Article LAW.SURR.83(2) 
[Nationality exception] are  not renewed, they shall expire five years after the date of entry into force 
of this Agreement. Notifications as referred to in Article LAW.SURR.83(2) [National ity exception] 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 LAW.SURR.83(2)  [Nationality exception] are met at that time.   
Article LAW.SURR.111: Ongoing arrest warrants in case of disapplication  
Notwithstanding Article LAW.GEN.5 [Scope of cooperation where a Member State no longer 
participates in analogous measure under Union law]; Article.LAW.OTHER.136 [ Termination]  and 
Article LAW.OTHER.137 [Suspension], the  provisions of this Title apply in res pect 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 per son is to remain in detention or be provisionally released.  
Article LAW.SURR.112: 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/ JHA81 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 A SSISTANCE  
                                                            
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).  
 
350 
 Article LAW.MUTAS.113: Objective  
1. 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:  
(a) the European Convention on Mutual Assistance in Criminal Matters, done at Str asbourg on 20 
April 1959 (the "European Mutual Assistance Convention");  
(b) the Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 
17 March  1978; and  
(c) the Second Additional  Protocol to the European Mutual Assistance Conventi on, done at 
Strasbourg on 8 November 2001.  
2. This Title is without prejudice  to the provisions of Title IX [Exchange of information extracted 
from the criminal record], which takes precedence over this Title.  
Article LAW.MUTAS.114: Definition of competent au thority  
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 d efined 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 (c) of Article LAW.OTHER.134(7) 
[Notifications]; with regard t o such Union bodies, the provisions of this Title apply accordingly.  
Article LAW.MUTAS.115: Form for a request for mutual assistance  
1. The Specialised Committee on Law Enforcement and Judicial Cooperation shall undertake to 
establish a standard form for requ ests for mutual assistance by adopting an annex to this 
Agreement.  
2. If the Specialised Committee on Law Enforcement and Judicial Cooperation has adopted a 
decision in accordance with  paragraph 1, requests for mutual assistance shall be made using the 
standard form.  
3. The Specialised Committee on Law Enforcement and Judicial Cooperation may  amend the 
standard form  for requests for mutual assistance as may be necessary.  
Article LAW.MUTAS. 116 Conditions for a request for mutual assistance  
1. 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:  
(a) the request is necessary and proportionate for the pu rpose of the proceedings, taking into 
account the rights of the suspected or accused person; and  
(b) the investigative measure or  investigative measures indicated in the request could have been 
ordered under the same conditions in a similar domestic case.  
2. The requested  State may consult the requesting State if the competent authority of the 
requested State is of the view that the conditions in paragraph 1 are not met. After the consultation, 
 
351 
 the competent authority of the requesting State may decide to withdraw  the request for mutual 
assistance . 
Article LAW.MUTAS.117: Recourse to a different type of investigative measure  
1. Wherever possible, the competent authority of the requested State shall consider recourse 
to an investigative measure other than the measure in dicated in the request for mutual assistance if:  
(a) the investigative measure indicated  in the request does not exist under the law of the 
requested State; or  
(b) the investigative  measure indicated in the request would not be available in a similar domestic 
case . 
2. Without prejudice to the grounds for refusal available under the European Mutual 
Assistance Convention and its Protocols and under Article LAW.MUTAS.119 [ Ne bis in idem ], 
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:  
(a) 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;  
(b) the hearing of a witness, expert, victim, suspected or accused person or third party in the 
territory of the requested State;  
(c) any non -coercive investigative measure as defined under the law of the requested State; and  
(d) the identificat ion of persons holding a subscription to a specified phone number or IP address.  
3. The competent authority of the requested State may also have recourse to an investigative 
measure other than the measure indicated in the request for mutual assista nce if the investigative 
measure selected by the competent authority of the requested State would achieve the same result 
by less intrusive means than the investigative measure indicated in the request.  
4. If the competent authority of the requested State dec ides to have recourse to a measure 
other than that indicated in the request for mutual assistance as referred to in paragraphs 1 or 3, it 
shall first inform the competent authority of the requesting State, which may decide to withdraw or 
supplement the req uest.  
5. If the investigative measure indicated in the request does not exist under the law of the 
requested State or would not be available in a similar domestic case, and there is no other 
investigative measure which would have the same result as the invest igative measure requested, the 
competent authority of the requested State shall inform the competent authority of the requesting 
State that it is not possible to provide the assistance requested.  
Article LAW.MUTAS.118: 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:  
 
352 
 (a) it is impossible to execute the request for mutual assistance due to the fact that the request is 
incomplete or manifestly incorrect; or  
(b) 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 LAW.MUTAS.119: Ne bis in idem  
Mutual assistance may be re fused, 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, prosec utions 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 enfor ced or can no longer be enforced under the law of the 
sentencing State.  
Article LAW.MUTAS.120: Time limits  
1. The requested State shall decide whether to execute the request for mutual assistance as 
soon as possible and in any event no later than 45 days afte r the receipt of the request and shall 
inform the requesting State of its decision.  
2. A request for mu tual assistance shall be executed as soon as possible and in any event  no 
later than 90 days after the decision referred to in paragraph 1 of this Article o r after the 
consultation referred to in Article LAW.MUTAS.116(2) [Conditions for a request for mutual 
assistance] has taken place.  
3. If it is indicated in the request for mutual assistance that, due to procedural deadlines, the 
seriousness of the offence or other particularly urgent circumstances, a shorter time limit than that 
provided for in paragraph 1 or 2 is necessary, or if it is indicated in the request that a measure for 
mutual assistance is to be carried out on a specific date, the requested State sh all take as full 
account as possible of that requirement.  
4. If a requ est for mutual assistance is made to take provisional measures pursuant to Article 
24 of the Second Additional Protocol to the European Mutual Assistance Convention, the competent 
authority of the requested State shall decide on the provisional measure, an d shall communicate 
that decision to the competent authority of the requesting State, as soon as possible after the 
receipt of the request. Before lifting any provisional measure taken pursuant to this Article, the 
competent authority of the requested Stat e, wherever possible, shall give the competent authority 
of the requesting State an opportunity to present its reasons in favour of continuing the measure.  
5. If in a specific case, the time limit provided for in paragraph 1 or 2, or the ti me limit or 
specifi c date referred to in paragraph 3 cannot be met, or the decision on taking provisional 
measures in accordance with paragraph 4 is delayed, the competent authority of the requested 
State shall, without delay, inform the competent authority of the requesting  State by any means, 
giving the reasons for the delay, and shall consult with the competent authority of the requesting 
State on the appropriate timing to execute the request for mutual assistance.  
 
353 
 6. The time limits referred to in this Article  do not apply i f the request for mutual assis tance 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:  
(a) speeding, if no injury or death was caused to another person and if the excess speed was not 
significant;  
(b) failure to wear a seatbelt;  
(c) failure to stop at a red light or other mandatory stop signal;  
(d) failure to wear a safety helmet; or  
(e) using a fo rbidden lane  (such as the forbidden use of an emergency lane, a lane reserved for 
public transport, or a lane closed down for road works).  
7. The Specialised Committee on Law Enforcement and Judicial Cooperation shall keep the 
operation of paragraph 6 under review. It sh all undertake to set time limits for the requests to which 
paragraph 6 applies within  three years of the entry into force of this Agreement, taking into account 
the volume of requests. It may also decide that paragraph 6 shall no longer apply.  
Article LAW. MUTAS.121: Transmission of requests for mutual assistance  
1. In addition to the channels of communication provided for under the European Mutual 
Assistance Convention and its Protocols, if direct transmission is provided for under their respective 
provisions,  requests for mutual assistance may also be transmitted directly by public prosecutors in 
the United Kingdom to competent authorities of the Member States.  
2. In addition to the channels of communication provided for under the European Mutual 
Assistance Conve ntion and its Protocols, in urgent cases, any request for mutual assistance, as well 
as spontaneous information, may be transmitted via Europol or Eurojust, in line with the provisions 
in the respective Titles of this Agreement.  
Article LAW.MUTAS.122: Join t 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 O F CRIMINAL RECORD IN FORMATION  
Article LAW.EXINF.120: Objective  
1. The objective of this Title is to enable the exchange between the Members States, on the 
one side, and the United  Kingdom, on the other side, of information extracted from the criminal 
record.  
2. In the relations between the United Kingdom and the Member States, the provisions of this 
Title:  
 
354 
 (a) supplement Articles 13 and 22(2) of the European Convention on Mutual Assistan ce in 
Criminal Matters and its Additional Protocols of 17 March 1978 and 8 November 2001; and  
(b) replace Article 22(1) of the Euro pean Convention on Mutual Assistance in Criminal Matters, as 
supplemented by Article 4 of its Additional Protocol of 17 March 197 8.  
3. In the relations between a Member State, on the one side, and the United Kingdom, on the 
other side, each shall waive the right to rely on its reservations to Article 13 of the European 
Convention on Mutual Assistance in Criminal Matters and to Article  4 of its Additional Protocol of 17 
March 1978.  
Article LAW.EXINF.121: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “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;  
(b) “criminal proceedings” means the pre -trial stag e, the trial stage and the execution of a 
conviction;  
(c) “criminal  record” means the domestic register or registers recording convictions in accordance 
with domestic law.   
Article LAW.EXINF.122: 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 Mu tual Assistance in Criminal Matters.  
Article LAW.EXINF.123: Notifications  
1. Each State shall take the necessary measures to ensure that all convictions handed down 
within its territory are accompanied, when provided to its criminal record, by information on the 
nationality or nationalities of the convicted person if that person is a national of another State.  
2. The central authority of each State shall inform the central authority of any other State of all 
criminal convictions handed down within its territory i n respect of nationals of the latter State, as 
well as of any subsequent alterations or deletions of information  contained in the criminal record, as 
entered in the criminal record. The central authorities of the States shall communicate such 
information t o each other at least once per month.  
3. If the central authority of a State becomes aware of the fact that a convicted person is a 
national of two or more other States, it shall transmit the relevant information to each of those 
States, even if the convicte d person is a national of the State within whose territory that person was 
convicted.  
Article LAW.EXINF.124: Storage of convictions  
1. The central authority of each State shall store all information notified under Article 
LAW.EXINF.123 [Notifications].  
 
355 
 2. The central authority of each  State shall ensure that if a subsequent alteration or deletion is 
notified under Article LAW.EXINF.123(2) [Notifications], an identical alteration or deletion is made to 
the information stored in accordance with paragraph 1 of thi s Article.  
3. The central authority of each  State shall ensure that only information which has been 
updated in accordance with paragraph 2 of this Article is provided when replying to requests made 
under Article LAW.EXINF.125 [Requests for information].  
Article LAW.EXINF.125: Requests for information  
1. If information from the criminal record of a State is requested at domestic level for the 
purposes of criminal proceedings against a person or for any purposes other than that of criminal 
proceedings, the central  authority of that State may, in accordance with its domestic law, submit a 
request to the central authority of another State for information and related data to be extracted 
from the criminal record.  
2. If a person asks the central authority of a State other  than the State of the person’s 
nationality for information  on the person’s own criminal record, that central authority shall submit a 
request to the central authority of the State of the person’s nationality for information and related 
data to be extracte d from the criminal record in order to be able to include that information and 
related data in the extract to be provided to the person concerned.  
Article LAW.EXINF.126: Replies to requests  
1. Replies to requests for information shall be transmitted by the central authority of the 
requested State to the central authority of the requesting State as soon as possible and in any event 
within 20 working days from the date the request was received.  
2. The central authority of each State shall reply to requests made f or purposes other than that 
of criminal proceedings in accordance with its domestic law.  
3. Notwithstanding paragraph 2, when replying to requests made for the purposes of 
recruitment for professional or organised voluntary activities involving direct and reg ular contacts 
with children, the States shall include information on the existence of criminal convictions for 
offences related to sexual abuse or sexual  exploitation of children, child pornography, solicitation of 
children for sexual purposes, including i nciting, aiding and abetting or attempting to commit any of 
those offences, as well as information on the existence of any disqualification from exercising 
activities involving direct and regular contacts with children arising from those criminal convictio ns.  
Article LAW.EXINF.127: 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 
LAW -6.  
Article LAW.EXINF.128: Conditions for the use of personal data  
1. Each State may use personal data received in reply to its request under Article 
LAW.EXINF.126 [Replies to requests] only for the purposes for which they were requested.  
2. If the information was  requested for any purposes other than that of criminal proceedings, 
personal data received  under Article LAW.EXINF.126 [Replies to requests] may be used by the 
 
356 
 requesting State in accordance with its domestic law only within the limits specified by the 
requested State in the form set out in Chapter 2 of ANNEX LAW -6. 
3. Notwithstanding  paragraphs 1 and 2 of this Article, personal data provided by a State in 
reply to a request under Article LAW.EXINF.126 [Replies to requests] may be used by the requesting 
State  to prevent an immediate and serious threat to public security.  
4. Each State shall ensure that their central authorities do not disclose personal data  notified 
under Article LAW.EXINF.123 [Notifications] to authorities in third countries  unless the followin g 
conditions are met:  
(a) the personal data are disclosed only on a case -by-case basis;  
(b) 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 para graph;  
(c) the personal data are disclosed only if necessary:  
(i) for the purposes  of criminal  proceedings;   
(ii) for any purposes  other  than  that of criminal  proceedings;  or  
(iii) to preven t an immediate  and serious  threat  to public  security;  
(d) the personal data may be use d 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 LAW.EXINF.123 [Notifications]; and  
(e) the personal data are disclosed o nly if the central aut hority, 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.  
5. This Article does  not apply to personal data obtained by a State under this Title and 
originating from that State.  
TITLE X: ANTI -MONEY LAUNDERING AND COUNT ER TERRORIST FINANCI NG  
Article LAW.AML.127: Objective  
The objective of this Title is to support and strengthen action by the Union and the Unit ed Kingdom 
to prevent and combat money laundering and terrorist financing.  
Article LAW.AML.128: Measures to prevent and combat money laundering and terrorist financing  
1. The Parties agree to support international efforts to prevent and combat money launderin g 
and terrorist financing. The Parties recognise the need to cooperate in preventing the use of their 
financial systems to launder the proceeds of all criminal activity, including drug trafficking and 
corruption, and to combat terrorist financing.  
2. The Part ies shall exchange relevant information, as appropriate within their respective legal 
frameworks.  
 
357 
 3. The Parties shall each maintain a comprehensive regime to combat money laundering and 
terrorist financing, and regularly review the need to enhance that regim e, taking account of the 
principles and objectives of the Financial Action Task Force Recommendations.  
Article LAW.AML.129 Beneficial ownership transparency for corporate and other legal entities  
1. For the purposes of this Article, the following definitions apply:  
(a) “beneficial  owner” means any individual in respect of a corporate entity who, in accordance 
with the Party’s laws and regulations:  
(i) exercises  or has the right  to exercise  ultimate  control  over  the management  of the 
entity;  
(ii) 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 
(iii) 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 AML. 130(1) [Beneficial Ownership 
transparency of legal arrangements], 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 suc h 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.  
(b) “basic information about a beneficial owner” means the beneficia l 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;  
(c) “competent  authorities” means:  
(i) public  authorities,  includi ng Financial  Intelligence  Units,  that have  designated  
responsibilities  for combating  money  laundering  or terrorist  financing;  
(ii) public  authorities  that have  the function  of investigating  or prosecuting  money  
laundering,  associated  predicate  offences  or terro rist financing,  or that have  the 
function  of tracing,  seizing  or freezing  and confiscating  criminal  assets;  
(iii) 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.  
 
2. Each Party shall ensure that legal entities in its territory maintain ad equate, accurate and up -
to-date information about beneficial owners. Each Party shall put in place mechanisms to ensure 
that their competent authorities have timely access to such information.  
 
358 
 3. Each Party shall establish or maintain a central register holding adequate, up -to-date and 
accurate information about beneficial owners. In the case of the Union, the central registers shall be 
set up at the level of the Member States. This obligation shall not apply in respect of legal entities 
listed on a stock  exchange that are subject to disclosure requirements regarding an adequate level of 
transparency. Where no beneficial owner is identified in respect of an entity, the register shall hold 
alternative information, such as a statement that no beneficial owne r has been identified or details 
of the natural person or persons who hold the position of senior managing official in the legal entity.  
4. Each Party shall ensure that the information held in its central register or registers is made 
available to its compete nt authorities without restriction and in a timely manner.  
5. Each Party shall ensure that basic information about beneficial owners is made available to 
any member of the public. Limited exceptions may be made to the public availability of information 
under this paragraph in cases where public access would expose the beneficial owner to 
disproportionate risks, such as risks of fraud, kidnapping, blackmail, extortion, harassment, violence 
or intimidation, or where the beneficial owner is a minor or otherwise l egally incapable.  
6. Each Party shall ensure that there are effective, proportionate and dissuasive sanctions 
against legal or natural persons who fail to comply with requirements imposed on them in 
connection with the matters referred to in this Article.  
7. Each Party shall ensure that its competent authorities are able to provide the information 
referred to in paragraphs 2 and 3 to the competent authorities of the other Party in a timely and 
effective manner and free of charge. To that end, the Parties shall co nsider ways to ensure the 
secure exchange of information.  
Article LAW.AML.130 Beneficial ownership transparency of legal arrangements  
1. For the purposes of this Article, the following definitions apply:  
(a) “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;  
(b) “com petent  authorities” means:  
(i) public  authorities,  including  Financial  Intelligence  Units,  that have  designated  
responsibilities  for combating  money  laundering  or terrorist  financing;  
(ii) 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; 
(iii) 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 additio nal competent 
authorities that can access information about beneficial owners.  
 
359 
 2. Each Party shall ensure that trustees of express trusts maintain adequate, accurate and up -
to-date information about beneficial owners. These measures shall also apply to other legal 
arrangements identified by each Party as having a structure or function similar to trusts.  
3. Each Party shall put in place mechanisms to ensure that its competent authorities have 
timely access to adequate, accurate and up -to-date information about beneficial owners of express 
trusts and other legal arrangements with a structure or function similar to trusts in its territory.  
4. If the beneficial ownership information about trusts or similar legal arrangements is held in a 
central register, the State co ncerned shall ensure that the information is adequate, accurate and up -
to-date, and that competent authorities have timely and unrestricted access to such information. 
The Parties shall endeavour to consider ways to provide access to beneficial ownership i nformation 
about trusts and similar legal arrangements to individuals or organisations who can demonstrate a 
legitimate interest in seeing such information.  
5. Each Party shall ensure that there are effective, proportionate and dissuasive sanctions 
against l egal or natural persons who fail to comply with requirements imposed on them in 
connection with the matters referred to in this Article.  
6. Each Party shall ensure that its competent authorities are able to provide the information 
referred to in paragraph 3 t o the competent authorities of the other Party in a timely and effective 
manner and free of charge. To that end, the Parties shall consider ways to ensure the secure 
exchange of information.  
TITLE XI: FREEZING A ND CONFISCATION  
Article LAW.CONFISC.1: Obje ctive and principles of cooperation  
1.  The objective of this Title is to provide for cooperation between the United Kingdom, on the 
one side, and the Member States, on the other side, to the widest extent possible for the purposes 
of investigations and proc eedings aimed at the freezing of property with a view to subsequent 
confiscation thereof and investigations and proceedings aimed at the confiscation of property within 
the framework of proceedings in criminal matters. This does not preclude other cooperat ion 
pursuant to Article LAW.CONFISC.10(5) and (6) [Obligation to confiscate]. This Title also provides for 
cooperation with Union bodies designated by the Union for the purposes of this Title.  
2. Each State shall comply, under the conditions provided for in t his Title, with requests from 
another State:  
(a)  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;  
(b)  for inve stiga tive assistance and provisional measures with a view to either form of 
confiscation referred to in point (a).  
3. Investigative assistance and provisional measures sought under point (b)  of paragraph 2 
shall be carried out as permitted by and in accordance wit h the domestic law of the requested State. 
Where the request concerning one of these measures specifies formalities or procedures which are 
necessary under the domestic law of the requesting State, even if unfamiliar to the requested State, 
the latter shal l comply with such requests to the extent that the action sought is not contrary to the 
fundamental principles of its domestic law.  
 
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 4. The requested State shall ensure that the requests coming from another State to identify, 
trace, freeze or seize the proceed s and instrumentalities, receive the same priority as those made in 
the framework of domestic procedures.  
5. When requesting confiscation, investigative assistance and provisional measures for the 
purposes of confiscation, the requesting State shall ensure th at the principles of necessity and 
proportionality are respected.  
6. The provisions of this Title apply in place of the “international cooperation” Chapters of the 
Council of Europe Convention on Laundering, Search, Seizure and Confiscation of the Proceeds from 
Crime and on the Financing of Terrorism , done at Warsaw on 16 May 2005 (“the 2005 Convention”) 
and the Convention on Laundering, Search, Seizure and Confiscation of the Proceeds from Crime, 
done at Strasbourg on 8 November 1990 (“the 1990 Convention”) . Article LAW.CONFISC.2 
[Definitions] of this Agreement replaces the corresponding definitions in Article 1 of the 2005 
Convention and Article 1 of the 1990 Convention. The provisions of this Title do not affect the States’ 
obligations under the other prov isions of the 2005 Convention and the 1990 Convention.  
Article LAW.CONFISC.2: Definitions  
For the purposes of this Title, the following definitions apply:  
(a) “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;  
(b) “freezing” or “seizure” means temporarily prohibiting the transfer, destruction, conversion, 
disposition or movement of property or temporarily assuming custody or cont rol of property 
on the basis of an order issued by a court or other competent authority;  
(c) “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;  
(d) “judicial auth ority” 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;  
(e) “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;  
(f) “property” includes property of any description, whether corporeal or incorporea l, movable or 
immovable, and legal documents or instruments evidencing title or interest in such property, 
which the requesting State considers to be:  
(i) 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;  
(ii) the instrumentalities  of a criminal  offence,  or the value  of such  instrumentalities;  
(iii) subject  to confisc ation  under  any other  provisions  relating  to powers  of confiscation  
under  the law of the requesting  State,  following  proceedings  in relation  to a criminal  
 
361 
 offence,  including  third  party  confiscation,  extended  confiscation  and confiscation  
without  final  conviction.  
Article LAW.CONFISC.3: 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 LAW.CONFISC.4: Requests for information on bank accounts and safe deposit boxes  
1. The requested State shall, under the conditions set out in this Article, take the measures 
necessary to determine, in answer to a request sent by another State, whether a natural or legal 
person that is the subject of a crim inal investigation holds or controls one or more accounts, of 
whatever nature, in any bank located in its territory and, if so, provide the details of the identified 
accounts. These details shall in particular include the name of the customer account holde r and the 
IBAN number, and, in the case of safe deposit boxes, the name of the lessee or a unique 
identification number.  
2. The obligation set out in paragraph 1 applies only to the extent that the information is in the 
possession of the bank keeping the account.  
3. In addition to the requirements of Article LAW.CONFISC.25 [Content of request], the 
requesting State shall, in the request:  
(a) 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;  
(b) state on what grounds it presumes that banks in the requested State hold the account a nd 
specify, to the widest extent possible, which banks and accounts may be involved; and  
(c) include  any additional information available which may facilitate the execution of the request.  
4. The United Kingdom and the Union, acting on behalf of any of its M ember States, may each 
notify the Specialised Committee on Law Enforcement and Judicial Cooperation that this Article will 
be extended to accounts held in non -bank financial institutions. Such notifications may be made 
subject to the principle of reciproci ty. 
Article LAW.CONFISC.5: Requests for information on banking transactions  
1. On request by another State, the requested State shall provide the particulars of specified 
bank accounts and of banking operations which have been carried out during a specified p eriod 
through one or more accounts specified in the request, including the particulars of any sending or 
recipient account.  
2. The obligation set out in paragraph 1 applies only to the extent that the information is in the 
possession of the bank keeping the a ccount.  
 
362 
 3. In addition to the requirements of Article LAW.CONFISC.25 [Content of request], the 
requesting State shall indicate in its request why it considers the requested information relevant for 
the purposes of the criminal investigation into the offence.  
4. The requested State may make the execution of such a request dependent on the same 
conditions as it applies in respect of requests for search and seizure.  
5. The United Kingdom and the Union, acting on behalf of any of its Member States, may each 
notify the S pecialised Committee on Law Enforcement and Judicial Cooperation that this Article will 
be extended to accounts held in non -bank financial institutions. Such notifications may be made 
subject to the principle of reciprocity.  
Article LAW.CONFISC.6: Requests  for the monitoring of banking transactions  
1. The requested State shall ensure that, at the request of another State, it is able to monitor, 
during a specified period, the banking operations that are being carried out through one or more 
accounts specified i n the request and to communicate the results of the monitoring to the 
requesting State.  
2. In addition to the requirements of Article LAW.CONFISC.25 [Content of request], the 
requesting State shall indicate in its request why it considers the requested inform ation relevant for 
the purposes of the criminal investigation into the offence.  
3. The decision to monitor shall be taken in each individual case by the competent authorities 
of the requested State, in accordance with its domestic law.  
4. The practical details regarding the monitoring shall be agreed between the competent 
authorities of the requesting and requested States.  
5. 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 this Article will 
be extended to accounts held in non -bank financial institutions. Such notifications may be made 
subject to the principle of reciprocity.  
Article LAW.CONFISC.7: 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 LAW.CONFISC.8: Obligation to take provisional measures  
1. At the request of another State which has instituted a c riminal investigation or proceedings, 
or an investigation or proceedings for the purposes of confiscation, the requested State shall take 
the necessary provisional measures, such as freezing or seizing, to prevent any dealing in, transfer or 
disposal of pr operty which, at a later stage, may be the subject of a request for confiscation or which 
might satisfy the request.  
2. A State which has received a request for confiscation pursuant to Article LAW.CONFISC.10 
[Obligation to confiscate] shall, if so requested , take the measures referred to in paragraph 1 of this 
 
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 Article in respect of any property which is the subject of the request or which might satisfy the 
request.  
3. Where a request is received under this Article, the requested State shall take all necessary 
measures to comply with the request without delay and with the same speed and priority as for a 
similar domestic case  and send confirmation without delay and by any means of producing a written 
record to the requesting State.  
4. Where the requesting State sta tes that immediate freezing is necessary since there are 
legitimate grounds to believe that the property in question will immediately be removed or 
destroyed,  the requested State shall take all necessary measures  to comply with the request within 
96 hours of receiving the request and send confirmation to the requesting State by any means of 
producing a written record and without delay.  
5. Where the requested State is unable to comply with the time limits under paragraph 4, the 
requested State shall immediatel y inform the requesting State, and consult with the requesting State 
on the appropriate next steps.  
6. Any expiration of the time limits under paragraph 4 does not extinguish the requirements 
placed on the requested State by this Article.  
Article LAW.CONFIS C.9: Execution of provisional measures  
1. After the execution of the provisional measures requested in conformity with Article 
LAW.CONFISC.8(1) [Obligation to take provisional measures], the requesting State shall provide 
spontaneously and as soon as possibl e to the requested State all information which may question or 
modify the extent of those measures. The requesting State shall also provide without delay all 
complementary information required by the requested State and which is necessary for the 
implement ation of and the follow -up to the provisional measures.  
2. Before lifting any provisional measure taken pursuant to Article LAW.CONFISC.8 [Obligation 
to take provisional measures], the requested State shall, wherever possible, give the requesting 
State an op portunity to present its reasons in favour of continuing the measure.  
Article LAW.CONFISC.10: Obligation to confiscate  
1. The State which has received a request for confiscation of property situated in its territory 
shall:  
(a) enforce a confiscation order made b y a court of the requesting State in relation to such 
property; or  
(b) 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.  
2. For the purposes of point (b) of paragrap h 1, the States shall, whenever necessary, have 
competence to institute confiscation proceedings under their own domestic law.  
3. Paragraph 1 also applies to confiscation consisting in a requirement to pay a sum of money 
corresponding to the value of proceeds , if property against which the confiscation can be enforced is 
located in the requested State. In such cases, when enforcing confiscation pursuant to paragraph 1, 
 
364 
 the requested State shall, if payment is not obtained, realise the claim on any property ava ilable for 
that purpose.  
4. If a request for confiscation concerns a specific item of property, the requesting State and 
requested State may agree that the requested State may enforce the confiscation in the form of a 
requirement to pay a sum of money corresponding to the value of the property.  
5. 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:  
(a) other property into which the proceeds have been transformed or converted;  
(b) 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  
(c) 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 s ame 
manner and to the same extent as proceeds.  
6. The measures referred to in paragraph 5 include measures which allow the seizure, 
detention and forfeiture of property and assets by means of applications to civil courts.  
7. The requested State shall take the de cision on the execution of the confiscation order 
without delay, and, without prejudice to paragraph 8 of this Article, no later than 45 days after 
receiving the request. The requested State shall send confirmation to the requesting State by any 
means of p roducing a written record and without delay. Unless grounds for postponement under 
Article LAW.CONFISC.17 [Postponement] exist, the requested State shall take the concrete measures 
necessary to execute the confiscation order without delay and, at least, wi th the same speed and 
priority as for a similar domestic case.  
8. Where the requested State is unable to comply with the time limit under paragraph 7, the 
requested State shall immediately inform the requesting State, and consult with the requesting State 
on the appropriate next steps.  
9. Any expiration of the time limit under paragraph 7 does not extinguish the requirements 
placed on the requested State by this Article.  
Article LAW.CONFISC.11: Execution of confiscation  
1. The procedures for obtaining and enforcing  the confiscation under Article LAW.CONFISC.10 
[Obligation to confiscate] shall be governed by the domestic law of the requested State.  
2. The requested State shall be bound by the findings as to the facts in so far as they are stated 
in a conviction or judic ial decision issued by a court of the requesting State or in so far as such 
conviction or judicial decision is implicitly based on them.  
 
365 
 3. If the confiscation consists in the requirement to pay a sum of money, the competent 
authority of the requested State s hall convert the amount thereof into the currency of that State at 
the rate of exchange applicable at the time when the decision to enforce the confiscation is taken.  
Article LAW.CONFISC.12: Confiscated property  
1. Subject to paragraphs 2 and 3 of this Articl e, property confiscated pursuant to Articles 
LAW.CONFISC.10 [Obligation to confiscate] and LAW.CONFISC.11 [Execution of confiscation] shall be 
disposed of by the requested State in accordance with its domestic law and administrative 
procedures.  
2. When acting  on the request made by another State pursuant to Article LAW.CONFISC.10 
[Obligation to confiscate], the requested State shall, to the extent permitted by its domestic law and 
if so requested, give priority consideration to returning the confiscated proper ty to the requesting 
State so that it can give compensation to the victims of the crime or return such property to their 
legitimate owners.  
3. Where acting on the request made by another State in accordance with Article 
LAW.CONFISC.10 [Obligation to confiscat e], 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 a s 
follows:  
(a) if the amount is equal to or less than EUR 10  000, the amount shall accrue to the requested 
State ; or 
(b) if the amount is greater than EUR  10 000, the requested State shall transfer 50  % of the 
amount recovered to the requesting State.  
4. Notwithstan ding paragraph 3, the requesting State and requested State may, on a case -by-
case basis, give special consideration to concluding other such agreements or arrangements on 
disposal of property as they deem appropriate.  
Article LAW.CONFISC.13: Right of enfo rcement and maximum amount of confiscation  
1. A request for confiscation made under Article LAW.CONFISC.10 [Obligation to confiscate] 
does not affect the right of the requesting State to enforce the confiscation order itself.  
2. Nothing in this Title shall be interpreted as permitting the total value of the confiscation to 
exceed the amount of the sum of money specified in the confiscation order. If a State finds that this 
might occur, the States concerned shall enter into consultations to avoid such an effect.  
Article LAW.CONFISC.14: 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 LAW.CONFISC.10 [Obligation to confiscate] 
without  the consent of the requesting State.  
Article LAW.CONFISC.15: Grounds for refusal  
1. Cooperation under this Title may be refused if:  
 
366 
 (a) the requested State considers that executing the request would be contrary to the principle of 
ne bis in idem ; or  
(b) the offen ce 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 LAW.CONFISC.3 [Obligation to assist] t o 
LAW.CONFISC.7 [Spontaneous information] only in so far as the assistance sought involves 
coercive action.  
2. 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 Ju dicial 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:  
(a) one of the offences listed in Article LAW.SURR.79(4) [Scope], as defined by the law of the 
requesting State; and  
(b) punishable by the requesting State by a custodial sentence or a detention order for a 
maximum period of at least three years.  
3. Cooperation und er Articles LAW.CONFISC.3 [Obligation to assist] to LAW.CONFISC.7 
[Spontaneous information], in so far as the assistance sought involves coercive action, and under 
Articles LAW.CONFISC.8 [Obligation to take provisional measures] and LAW.CONFISC.9 [Executio n of 
provisional measures] may also be refused if the measures sought could not be taken under the 
domestic law of the requested State for the purposes of investigations or proceedings in a similar 
domestic case.  
4. Where the domestic law of the requested St ate so requires, cooperation under Articles 
LAW.CONFISC.3 [Obligation to assist] to LAW.CONFISC.7 [Spontaneous information], in so far as the 
assistance sought involves coercive action, and under Articles LAW.CONFISC.8 [Obligation to take 
provisional measu res] and LAW.CONFISC.9 [Execution of provisional measures] may also be refused 
if the measures sought or any other measures having similar effects would not be permitted under 
the domestic law of the requesting State, or, as regards the competent authoriti es of the requesting 
State, if the request is not authorised by a judicial authority acting in relation to criminal offences.  
5. Cooperation under Articles LAW.CONFISC.10 [Obligation to confiscate] to LAW.CONFISC.14 
[Imprisonment in default] may also be refu sed if:  
(a) 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;  
(b) without prejudice to t he obligation pursuant to Article LAW.CONFISC.10(3) [Obligation to 
confiscate], 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:  
(i) an economic  advantage  that might  be qualified  as its proceeds;  or  
(ii) property  that might  be qualified  as its instrumentalities;   
(c) under the domestic law of the requested State, confiscation may no longer be imposed or 
enforced because of the lapse of time;  
 
367 
 (d) without prejudice  to Article LAW.CONFISC.10 (5) and (6) [Obligation to confiscate ], 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;  
(e) confiscation is either not enforceable in the requesting State, or it is still subject to ordinary 
means of appeal; or  
(f) the request relates  to a confiscation order resulting from a decision rendered in absentia of 
the person against whom the order was issu ed 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.  
6. For the purposes of point (f) of paragraph 5 a decision is not considered to have been 
rendered in absentia if:  
(a) it has been confirmed or pronounced after opposition by the person concerned; or  
(b) it has been rendered on app eal, provided that the appeal was lodged by the per son 
concerned.  
7. When considering, for the purposes of point (f) of paragraph 5, whether the minimum rights 
of defence have been satisfied, the requested State shall take into account the fact that the person 
concerned has deliberately sought to evade justi ce or the fact that that person, having had the 
possibility of lodging a legal remedy against the decision made in absentia, elected not to do so. The 
same applies where the person concerned, having been duly served with the summons to appear, 
elected not to do so nor to ask for adjournment.  
8. The States shall not invoke bank secrecy as a ground to refuse any cooperation under this 
Title. Where its domestic law so requires, a requested State may require that a request for 
cooperation which would involve the lifting of bank secrecy be authorised by a judicial authority 
acting in relation to criminal offences.  
9. The requested State shall not invoke the fact that:  
(a) the person under investigation or subject to a confiscation order by the authorities of the 
request ing State is a legal person as an obstacle to affording any cooperation under this Title ;   
(b) 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 ha s been issued has 
subsequently been dissolved as an obstacle to affording assistance in accordance with point 
(a) of Article LAW.CONFISC.10(1) [Obligation to confiscate]; or  
(c) the person under investigation or subject to a confiscation order by the authorit ies 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.  
 
368 
 Article LAW.CONFISC.16: Consultation and inf ormation  
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 freezi ng or confiscation order, consult the requesting State 
and may require any necessary information to be provided.  
Article LAW.CONFISC.17: Postponement  
The requested State may postpone action on a request if such action would prejudice investigations 
or proc eedings by its authorities.  
Article LAW.CONFISC.18: 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 LAW.CONFISC.19: Notification of documents  
1. The States shall afford each other the widest measure of mutual assistance in the serving of 
judicial docume nts to persons affected by provisional measures and confiscation.  
2. Nothing in this Article is intended to interfere with:  
(a) the possibility of sending judicial documents, by postal channels, directly to persons abroad; 
and 
(b) the possibility for judicial officers, officials or other competent authorities of the Sta te 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 oth er 
competent authorities of the State of destination.  
3. When serving judicial documents to persons abroad affected by provisional measures or 
confiscation orders issued in the sending State, that State shall indicate what legal remedies are 
available under i ts domestic law to such persons.  
Article LAW.CONFISC.20: Recognition of foreign decisions  
1. When dealing with a request for cooperation under Articles LAW.CONFISC.8 [Obligation to 
take provisional measures] to LAW.CONFISC.14 [Imprisonment in default] the req uested State shall 
recognise any decision issued by a  judicial authority  taken in the requesting State regarding rights 
claimed by third parties.  
2. Recognition may be refused if:  
(a) third parties did not have adequate opportunity to assert their rights;  
(b) the dec ision is incompatible with a decision already taken in the requested State on the same 
matter;  
(c) it is incompatible wit h the ordre public  of the requested State; or  
 
369 
 (d) the decision was taken  contrary to provisions on exclusive jurisdiction provided for by the 
domestic law of the requested State.  
Article LAW.CONFISC.21: Authorities  
1. Each State shall designate a central authority to be responsible for sending and answering 
requests made under this Title, the execution of such requests or their transmission to the 
authorities competent for their execution.  
2. The Union may designate a Union body which may, in addition to the competent authorities 
of the Member States, make and, if appropriate, execute  requests  under this Title. Any such request 
is to be treated  for th e purposes of this Title as a request by a Member State. The Union may also 
designate that Union body as the central authority responsible for the purpose of sending and 
answering requests made under this Title by, or to, that body.  
Article LAW.CONFISC.22:  Direct communication  
1. The central authorities shall communicate directly with one another.  
2. In urgent cases, requests or communications under this Title may be sent directly by the 
judicial authorities of the requesting State to judicial authorities of the  requested State. In such 
cases, a copy shall be sent at the same time to the central authority of the requested State through 
the central authority of the requesting State.  
3. Where a request is made pursuant to paragraph 2 and the authority is not competent  to 
deal with the request, it shall refer the request to the competent national authority and shall directly 
inform the requesting State that it has done so.  
4. Requests or communications under Articles LAW.CONFISC.3 [Obligation to assist] to 
LAW.CONFISC.7 [S pontaneous information], which do not involve coercive action, may be directly 
transmitted by the competent authorities of the requesting State to the competent authorities of 
the requested State.  
5. Draft requests or communications under this Title may be se nt directly by the judicial 
authorities of the requesting State to the judicial authorities of the requested State prior to a formal 
request to ensure that the formal request can be dealt with efficiently upon receipt and that it 
contains sufficient inform ation and supporting documentation for it to meet the requirements of the 
law of the requested State.  
Article LAW.CONFISC.23: Form of request and languages  
1. All requests under this Title shall be made in writing. They may be transmitted electronically, 
or by any other means of telecommunication, provided that the requesting State is prepared, upon 
request, to produce a written record of such communication and the original at any time.  
2. Requests under paragraph 1 shall be made in one of the official languages  of the requested 
State or in any other language notified by or on behalf of the requested State in accordance with 
paragraph 3.  
3. The United Kingdom and the Union, acting on behalf of any of its Member States, may each 
notify the Specialised Committee on La w Enforcement and Judicial Cooperation of the language or 
 
370 
 languages which, in addition to the official language or languages of that State, may be used for 
making requests under this Title.  
4. Requests under Article LAW.CONFISC.8 [Obligation to take provision al measures] for 
provisional measures shall be made using the prescribed form at ANNEX LAW -8. 
5. Requests under Article LAW.CONFISC.10 [Obligation to confiscate] for confiscation shall be 
made using the prescribed form at ANNEX LAW -8. 
6. The Specialised  Committe e on Law Enforcement and Judicial Cooperation may  amend the 
forms  referred to in paragraphs 4 and 5 as may be necessary.  
7. The United Kingdom and the Union, acting on behalf of any of its Member States may each 
notify the Specialised Committee on Law Enforce ment and Judicial Cooperation that it requires the 
translation of any supporting documents into one of the official languages of the requested State or 
any other language indicated in accordance with paragraph 3 of this Article. In the case of requests 
pursuant to Article LAW.CONFISC.8(4) [Obligation to take provisional measures], such translation of 
supporting documents may be provided to the requested State within 48 hours after transmitting 
the request, without prejudice to the time limits provided for i n Article LAW.CONFISC.8(4) 
[Obligation to take provisional measures].  
Article LAW.CONFISC.24: Legalisation  
Documents transmitted in application of this Title shall be exempt from all legalisation formalities.  
Article LAW.CONFISC.25: Content of request  
1. Any request for cooperation under this Title shall specify:  
(a) the authority making the request and the authority carrying out the investigations or 
proceedings;  
(b) the object of and the reason for the request;  
(c) the matters, including the relevant facts (such as dat e, place and circumstances of the 
offence) to which the investigations or proceedings relate, except in the case of a request for 
notification;  
(d) insofar  as the cooperation involves coercive action:  
(i) the text of the statutory  provisions  or, where  that is not possible,  a statement  of the 
relevant  applicable  law;  and 
(ii) an indication  that the measur e sought  or any other  measures  having  similar  effects  
could  be taken  in the territory  of the requesting  State  under  its own  domestic  law; 
(e) where necessary and in so far a s possible:  
(i) 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 
 
371 
 (ii) the property  in relation  to which  cooperation  is sought,  its location,  its connecti on 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 
(f) any particular procedure  the requesting State wishes to be followed.  
2. A request for provisional measures under Article LAW.CONFISC.8 [Obligation to take 
provisional measures] in relation to seizure of property on which a confiscation order consisting of 
the requirement to pay a sum of money may be realised shall also indicate a maximum am ount for 
which recovery is sought in that property.  
3. In addition to the information referred to in paragraph 1 of this Article, any request under 
Article LAW.CONFISC.10 [Obligation to confiscate] shall contain:  
(a) in the case of point (a) of Article LAW.CONFIS C.10(1) [Obligation to confiscate]:  
(i) 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;  
(ii) an attesta tion by the competent  authority  of the requesting  State  that the confiscation  
order  is enforceable  and not subject  to ordinary  means  of appeal;  
(iii) information  as to the extent  to which  the enforcement  of the order  is requested;  and 
(iv) information  as to the necessity  of taking  any provisional  measures;  
(b) in the case of point (b) of Article LAW.CONFISC.10(1) [Obligation to confiscate], 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;  
(c) where third p arties have had the opportunity to claim rights, documents demonstrating that 
this has been the case.  
Article LAW.CONFISC.26: Defective requests  
1. If a request does not comply with the provisions of this Title or the information supplied is 
not sufficient to enable the requested State to deal with the request, that State may ask the 
requesting State to amend the request or to complete it with additional information.  
2. The requested State may set a time limit for the receipt of such amendments or information.  
3. Pending receipt of the requested amendments or information in relation to a request under 
Article LAW.CONFISC.10 [Obligation to confiscate], the requested State may take any of the 
measures referred to in Articles LAW.CONFISC.3 [ Obligation to assist] to LAW.CONFISC.9 [Execution 
of provisional measures].  
Article LAW.CONFISC.27: Plurality of requests  
1. Where the requested State receives more than one request under Article LAW.CONFISC.8 
[Obligation to take provisional measures] or Arti cle LAW.CONFISC.10 [Obligation to confiscate] in 
 
372 
 respect of the same person or property, the plurality of requests shall not prevent that State from 
dealing with the requests involving the taking of provisional measures.  
2. In the case of a plurality of reque sts under Article LAW.CONFISC.10 [Obligation to 
confiscate], the requested State shall consider consulting the requesting States.  
Article LAW.CONFISC.28: Obligation to give reasons  
The requested State shall give reasons for any decision to refuse, postpon e or make conditional any 
cooperation under this Title.  
Article LAW.CONFISC.29: Information  
1. The requested State shall promptly inform the requesting State of:  
(a) the action initiated on the basis of a request under this Title ; 
(b) the final result of the action carried out on the basis of a request under this Title ; 
(c) a decision to refuse, postpone or make conditional, in whole or in part, any cooperation under 
this Title ; 
(d) any circumstances which render impossible the carrying out of the action sought or are likely 
to delay it significantly; and  
(e) in the event  of provisional measures taken pursuant to a request under Articles 
LAW.CONFISC.3 [Obligation to assist] to Article LAW.CONFISC.8 [Obligation to take provisional 
measures], such pro visions of its domestic law as would automatically lead to the lifting of the 
provisional measure.  
2. The requesting State shall promptly inform the requested State of:  
(a) any review, decision or any other fact by reason of which the confiscation order ceases t o be 
wholly or partially enforceable; and  
(b) any development, factual or legal, by reason of which any action under this Title  is no longer 
justified.  
3. Where a State, on the basis of the same confiscation order, requests confiscation in more 
than one State, it  shall inform all States which are affected by the enforcement of the order about 
the request.  
Article LAW.CONFISC.30: Restriction of use  
1. The requested State may make the execution of a request dependent on the condition that 
the information or evidence ob tained is not, without its prior consent, to be used or transmitted by 
the authorities of the requesting State for investigations or proceedings other than those specified in 
the request.  
2. Without the prior consent of the requested State, information or evi dence provided by it 
under this Title shall not be used or transmitted by the authorities of the requesting State in 
investigations or proceedings other than those specified in the request.  
 
373 
 3. Personal data communicated under this Title may be used by the Sta te to which they have 
been transferred:  
(a) for the purposes of proceedings to which this Title applies;  
(b) for other judicial and administrative proceedings directly related to proceedings referred to 
under point (a);  
(c) for preventing an immediate and serious thre at to public security; or  
(d) 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.  
4. This Article shall also apply to personal data not communicated but obtained otherwise 
under this Title.  
5. This Article does not apply to personal data obtained by the United Kingdom or a Member 
State under this Title and originating from that State.  
Article LAW.CONFISC.31: Confidentiality  
1. The requesting State may require that the requested State keep confidential the facts and 
substance of the request, except to the extent necessary to execute the request. If the requested 
State cannot comply with the requirement of confidentiality, it shall promptly inform the requesting 
State.  
2. The requesting State shall, if not contrary to basic principles of its domestic law and if so 
requested, keep confidential any evidence and information provided by the requested State, except 
to the extent that its disclosure is necessary for the investigati ons or proceedings described in the 
request.  
3. Subject to the provisions of its domestic law, a State which has received spontaneous 
information under Article LAW.CONFISC.7 [Spontaneous information] shall comply with any 
requirement of confidentiality as req uired by the State which supplies the information. If the 
receiving State cannot comply with such a requirement, it shall promptly inform the transmitting 
State.  
Article LAW.CONFISC.32: Costs  
The ordinary costs of complying with a request shall be borne b y 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 LAW.CONFISC.33: Damages  
1. Where legal action on liability for damages resulting from an act or omission in relation to 
cooperation under this Title has been initiated by a person, the States concerned shall consider 
consulting each ot her, where appropriate, to determine how to apportion any sum of damages due.  
2. A State which has become the subject of litigation for damages shall endeavour to inform 
the other State of such litigation if that State might have an interest in the case.  
 
374 
 Article LAW.CONFISC.34: Legal remedies  
1. Each State  shall ensure that persons affected by measures under Articles LAW.CONFISC.8 
[Obligation to take provisional measures]  to LAW.CONFISC.11 [Execution of confiscation] have 
effective legal remedies in order to pres erve their rights.  
2. The substantive reasons for requested measures under Articles LAW.CONFISC.8 [Obligation 
to take provisional measures]  to LAW.CONFISC.11 [Execution of confiscation] shall not be challenged 
before a court in the requested State.  
TITLE XII : OTHER PROVISIONS  
Article LAW.OTHER.134: Notifications  
1. By the date of entry into force of this Agreement, the Union and the United Kingdom shall 
make any of the notifications provided for in  Article LAW.SURR.82(2) [Political offence 
exception],  Article LAW.SURR.83(2) [Nationality exception], and  Article LAW.SURR.91(4) [Co nsent to 
surrender] and shall, to the extent it is possible to do so, indicate whether no such notification is to 
be made.     
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 provide d for in Article 
LAW.SURR.82(2) [Political offence exception], Article LAW.SURR.83(2) [Nationality exception], or 
Article LAW.SURR.91(4) [Consent to surrender] 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 LAW.SURR.83(2) [Nationality exception], a State may only avail itself of the possibiliti es 
provided for in that Article to the extent that to do so is compatible with the criteria for making a 
notification.  
 
2. The notifications referred to in Article LAW.SURR.79(4) [Scope], Article LAW.SURR.85(1) 
[Recourse to the central authority], Article LAW .SURR.86(2) [Content and form of the arrest 
warrant], Article LAW.SURR.105(1) [Possible prosecution for other offences], Article 
LAW.SURR.106(1) [Surrender or subsequent extradition], Article LAW.CONFISC.4(4) [Requests for 
information on bank accounts and safe deposit boxes], Article LAW.CONFISC.5(5) [Requests for 
information on banking transactions], Article LAW.CONFISC.6(5) [Requests for the monitoring of 
banking transactions], Article LAW.CONFISC.15(2) [Grounds for refusal], and Article 
LAW.CONFISC.23(3)  and (7) [Form of request and languages] may be made at any time.  
3. The notifications referred to in Article LAW.SURR.85(1) [Recourse to the central authority], 
Article LAW.SURR.86(2) [Content and form of the arrest warrant] and Article LAW.CONFISC.23(3) 
and (7) [Form of request and languages] may be modified at any time.  
4. The notifications referred to in Article LAW.SURR.82(2) [Political offence exception], Article 
LAW.SURR.83(2) [Nationality exception], Article LAW.SURR.85(1) [Recourse to the central authori ty 
], Article LAW.SURR.91(4) [Consent to surrender], Article LAW.CONFISC.4(4) [Requests for 
information on bank accounts and safe deposit boxes], Article LAW.CONFISC.5(5) [Requests for 
 
375 
 information on banking transactions], and Article LAW.CONFISC.6(5) [Req uests for the monitoring of 
banking transactions] may be withdrawn at any time.  
5. The Union shall publish information on notifications of the United Kingdom referred to in 
Article LAW.SURR.85(1) [Recourse to the central authority] in the Official Journal of the European 
Union.  
6. By the date of entry into force of this Agreement, the United Kingdom shall notify the Union 
of the identity of the following authorities:  
(a) the authority responsible for receiving and processing PNR data under Title III [Transfer and 
processing of passenger name record data (PNR)];  
(b) the authority  considered  as the competent  law enforcement  authority  for the purposes  of 
Title  V [Cooperation  with  Europol]  and a short description of its competences;  
(c) the national contact point designated  under  Article  LAW.EUROPOL.50(1)  [National  contact  
point  and liaison  officers];  
(d) the authority  considered  as the competent  authority  for the purposes  of Title  VI [Cooperation  
with  Eurojust]  and a short  description  of its competences;  
(e) the contact  point  designated  under  Article  LAW.EUROJUST.65(1)  [Contact  points  to Eurojust];  
(f) the United  Kingdom  Domestic  Correspondent  for Terrorism  Matters  designated  under  Article  
LAW.EUROJUST.65(2)  [Contact  points  to Eurojust];  
(g) 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  LAW.SURR .78 [Definitions],  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  LAW.SURR.78  [Definitions];  
(h) the authority  designated  by the United  Kingdom  under  Article  LAW.SURR.103(3)  [Transit];  
(i) the central  authority  designated  by the United  Kingdom  under  Article  LAW.EXINF.122  [Central  
authorities];  
(j) the central  authority  designated  by the United  Kingdom  under  Article  LAW.CONFISC.21(1)  
[Authorities].  
The Union shall publish information about the authorities r eferred to in the first subparagraph in the 
Official Journal of the European Union.  
7. 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 i dentity of the following 
authorities:  
(a) the Passenger Information Units established  or designated by each Member State for the 
purposes of receiving and processing PNR data under Title III [Transfer and processing of 
passenger name record data (PNR)];  
 
376 
 (b) 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  LAW.SURR.78  [Definitions],  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  LAW.SURR.78  [Definitions];  
(c) the authority  designated  for each  Member  State  under  Article  LAW.SURR.103(3)  [Transit];  
(d) the Union body referred  to in Article LAW.MUTAS.114 [Definition of competent authority];  
(e) the central  authority  designated  by each  Member  State  under  Article  LAW.EXINF.122  [Central  
authorities];  
(f) the central  authority  designated  by each  Member  State  under  Article  LAW.CONFISC.21(1)  
[Authorities];  
(g) any Union  body  designated  under  the first sentence  of Article  LAW.CONFISC.21(2)  
[Authorities]  and whether  it is also designated  as a central  authority  under  the last sentence  
of that paragraph.  
8. The notifications made under paragraph 6 or 7 may be modified at any time. Such 
modifications shall be notified to the Specialised Committee on Law Enforcement and Judicial 
Cooperation.  
9. The United Kingdom and the Union m ay notify more than one authority with respect to 
points (a), (b), (d), (e), (g), (h), (i) and (j) of paragraph 6 and with respect to paragraph 7 respectively 
and may limit such notifications for particular purposes only.  
10. Where the Union makes the notifica tions referred to in this Article, it shall indicate to which 
of its Member States the notification applies or whether it is making the notification on its own 
behalf.  
Article LAW.OTHER.135: Review and evaluation  
1. This Part shall be jointly reviewed in acco rdance with Article FINPROV.3 [Review] or at the 
request of either Party where jointly agreed.  
2. The Parties shall decide in advance on how the review is to be conducted and shall 
communicate to each other the composition of their respective review teams. Th e review teams 
shall include persons with appropriate expertise with respect to the issues under review. Subject to 
applicable laws, all participants in a review shall be required to respect the confidentiality of the 
discussions and to have appropriate se curity clearances. For the purposes of such reviews, the 
United Kingdom and the Union shall make arrangements for appropriate access to relevant 
documentation, systems and personnel.  
3. Without prejudice to paragraph 2, the review shall in particular address the practical 
implementation, interpretation and development of this Part.  
Article LAW.OTHER.136: Termination  
1. Without prejudice to Article FINPROV.8 [Termination],  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.  
 
377 
 2. However, if this Part is terminated on account of the United Kingdom or a Member State 
having denounced the European Conve ntion on Human Rights or Protocols 1, 6 or 13 thereto, this 
Part shall cease to be in force as of the date that such denunciation becomes effective or, if the 
notification of its termination is made after that date, on the fifteenth day following such 
notification.  
3. If either Party gives notice of termination under this Article, the Specialised Committee on 
Law Enforcement and Judicial Cooperation shall meet to decide what measures are needed to 
ensure that any cooperation initiated under this Part is conclu ded in an appropriate manner. In any 
event, with regard to all personal data obtained through cooperation under this Part before it ceases 
to be in force, the Parties shall ensure that the level of protection under which the personal data 
were transferred is maintained after the termination takes effect.  
Article LAW.OTHER.137: Suspension  
1. In the event of serious and systemic deficiencies within one Party as regards the protection 
of fundamental rights or the principle of the rule of law, the other Party may suspend this Part or 
Titles thereof, by written notification through diplomatic channels. Such notification shall specify the 
serious and systemic deficiencies on which the suspension is based.  
2. In the event of serious and systemic deficiencies w ithin one Party as regards the protection 
of personal data, including where those deficiencies have led to a relevant adequacy decision 
ceasing to apply, the other Party may suspend this Part or Titles thereof, by written notification 
through diplomatic channels. Su ch notification shall specify the serious and systemic deficiencies on 
which the suspension is based.  
3. For the purposes of paragraph 2, “relevant adequacy decision” means:  
(a) in relation to the United Kingdom, a decision adopted by the European Commission, in 
accordance with Article 36 of Directive (EU) 2016/68082 or analogous successor legislation, 
attesting to the adequate level of protection;  
(b) in relation to the Union, a decision adopt ed by the United Kingdom attesting to the adequate 
level of protection for t he purposes of transfers falling within the scope of Part 3 of the Data 
Protection Act 201883 or analogous successor legislation.  
4. In relation to the suspension  of Title III [Transfer and processing of passenger name record 
data (PNR)] or Title X [Anti -money  laundering and counter terrorist financing], references to a 
“relevant adequacy decision” also include:  
                                                            
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.  
 
378 
 (a) in relation to the United Kingdom, a decision adopted by the European Commission, in 
accordance with Article 45 of the General Data Protection Regulati on (EU) 2016/67984 or 
analogous successor legislation attesting to the adequate level of protection;  
(b) 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 withi n the scope of Part 2 of the Data 
Protection Act 2018 or analogous successor legislation.  
5. The Titles concerned by the suspension shall provisionally cease to apply on the first day of 
the third month following  the date of the notification referred to in pa ragraph 1 or 2, unless, no later 
than two weeks before the expiry of that period, as extended, as the case may be, in accordance 
with point (d) of paragraph 7, the Party which notified the suspension gives written notification to 
the other Party, through d iplomatic channels, of its withdrawal of the first notification or of a 
reduction in scope of the suspension. In the latter case, only the Titles referred to in the second 
notification shall provisionally cease to apply.  
6. If one Party notifies the suspensio n of one or several Titles of this Part pursuant to 
paragraph 1 or 2, the other Party may  suspend all of the remaining Titles, by written notification 
through diplomatic channels, with three months’ notice.  
7. 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 withdr aw it. To that end, upon a recommendation of the Specialised Committee on Law 
Enforcement and Judicial Cooperation, the Partnership Council may:  
(a) agree on joint interpretations of provisions of this Part ; 
(b) recommend any appropriate action to the Parties;  
(c) adopt appropriate adaptations to this Part which are necessary to address the reasons 
underlying the suspension, with a maximum validity of 12 months; and  
(d) extend the period referred to in paragra ph 5 by up to three months.  
8. If either Party gives notification o f suspension under this Article, the Specialised Committee 
on Law Enforcement and Judicial Cooperation shall meet to decide what measures are needed to 
ensure that any cooperation initiated under this Part and affected by the notification is concluded in 
an appropriate manner. In any event, with regard to all personal data obtained through cooperation 
under this Part before the Titles concerned by the suspension provisionally cease to apply, the 
Parties shall ensure that the level of protection under which the personal data were transferred is 
maintained after the suspension takes effect.  
9. The suspended Titles shall be reinstated on the first day of the month following the day on 
which the Party having notified the suspension pursuant to paragraph 1 or 2 has given written 
                                                            
84  Regulation (EU) 2016/679 of the European Parliamen t 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).  
 
379 
 notification to the other  Party, through diplomatic channels, of its intention to reinstate the 
suspended Titles. The Party having notified the suspension pursuant to paragraph 1 or 2 shall do so 
immediately after the serious and systemic def iciencies on the part of the other Party on which the 
suspension was based have ceased to exist.  
10. Upon the notification of the intention to reinstate  the suspended Titles in accordance with 
paragraph 9, the remaining Titles suspended pursuant to paragraph 6  shall be reinstated at the same 
time as the Titles suspended pursuant to paragraph 1 or 2.  
Article LAW.OTHER.138: 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 LAW.DS.1: 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 s olution, where possible.  
Article LAW.DS.2: Scope  
1. This Title applies  to disputes between the Parties concerning this Part (the “covered 
provisions”).  
2. The covered provisions  shall include all provisions of this Part, with the exception of:  
(a) Article LAW.GEN.5 [Scope for cooperation where a Member State no longer participates in 
analogous measures under Union law];  
(b) Article LAW.PRUM.19 [Suspension and disapplication];  
(c) Article LAW.PNR.28(14) [Retention of PNR data];  
(d) Article LAW.PNR.38 [Suspension of cooperation un der this Title];  
(e) Article LAW.OTHER.136 [Termination];  
(f) Article LAW.OTHER.137 [Suspension]; and  
(g) Article LAW.DS.6 [Suspension].  
Article LAW.DS.3: 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.  
 
380 
 Article LAW.DS.4: Consultations  
1. If a Party (“the complaining Party”) considers that the other Party (“the responding Party”) 
has breached an obligation under this Part, the Parties shall endeavour to resol ve the matter by 
entering into consultations in good faith, with the aim of reaching a mutually agreed solution.  
2. The complaining Party may seek consultations by means of a written request delivered to 
the responding Party. The complaining Party shall speci fy in its written request the reasons for the 
request, including identification of the acts or omissions that the complaining Party considers as 
giving rise to the breach of an obligation by the responding Party, specifying the covered provisions 
it consid ers applicable.  
3. The responding Party shall reply to the request promptly, and no later than two weeks after 
the date of its delivery. Consultations shall be held regularly within a period of three months 
following the date of delivery of the request in per son or by any other means of communication 
agreed by the Parties.  
4. The consultations shall be concluded within three months of the date of delivery of the 
request, unless the Parties agree  to continue the consultations.  
5. The complaining Party may request tha t the consultations be held in the framework of the 
Specialised Committee on Law Enforcement and Judicial Cooperation or in the framework of the 
Partnership Council. The first meeting shall take place within one month of the request for 
consultations refer red to in paragraph  2 of this Article. The Specialised Committee on Law 
Enforcement and Judicial Cooperation may at any time decide to refer the matter to the Partnership 
Council. The Partnership Council may also seize itself of the matter. The Specialised  Committee on 
Law Enforcement and Judicial Cooperation, or as the case may be, the Partnership Council, may 
resolve the dispute by a decision. Such a decision shall be considered a mutually agreed solution 
within the meaning of Article LAW.DS.5 [Mutually a greed solution].  
6. The complaining Party may at any time unilaterally withdraw its request for consultations. In 
such a case, the consultations shall be terminated immediately.  
7. Consultations, and in particular  all information designated as confidential and p ositions 
taken by the Parties during consultations, shall be confidential.  
Article LAW.DS.5: Mutually agreed solution  
1. The Parties may at any time reach a mutually  agreed solution with respect to any dispute 
referred to in Article LAW.DS.2 [Scope].  
2. The mutu ally agreed solution may be adopted by means of a decision of the Specialised 
Committee on Law Enforcement and Judicial Cooperation or the Partnership Council. Where the 
mutually agreed solution consists of an agreement on joint interpretations of provisio ns of this Part 
by the Parties, that mutually agreed solution shall be adopted by means of a decision of the 
Partnership Council.  
3. Each Party shall take the measures necessary to implement the mutually agreed solution 
within the agreed time period.  
4. No later  than the date of expiry of the agreed time period, the implementing Party shall 
inform the other Party in writing of any measures taken to implement the mutually agreed solution.  
 
381 
 Article LAW.DS.6: Suspension  
1. Where  consultations under Article LAW.DS.4 [Consultations] have not led to a mutually 
agreed solution within the meaning of Article LAW.DS.5 [Mutually agreed solution], provided that 
the complaining Party has not withdrawn its request for consultations in accor dance with Article 
LAW.DS.4(6) [Consultations], and where it considers that the respondent Party is in serious breach of 
its obligations under the covered provisions referred to in Article LAW.DS.4(2) [Consultations], the 
complaining Party may suspend the Titles of this Part to which the serious breach pertains, by 
written notification through diplomatic channels. Such notification shall specify the serious breach of 
obligations by the responding Party on which the suspension is based.  
2. The Titles  concerned by the suspension shall provisionally cease to apply on the first day of 
the third month following the date of the notification referred to in paragraph 1 or any other date 
mutually agreed by the Parties, unless, no later than two weeks before the expiry o f that period, the 
complaining Party gives written notification to the responding Party, through diplomatic channels, of 
its withdrawal of the first notification or of a reduction in scope of the suspension. In the latter case, 
only the Titles  referred to in the second notification shall provisionally cease to apply.  
3. If the complaining Party notifies the suspension of one or several Titles  of this Part pursuant 
to paragraph 1, the respondent Party may suspend all of the remaining Titles , by written notifica tion 
through diplomatic channels, with three months’ notice.  
4. If a notification of suspension is given under this Article, the Specialised Committee on Law 
Enforcement and Judicial Cooperation shall meet to decide what measures are needed to ensure 
that any  cooperation initiated under this Part and affected by the notification is concluded in an 
appropriate manner. In any event, with regard to all personal data obtained through cooperation 
under this Part before the Titles  concerned by the suspension provisi onally cease to apply, the 
Parties shall ensure that the level of protection under which the personal data were transferred is 
maintained after the suspension takes effect.  
5. The suspended Titles  shall be reinstated on the first day of the month following th e date on 
which the complaining Party has given written notification to the respondent Party, through 
diplomatic channels, of its intention to reinstate the suspended Titles . The complaining Party shall 
do so immediately when it considers that the serious breach of the obligations on which the 
suspension was based has ceased to exist.  
6. Upon  notification by the complaining Party of its intention to reinstate the suspended Titles  
in accordance with paragraph 5, the remaining Titles  suspended by the respondent Party pursuant 
to paragraph 3 shall be reinstated at the same time as the Titles  suspended by the complaining Party 
pursuant to paragraph 1.  
Article LAW.DS.7: Time Periods  
1. All time periods laid down in this Title shall be counted in weeks or months, as the  case may 
be, from the day following the act to which they refer.  
2. Any time period referred to in this Title may be modified by mutual agreement of the 
Parties.  
  
 
382 
 PART FOUR: THEMATIC COOPERATION  
TITLE I: HEALTH SECU RITY  
Article HS.1: Cooperation on health security  
1. For the purpose of this Article, a “serious cross -border threat to health” means a life -
threatening or otherwise serious hazard to health of biological, chemical, environmental or unknown 
origin which spreads or entails a significant risk o f spreading across the borders of at least one 
Member State and the United Kingdom.  
2. The Parties shall inform each other of a serious cross -border threat to health affecting the 
other Party and shall endeavour to do so in a timely manner.  
3. Where there is a  serious cross -border threat to health, following a written request from the 
United Kingdom, the Union may grant the United Kingdom ad hoc access to its Early Warning and 
Response System (the “EWRS”) in respect of the particular threat to enable the Partie s and Member 
States’ competent authorities to exchange relevant information, to assess public health risks, and to 
coordinate the measures that could be required to protect public health. The Union shall endeavour 
to respond to the United Kingdom’s written  request in a timely manner.  
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 coo rdination 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.  
4. 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:  
(a) endeavour to facilitate understanding between the Parties as to whether or not a threat is a 
serious cross -border threat to health;  
(b) seek mutually agreed solutions to any technical issues arising from implementation of this 
Title.  
5. 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:  
(a) 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 
 
383 
 to the EWRS or its partici pation in that committee, as the case may be, in respect of that 
threat;  
(b) 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 
com mittee, as the case may be, in respect of that threat.  
6. Where in their mutual interests the Parties shall cooperate in international forums on the 
prevention of, detection of, preparation for, and response to established and emerging threats to 
health secu rity.  
7. The European Centre for Disease Prevention and Control and the relevant body in the 
United Kingdom responsible for surveillance, epidemic intelligence and scientific advice on infectious 
diseases shall cooperate on technical and scientific matters o f mutual interest to the Parties and, to 
that end, may conclude a memorandum of understanding.  
 
TITLE II: CYBER SECU RITY  
Article CYB.1: Dialogue on cyber issues  
The Parties shall endeavour to establish a regular dialogue in order to exchange information a bout 
relevant policy developments, including in relation to international security, security of emerging 
technologies, internet governance, cybersecurity, cyber defence and cybercrime.  
Article CYB.2: Cooperation on cyber issues  
1. Where in their mutual intere st, the Parties shall cooperate in the field of cyber issues by 
sharing best practices and through cooperative practical actions aimed at promoting and protecting 
an open, free, stable, peaceful and secure cyberspace based on the application of existing 
international law and norms for responsible State behaviour and regional cyber confidence -building 
measures.  
2. The Parties shall also endeavour to cooperate in relevant international bodies and forums, 
and endeavour to strengthen global cyber resilience and e nhance the ability of third countries to 
fight cybercrime effectively.  
Article CYB.3: 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 informa tion on tools and 
methods, such as techniques, tactics, procedures and best practices, and on general threats and 
vulnerabilities.  
 
384 
 Article CYB.4: Participation in specific activities of the Cooperation Group established pursuant to 
Directive (EU) 2016/1148  
1. 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:  
(a) exchanging best practices in building capacity to ensure the security of network and 
information systems;  
(b) exchanging information with regard to exercises relating to the security of network and 
information systems;  
(c) exchanging information, experiences and best practices on risks and incidents;  
(d) exchanging information and best practices on awareness -raising, education progr ammes and 
training; and  
(e) exchanging information and best practices on research and development  relating to the 
security of network and information systems.  
2. Any exchange of information, experiences or best practices between the Cooperation Group 
and the rele vant national authorities of the United Kingdom shall be voluntary and, where 
appropriate, reciprocal.  
Article CYB.5: Cooperation with the EU Agency for Cybersecurity (ENISA)  
1. With a view to promoting cooperation on cyber security while ensuring the autonom y 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 EU Cybersecurity Agency 
(ENISA), in the following activities carried out by ENISA:  
(a) capac ity building;  
(b) knowledge and information; and  
(c) awareness raising and education.  
2. The conditions for the participation of the United Kingdom in ENISA’s activities referred to in 
paragraph 1, including an appropriate financial contribution, shall be set out in working 
arrangements adopted by the Management Board of ENISA subject to prior approval by the 
Commission and agreed with the United Kingdom.  
3. The exchange of information, experiences and best practices between ENISA and the United 
Kingdom shall be volunta ry and, where appropriate, reciprocal.  
 
385 
  
  
 
386 
 PART FIVE: PARTICIPATION IN UNION PROGRAMMES, SOUND FINANCIAL MANAGEMENT AND 
FINANCIAL PROVISIONS  
Article UNPRO.0.1: Scope  
1. This Part shall apply to the participation of the United Kingdom in Union programmes, 
activities and services thereunder, in which the Parties have agreed that the United Kingdom 
participates.  
2. This Part shall not apply to the participation of the United Kingdom in cohesion programmes 
under the European territorial  cooperation goal or similar programmes having the same objective , 
which takes place on the basis of the basic acts of one or more Union institutions applicable to those 
programmes.   
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 C hapter Two [Sound Financial Management] 
concerning the participation of the United Kingdom in those programmes.  
Article UNPRO.0.2: Definitions  
For the purposes  of this Part, the following definitions apply:  
(a) "basic act" means:  
(i) an act of one or more Union i nstitutions 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 ame ndment and including any relevant acts of a 
Union institution which supplement or implement that act, except those adopting 
work programmes; or  
(ii) an act of one or more Union institutions establishing an activity financed from the 
Union budget other than pro grammes ;  
(b) “funding agreement” means agreements relating to Union programmes and activities under 
Protocol I which implement Union funds, such as grant agreements , contribution agreements, 
financial framework partnership agreements, financing agreements and  guarantee 
agreements.   
(c) “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 Council85 (’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;  
                                                            
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 1301/2 013, (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).  
 
387 
 (d) “Union” means the Union or the European Atomic Energy Community, or both, as the context 
may require;  
(e) "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;  
(f) "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 establishe d 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 UNPRO.1.3: Establishment of the participation  
1. The United  Kingdom shall participate in and contribute to the Union programmes, activities, 
or in exceptional cases, the part of Union programmes or activities, which are open to its 
participation, and which are listed in Protocol I [Programmes and activities in which  the United 
Kingdom participates].  
2. Protocol I shall be agreed between the Parties. It shall be adopted and may be amended by 
the Specialised Committee on Participation in Union Programmes.  
3. Protocol I shall:  
(a) identify  the Union programmes, activities , or in exceptional cases, the part of Union 
programmes or activities, in which the United Kingdom shall participate;  
(b) 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;  
(c) lay down specific conditions for the participation of the United Kingdom and United Kingdom 
entities, including specific modalities for the implementation of the financial cond itions as 
identified under Article UNPRO.2.1 [ Financial conditions] , specific modalities of the correction 
mechanism as identified under Article UNPRO.2.2 [Programmes where an automatic 
correction mechanism may apply], and conditions for participation in s tructures 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;  
(d) where applicable , lay dow n 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 UNPRO.2.3 [Financing in relation 
to programmes impleme nted through financial instruments or budgetary guarantees].  
Article UNPRO.1.4: Compliance with programme rules  
1. The United Kingdom shall participate in the Union programmes, activities or parts thereof 
listed in Protocol I under the terms and conditions e stablished in this Agreement, in the basic acts 
and other rules pertaining to the implementation of Union programmes and activities.  
 
388 
  
2. The terms and conditions referred to in paragraph 1 shall include:  
(a) 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 ; 
(b) the terms and conditions applicable to the submission, assessment and selection of 
applications and to the implemen tation of the actions by eligible United Kingdom entities.  
3. The terms  and conditions referred to in point (b) of paragraph 2 shall be equivalent to those 
applicable to eligible Member States entities,  except in duly justified exceptional cases as provided 
for in the terms and conditions referred to in paragraph 1. Either party may bring to the attention of 
the Specialised Committee on Participation in Union Programmes the need for a discussion of duly 
justified exclusions.  
Article UNPRO.1.5: Conditions for p articipation  
1. The United Kingdom's participation in a Union programme or activity , or parts thereof as 
referred to in Article UNPRO.0.1 [Scope] shall be conditional upon the United Kingdom:  
(a) 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;  
(b) ensuring, as far as it is under the control of the United Kingdom a uthorities, 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 reg ards any fees;  
(c) 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 
FINPROV.6 [Classified information and sensitive non -classif ied information ]. 
2. In relation to the United Kingdom's participation in a Union programme or activity, or parts 
thereof as referred to in Article UNPRO.0.1 [Scope] the Union and its Member States shall:  
(a) 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, r esearchers, trainees or 
volunteers;  
(b) 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 rela ted to the implementation of the programmes or activities are the same 
as for Union citizens, including as regards any fees.  
3.  Protocol I may lay down further specific conditions referring to this Article, which are 
necessary for the participation of the United Kingdom in a Union programme or activity, or parts 
thereof.  
4. This Article is without prejudice to Article UNPRO.1.4 [Com pliance with programme rules].  
 
389 
 5. This Article and Article UNPRO.3.1 [Suspension of the participation of the UK in a Union 
programme by the Union], are also without prejudice to any arrangements made between the 
United Kingdom and Ireland concerning the Comm on Travel Area.  
Article UNPRO.1.6: Participation of the United Kingdom in the governance of programmes or 
activities  
1. Representatives  or experts of the United Kingdom  or experts designated by the United 
Kingdom shall be allowed to take part, as observers un less it concerns points reserved only for 
Member States or in relation to a programme or activity in which the United Kingdom is not 
participating, in the committees, expert groups meetings  or other similar meetings where 
representatives or experts of the Member States, or experts designated by Member States take part , 
and which  assist the European Commission in the implementation and management of the 
programmes, the activities or parts thereof, in which the United Kingdom participates in accordance 
with A rticle UNPRO.0.1 [Scope] or are established by the European Commission in respect of the 
implementation of the Union law in relation to these programmes, activities or parts thereof. The 
representatives or experts of the United Kingdom , or experts designat ed by the United Kingdom 
shall not be present  at the time of voting. The United Kingdom shall be informed of the result of the 
vote.  
2. Where experts or evaluators are not appointed on the basis of nationality, nationality shall 
not be a reason to exclude Uni ted Kingdom nationals.  
3. Subject to the conditions of paragraph 1, participation of the United Kingdom's 
representatives in the meetings referred to in paragraph 1, or  in other meetings related to the 
implementation of programmes or activities, shall be gove rned by the same rules and procedures as 
those applicable to representatives of the Member States , in particular  speaking rights, receipt of 
information and documentation unless it concerns points reserved only for Member States or in 
relation to a program me or activity in which the United Kingdom is not participating,  and the 
reimbursement of travel and subsistence costs . 
4.  Protocol I may define further  modalities for the participation of experts, as well as the 
participation of the United Kingdom in governing boards and structures created for the purposes of 
implementing Union programmes or activities defined in Protocol I.  
Section 2: Rules for financin g the participation in Union programmes and activities  
Article UNPRO.2.1: Financial conditions  
1. Participation of the United Kingdom or United Kingdom entities in Union programmes, 
activities or parts thereof shall be subject to the United Kingdom contributi ng financially to the 
corresponding funding under the Union budget.  
2. The financial contribution shall take the form of the sum of:  
(a) a participation  fee; and 
(b) an operational contribution . 
3. The financial contribution shall take the form of an annual payment made  in one or more 
instalments.  
 
390 
 4. Without prejudice to Article UNPRO.8 [Participation fee in the years 2021 to 2026], the 
participation fee shall be 4% of the annual  operational contribution and shall not be subject to 
retrospective adjustments except in relati on to suspension under point (b) of Article UNPRO.3.1(7) 
[Suspension of the participation of the United Kingdom in a Union programme by the Union] and 
termination under point (c) of Article UNPRO.3.3.(6) [ Termination of the participation in a 
programme or activity in the case of substantial modification to Union programmes] . As of 2028 the 
level of the participation fee may be adjusted by the Specialised Committee on Participation in 
Union Programmes.  
5. The operational contribution shall cover operational and  support expenditure and be 
additional both in commitment and payment appropriations to the amounts entered in the Union 
budget definitively adopted for programmes or activities or exceptionally parts thereof  increased, 
where appropriate, by external assig ned revenue that does not result from financial contributions to 
Union programmes and activities from other donors, as defined in Protocol I.  
6. The operational contribution shall be based on a contribution key defined as the ratio of the 
Gross Domestic Prod uct (GDP) of the United Kingdom at market prices to the GDP of the Union at 
market prices . The GDPs at market prices to be applied shall be the latest available as of 1 January of 
the year in which the annual payment is made in as provided by Statistical Office of the European 
Union (EUROSTAT), as soon as the arrangement referred to in Article UNPRO.5.2 [Statistical 
cooperation] applies and according to the rules of this arrangement. Before this arrangement 
applies, the GDP of the United Kingdom shall be t he one established on the basis of data provided by 
the Organisation for Economic Co -operation and Development (OECD).  
7. The operational contribution shall be based on the application of the contribution key to the 
initial commitment appropriations increased  as described in paragraph 5 entered in the Union 
budget definitively adopted for the applicable year for financing the Union programmes or activities 
or exceptionally parts thereof in which the United Kingdom participates.  
8. The operational contribution of a programme, activity or part thereof for a year N may be 
adjusted upwards or downwards retrospectively in one or more subsequent years on the basis of the 
budgetary commitments made on the commitment appropriations of that year, their 
implementation throu gh legal commitments and their decommitment.  
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 a pplying the contribution key of year N to the sum of:  
(a) the amount of budgetary commitments made on commitment appropriations authorised in 
year N under the European Union voted budget and on commitment appropriations 
corresponding to decommitments made available again; and  
(b) 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 ye ar, until all the budgetary commitments financed under commitment 
appropriations originating from year N have been paid or decommitted and at the latest 3 years 
after the end of the programme or after the end of the multiannual financial framework 
correspo nding 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 
 
391 
 applying the contribution key of year N to the decommitments made each year o n 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 t o 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:  
(a) the legal commitments of year  N, funded under any commitment appropriations available in 
year N, and resulting from competitive award procedures,  
(i) from which the United Kingdom and the United Kingdom entities have been excluded, 
or 
(ii) for which  the Specialised  Committee  on Participation  in Union  Programmes  has 
decided,  in accordance  with  the procedure  established  in Article  UNPRO.2.1a  [Quasi -
exclusion  from  competitive  grant  award  procedure]  that there  has been  a quasi -
exclusion  of United  Kingdom  or United  Kingdom  entities,  or  
(iii) for which t he deadline for submission of applications has expired during the 
suspension referred to in Article UNPRO.3.1 [Suspension of the participation of the 
United Kingdom in a Union programme by the European Union] or after termination 
referred to in Article UNP RO.3.3 [Termination of the participation in a programme in 
the case of substantial modification of Union programme] has taken effect, or  
(iv) for which the participation of the United Kingdom and United Kingdom entities has 
been limited in accordance with Artic le UNPRO.3.5(3) [Financial increases review]; and  
(b) 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 deduc ting the decommitments that have been made on these commitments in year N+1.  
9. Upon request, the Union  shall provide the United Kingdom with information in relation to its 
financial  participation  as included in the budgetary, accounting, performance and eval uation related 
information provided to the Union budgetary and discharge authorities concerning the Union 
programmes and activities in which the United Kingdom participates. That information shall be 
provided having due regard to the Union’s and United Kin gdom’s confidentiality and data protection 
rules and is without prejudice to the information which the United Kingdom is entitled to receive 
under Chapter Two [Sound Financial Management] of this Part . 
10. All contributions of the United Kingdom or payments fr om the Union, and the calculation of 
amounts due or to be received, shall be made in euros.  
 
392 
 11. Subject to paragraph 5 and the second subparagraph of paragraph 8 of this Article, the  
detailed provisions for the implementation of this Article are set out in Ann ex UNPRO -1 
[Implementation of financial conditions].  Annex UNPRO -1 may be amended by the Specialised 
Committee on Participation in Union Programmes.  
Article UNPRO.2.1a: Quasi exclusion from competitive grant award procedure  
1. When the United Kingdom considers that certain conditions laid down in a competitive grant 
award procedure amount to a quasi -exclusion of United Kingdom entities, the United Kingdom shall 
notify the Specialised Committee on Participation in Union Programmes before the deadline fo r 
submission of applications in the procedure concerned and shall provide justification. Within three 
months of the deadline for submission of applications in the award procedure concerned, the 
Specialised Committee on Participation in Union Programmes sha ll 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:  
(a) the average participation rate of United Kingdom entities in similar competitive award 
procedures not containing such a condition and launched within the 3 years preceding the 
notification; or,  
(b) in the absence of similar competitive award procedures, the average participation rate of 
United Kingdom entities in all co mpetitive award procedures launched under the programme, 
or the preceding programme, as relevant, within the 3 years preceding the notification.  
3. The Specialised Committee on Participation in Union Programmes shall by the end of the 
period referred to in p aragraph 2, decide whether there has been a quasi -exclusion of the United 
Kingdom entities from the award procedure concerned in light of the justification provided by the 
United Kingdom pursuant to paragraph 1 and the effective participation rate in the a ward procedure 
concerned.  
4. For the purposes of paragraphs 2 and 3, the participation rate shall be the ratio of the 
number of applications submitted by United Kingdom entities to the total number of applications 
submitted within the same award procedure.  
Article UNPRO.2.2: Programmes to which  an automatic correction mechanism applies  
1. An automatic  correction mechanism shall apply in relation to those Union programmes, 
activities or parts thereof for which the application of an automatic correction mechanism i s 
provided in Protocol I.  The application of that automatic correction mechanism may be limited to 
parts of the programme or activity specified in Protocol I, which are implemented through grants for 
which competitive calls are organised. Detailed rules on  the identification of the parts of the 
programme or activity to which the automatic correction mechanism does or does not apply may be 
established in Protocol I.  
 
2. The amount of the automatic correction  for a programme or activity or parts thereof shall be  
the difference between the initial amounts of the legal commitments actually entered into with the 
United Kingdom or United Kingdom entities financed from commitment appropriations of the year 
in question and the corresponding operational contribution pai d by the United Kingdom  as adjusted 
pursuant to Article UNPRO.2.1(8) [ Financial conditions] , excluding support expenditure, covering the 
same period if that amount is positive.  
 
 
393 
 3. Any amount referred to in paragraph 2 of this Article, which for each of two consecutive 
years exceeds 8% of the corresponding contribution of the United Kingdom to the programme as 
adjusted pursuant to Article UNPRO.2.1(8) [ Financial conditions]  shall be due by the United Kingdom 
as an additional contribution under the automatic correction mechanism for each of those two 
years.  
 
4. Detailed rules on the  establishment of the relevant amounts of the legal commitments 
referred to in paragraph 2 of this Article,  including in the case of consortia, and on the calculation of 
the automatic correction may be laid down in Protocol I.  
Article UNPRO.2.3: Financing in relation to programmes implemented through financial instruments 
or budgetary guarantees  
1. Where the Unit ed Kingdom participates in a Union programme, activity, or parts thereof 
that is implemented through a financial instrument or budgetary guarantee, the contribution of the 
United Kingdom to programmes implemented through financial instruments or budgetary 
guarantees under the Union budget implemented under Title X of the Financial Regulation 
applicable to the general budget of the Union shall be made in the form of cash. The amount 
contributed in cash shall increase the Union budgetary guarantee or the fina ncial envelope of the 
financial instrument.  
2. Where the United Kingdom participates in a programme referred to in paragraph 1 that is 
implemented by the European  Investment Bank Group, if the European Investment Bank Group 
needs to cover losses that are not covered by the guarantee provided by the Union budget, the 
United Kingdom shall pay to the European Investment Bank Group a percentage of those losses 
equal to the ratio of the Gross Domestic Product at market prices of the United Kingdom to the sum 
of the  Gross Domestic Product at market prices of the Member States, the United Kingdom and any 
other third country participating in that programme. The Gross Domestic Product at market prices to 
be applied shall be the latest available as of 1 January of the ye ar in which the payment is due as 
provided by EUROSTAT, as soon as the arrangement referred to in Article UNPRO.5.2 [Statistical 
cooperation] applies and according to the rules of this arrangement. Before this arrangement 
applies, the GDP of the United Kin gdom shall be the one established on the basis of data provided by 
the OECD.  
3. Where appropriate , modalities for the implementation of this Article, in particular ensuring 
that the United Kingdom receives its share of unused contributions to budgetary guaran tees and 
financial instruments, shall be specified further in Protocol I.  
Section 3: Suspension and termination of the participation in Union programmes  
Article UNPRO.3.1: Suspension of the participation of the United Kingdom in a Union programme by 
the Un ion 
1. 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 [Rules for 
financing the participation in Union programmes] of this Chapter or if 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:  
 
394 
 (a) the conditions for entry and residence  in the United Kingdom of the persons that are involved 
in the imp lementation 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 en try and 
residence in the United Kingdom for these persons, which discriminates between Member 
States.  
(b) there is a change in financial charges, including fees, that apply to persons referred in point (a) 
of this paragraph in order to perform the activities that they have to perform in order to 
implement the programme;  
(c) the conditions referred to in Article UNPRO.1.5(3) [Conditions for participation] are changed.  
2. The Union shall notify the Specialised Committee on Participation in Union Programmes of 
its inten tion to suspend the participation of the United Kingdom in the programme or activity 
concerned. The  Union shall identify the scope of the suspension and provide due justification. Unless 
the Union withdraws its notification, the suspension shall take effec t 45 days following the date of 
notification by the Union. The date on which the suspension takes effect shall constitute the 
suspension reference date for the purposes of this Article.  
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.  
3. As of the suspension r eference date the United Kingdom shall not be treated as a country 
participating in the Union programme, activity, or part thereof concerned by the suspension and in 
particular, the United Kingdom or United Kingdom entities shall no longer be eligible unde r the 
conditions laid down in Article UNPRO.1.4 [Compliance with Programme Rules] and Protocol I, with 
regard to Union award procedures which have not been completed yet on that date. An award 
procedure shall be considered completed when legal commitments have been entered into as a 
result of that procedure.  
4. The suspension shall not affect legal commitments entered into before the suspension 
reference date. This Agreement  shall continue to apply to such legal commitments.  
5. The United Kingdom shall notify  the Union as soon as it considers that compliance  with the 
conditions for participation has been restored, and shall provide the Union with any relevant 
evidence to that effect.  
Within 30 days from that  notification the Union shall assess the matter and may,  for that purpose, 
request that 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 .  
 
395 
 Where  the Union has found that compliance with the conditions for participation is not restored, the 
suspension shall remain in force.  
6. The United  Kingdom shall be treated again as a country participating in the Union 
programme or activity concerned, and in particular United Kingdom and United Kingdom entities 
shall be again eligible under the conditions laid down in Article UNPRO.1.4 [Compliance wi th 
Programme Rules] and Protocol I, with regard to Union award procedures under that Union 
programme or activity which were launched after the date on which the lifting of the suspension 
takes effect, or which were launched before that date, for which the deadline for the submission of 
applications has not expired.  
7. 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 
suspensio n shall be established as follows:  
(a) the Union shall recalculate the operational contribution using the procedure described in 
point (a)(iii) of the fifth subparagraph of Article UNPRO.2.1(8) [Financial conditions];  
(b) the participation fee shall be adjusted in  line with the adjustment of the operational 
contribution.  
Article UNPRO.3.2 - Termination of the participation of the United Kingdom in a Union programme 
by the Union  
1. If, by one year after the reference date referred to in Article UNPRO.3.1(2) [Suspension  of 
the participation of the United Kingdom in a Union programme by  the European Union] the Union 
has not lifted the suspension under Article UNPRO.3.1 [Suspension of the participation of the United 
Kingdom] , the Union shall either:  
(a) 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 da ys 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  
(b) 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 U NPRO.3.1 [ Suspension of the participation of the 
United Kingdom ] on the implementation of the programme or activity or exceptionally parts 
thereof, or the amount of the unpaid contribution.  
2. The Union shall notify the Specialised Committee on Participation in Union Programmes of 
its intention to terminate the participation of the United Kingdom  in one or more Union  
programmes or activities pursuant to point (b) of paragraph 1. The  Union shall identify the scope of 
the termination and provide due justificatio n. Unless the Union withdraws its notification, the 
termination shall take effect 45 days following the date of notification by the Union. The date on 
which the termination takes effect shall constitute the termination reference date for the purposes 
of th is Article.  
 
396 
 3. As of the termination reference date the United Kingdom shall not be treated as a country 
participating in the Union programme or activity concerned by the termination, and in particular the 
United Kingdom or United Kingdom entities shall no lo nger be eligible under the conditions laid 
down in Article UNPRO.1.4 [Compliance with Programme Rules] and in Protocol I, with regard to 
Union award procedures which have not been completed yet as of that date. An award procedure 
shall be considered to hav e been completed if legal commitments have been entered into as a result 
of that procedure.  
4. The termination shall not affect legal commitments entered into before the suspension 
reference date referred to in Article UNPRO.3.1(2) [Suspension of the particip ation of the United 
Kingdom]. This Agreement  shall continue to apply to such legal commitments.  
5. Where the application of Protocol I, or a part thereof, is terminated in respect of the 
programmes or activities or exceptionally parts thereof concerned:  
(a) 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 Multi -annual Financial Framework under which the legal co mmitment has 
been financed;  
(b) no contribution except the one referred to under point (a) of this paragraph shall be made in 
the following years.  
Article UNPRO.3.3: Termination of the participation in a programme or activity in the case of 
substantial modification to Union programmes  
1. The United Kingdom may unilaterally terminate its participation in a Union programme or 
activity  or part thereof referred to in Protocol I  where:  
(a) the basic act of that Union programme or activity  is amended to an extent tha t 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 c orresponding actions; or  
 
(b) the total amount of commitment appropriations as referred to in Article UNPRO.2.1 [Financial 
conditions] 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 UNPRO.2.1(5) [Financial conditions] for the 
whole period of partic ipation has been increased; or  
 
(c) 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 commitme nt appropriations in the Union budget 
definitively adopted for a year N for that programme or activity.  
 
2. To this effect , the United Kingdom shall notify its intention to terminate Protocol I in relation 
to the Union programme or activity concerned, to the Specialised Committee on Participation in 
Union Programmes at the latest 60 days after the publication of the amendment or of the adopted 
annual budget or an amendment to it  in the Official Journal of the European Union. The United 
Kingdom shall explain th e reasons for which the United Kingdom considers the amendment to 
 
397 
 substantially alter the conditions of participation. The Specialised Committee on Participation in 
Union Programmes shall meet within 45 days of receiving the notification to discuss the mat ter.  
3. Unless the United Kingdom withdraws its notification, the termination shall take effect 45 
days following the date of notification by the United Kingdom. The date on which the termination 
takes effect shall constitute the reference date for the purpo ses of this Article.  
4. As of the reference date the United Kingdom shall not be treated as a country participating 
in the Union programme or activity concerned by the termination, and in particular the United 
Kingdom or United Kingdom entities shall no longe r be eligible under the conditions laid down in 
Article UNPRO.1.4 [Compliance with Programme Rules] and in Protocol I, with regard to Union 
award procedures which have not been completed yet as of that date. An award procedure shall be 
considered to have b een completed if legal commitments have been entered into as a result of that 
procedure.  
5. The termination shall not affect legal commitments entered into before the reference date. 
This Agreement  shall continue to apply to such legal commitments.  
6. In case of  termination under this Article in respect of the programmes or activities 
concerned : 
(a) the operational contribution covering support expenditure related to legal commitments 
already entered into shall continue to be due until the completion of those legal c ommitments 
or the end of the Multi -annual Financial Framework under which the legal commitment has 
been financed;  
(b) 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 
UNPRO.2.1(8) [Financial conditions]. No contribution except the one referred to under point 
(a) of this Article shall be made in the following years;  
(c) the participation fee shall be adjusted in line with the adjustment o f the operational 
contribution.  
Section 4: Review of performance and financial increases  
Article UNPRO.3.4: Performance review  
1. A performance  review procedure shall apply in accordance with the conditions laid down in 
this Article in relation to parts of the Union programme or activity to which the correction 
mechanism referred to in Article UNPRO.2.2 [Programmes to which an automatic correctio n 
mechanism applies] applies.  
2. The United Kingdom may request the Specialised Committee on Participation in Union 
Programmes to start the performance review procedure where the amount calculated in accordance 
with the method laid down in Article UNPRO.2.2(2) [Programmes to which an automatic correction 
mechanism applies]  is negative, and where that amount is higher than 12% of the corresponding 
contributions of the United Kingdom to the programme or activity as adjusted pursuant to Article 
UNPRO.2 .1(8) [ Financial conditions] .  
3. The Specialised  Committee on Participation in Union Programmes, within a period of three 
months from the date of the request referred to in paragraph 2, shall analyse the relevant 
 
398 
 performance -related data and adopt a report p roposing appropriate measures to address 
performance related issues.  
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:  
(a) notify its intention to ter minate 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 UNPRO.3.3(3) to (6) [ Termination of 
the partici pation in a programme in the case of substantial modification of the Union 
programme ]; or  
(b) 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 UNPRO.3.5: Financial increases review  
1. The United Kingdom may notify the Specialis ed Committee on Participation in Union 
programmes that it objects to the amount of its contribution to a Union programme or activity if the 
total amount of commitment appropriations as referred to in Article UNPRO.2.1 [Financial 
conditions] is increased by  more than 5% compared with the initial financial envelope for that Union 
programme or activity and either the corresponding ceiling has been increased or the amount of 
external revenue referred to in Article UNPRO.2.1(5) [Financial conditions] for the who le period of 
participation has been increased.  
2. The notification referred to in paragraph 1 shall be made within 60 days as of the publication 
date of the adopted annual budget or an amendment to it in the Official Journal of the European 
Union. The notific ation shall be without prejudice to the obligation of the United Kingdom to pay its 
contribution and to the application of the adjustment mechanism referred to in Article 
UNPRO.2.1(8) [Financial conditions].  
3. The Specialised  Committee on Participation in Un ion Programmes shall prepare a report, 
propose and decide on the adoption of appropriate measures within three months from the date of 
the notification  referred to in paragraph 2 of this Article. Those measures may include limiting the 
participation of the  United Kingdom and United Kingdom entities to certain types of actions or 
award procedures or, where appropriate, a modification of Protocol I. The limitation of the United 
Kingdom’s participation will be treated as an exclusion for the purposes of the ad justment 
mechanism referred to in Article UNPRO.2.1(8) [Financial conditions] . 
4. Where the conditions  referred to in point (b) of Article UNPRO.3.3(1) [ Termination of the 
participation in a programme in the case of substantial modification of the Union programme ] are 
fulfilled, the United Kingdom may terminate its participation in a Union programme or activity 
 
399 
 referred to in Protocol I in  accordance with Article UNPRO.3.3(2) to (6) [Termination of the 
participation in a programme in the case of substanti al modification of the Union programme].  
Chapter 2: Sound financial management  
Article UNPRO.4.X -1: Scope  
This Chapter shall apply in relation to the Union programmes, activities and services under Union 
programmes referred to in Protocols I and II.  
Sectio n 1: Protection of financial interests and recovery  
Article UNPRO.4.X: 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 t o 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 UNPRO.4.1: Reviews and audits  
1. The Union shall have the right to conduct as provided in relevant funding agreements or 
contracts and in accordance with the applicable acts of one or more  Union institutions, technical, 
scientific , financial, or other types of reviews and audits on the premises of any natural person 
residing in or legal entity established in the United Kingdom and receiving Union funding, as well as 
any third party involved in the implementation of  Union funding re siding or established in the United 
Kingdom. Such reviews and audits may be carried out by the agents of the institutions and bodies of 
the Union, in particular of the European Commission and the European Court of Auditors, or by 
other persons mandated by the European Commission in accordance with Union law.  
2. The agents of the institutions and bodies of the Union, in particular the agents of the 
European Commission and the European Court of Auditors, as well as other persons mandated by 
the European Commissi on, shall have appropriate access to sites, works and documents ( in 
electronic or paper versions, or both) and to all the information required in order to carry out such 
reviews and audits, as referred to in paragraph 1. Such access shall include the right  to obtain 
physical or electronic copies of, and extracts from, any document or the contents of any data 
medium held by audited natural or legal persons , or by the audited third party . 
3. The United Kingdom shall not prevent or raise any obstacle to the right  of the agents and 
other persons referred to in paragraph 2 to enter the United Kingdom and to access the premises of 
the audited persons, in  the exercise of their duties referred to in this Article . 
4. Notwithstanding the suspension or termination of the United Kingdom’s participation in a 
programme or activity, the suspension of part or all of the provisions of this Part and/or Protocol I or 
the termination of this Agreement , the  reviews and audits may be carried out also after the date on 
which the relevant suspension or termination takes effect, on the terms laid down in the applicable 
acts of one or more  Union institutions and as provided in the relevant funding agreements or 
contracts in relation to any legal commitment implementing the Union budget entered into by the 
Union before the date on which the relevant suspension or termination takes effect .  
 
400 
 Article UNPRO.4.2: Fight against irregularities, fraud and other criminal offences affecting the 
financial interests of the Union  
1. The European Commission  and the European Anti -Fraud Office (OLAF ) shall be authorised to 
carry out administrative  investigations, including on -the-spot checks and inspections, in the territory 
of the United Kingdom.  The Europe an Commission  and OLAF  shall act in accordance with the Union 
acts governing those checks, inspections and investigations.  
2. The competent United Kingdom authorities shall inform the European Commission or OLAF  
within a reasonable period of any fact or suspi cion which has come to their notice relating to an 
irregularity, fraud or other illegal activity  affecting the financial interests of the  Union.  
3. On-the-spot checks and inspections may  be carried out on the premises of any natural 
person residing in or lega l entity  established in the United Kingdom and that receives Union funding 
under a funding agreement or a contract, as well as on the premises of any third party involved in 
the implementation of such Union funding residing or established in the United Kin gdom. Such 
checks and inspections shall be prepared and conducted by the European Commission or OLAF  in 
close collaboration with the competent United Kingdom authority designated by the United 
Kingdom. The designated authority shall be notified within a re asonable period before the checks 
and inspections of the object, purpose and legal basis of those checks and inspections, to enable it to 
provide assistance. To that end, the officials of the competent United Kingdom authorities may 
participate in the on -the-spot checks and inspections.  
4. The agents of the European Commission and OLAF shall have access to all the information 
and documentation (in electronic or paper versions, or both) relating to the operations referred to in 
paragraph 3, which are required f or the proper conduct of the on -the-spot checks and inspections. 
In particular, the agents of the European Commission and OLAF may copy relevant documents.  
5. The European Commission or OLAF and the competent United Kingdom authorities shall 
decide on a case -by-case basis whether to conduct  on-the-spot checks and inspections jointly, 
including where both parties are competent to conduct investigations.  
6. Where the person , entity  or another third party  who is subject to an on -the-spot check or 
inspection resists an on -the-spot check or inspection, the United Kingdom authorities, acting in 
accordance with national rules and regulations, shall assist the European Commission or OLAF , to 
enable them to fulf il their duties in carrying out the on -the-spot check or inspection . Such  assistance 
shall include taking the appropriate precautionary measures under national law, including measures 
to safeguard evidence . 
7. The European Commission or OLAF  shall inform the competent United Kingdom authorities 
of the result of such checks and inspections. In particular the European Commission or OLAF shall 
report as soon as possible to the competent United Kingdom authority any fact or suspicion relating 
to an irregularity wh ich has come to their notice in the course of the on -the-spot check or 
inspection.  
8. Without prejudice to application of United Kingdom law, the European Commission may 
impose administrative measures and penalties on legal or natural persons participating in  the 
implementation of a programme or activity in accordance  with Union legislation.  
9. For the purposes  of the proper implementation of this Article, the European Commission or 
OLAF and the United Kingdom competent authorities shall regularly exchange inform ation and, at 
 
401 
 the request of one of the parties to this Agreement, consult each other, unless prohibited under 
Union legislation or under United Kingdom law.  
10. In order to facilitate effective cooperation and the exchange of information with OLAF the 
United Kingdom shall designate  a contact point.  
11. The exchange of information between the European Commission or OLAF and the United 
Kingdom competent authorities shall comply with applicable  confidentiality requirements . Personal 
data included in the exchange of i nformation shall be protected in accordance with applicable rules.  
12. Without prejudice to the applicability of Article LAW.MUTAS.114 [ Definition of competent 
authority] , where any United Kingdom national, or natural persons residing in the United Kingdom, 
or legal entities established in the United Kingdom receive Union funding under Union programmes 
and activities listed in Protocol I, directly or indirectly, including in connection with any third party 
involved in the implementation of such Union funding, t he United Kingdom authorities shall 
cooperate with the Union authorities or authorities of the Member States of the Union responsible 
for investigating, prosecuting and bringing to judgement the perpetrators of, and accomplices to, 
criminal offences affect ing the financial interests of the Union in relation to such funding, in 
accordance with the applicable legislation and international instruments, to allow them to fulfil their 
duties.  
Article UNPRO.4.3: Amendments  to Articles UNPRO.0.1, UNPRO.4.X -1, UNPRO .4.1 [Reviews and 
audits] and UNPRO. 4.2 [Fight against irregularities, fraud and other criminal offences affecting the 
financial interests of the Union]  
The Specialised Committee on Participation in Union Programmes may amend Articles UNPRO.4.1 
[Reviews and audits] and UNPRO.4.2 [Fight against irregularities, fraud and other criminal offences 
affecting the financial interests of the Union], in particular to take account of changes of acts of one 
or more Union institutions.  
The Specialised Committee on Par ticipation in Union Programmes may amend Article UNPRO.0.1 
[Scope] and Article UNPRO.4.X -1 [Scope]  to extend the application of this Chapter to other Union 
programmes, activities and services.  
Article UNPRO.4.4: Recovery and enforcement  
1. Decisions  adopted b y the European Commission imposing a pecuniary obligation on legal or 
natural persons other than States in relation to any claims stemming from Union programmes, 
activities, actions or projects shall be enforceable in the United Kingdom. The order for its 
enforcement shall be appended to the decision, without any other formality than a verification of 
the authenticity of the decision by the national authority designated for this purpose by  the United 
Kingdom . The United Kingdom  shall make known  its designat ed national authority  to the 
Commission and the Court of Justice of the European Union. In accordance with Article UNPRO.5.1  
[Communication and exchange of information] , the European Commission shall be entitled to notify 
such enforceable decisions directl y to persons residing and legal entities established in the United 
Kingdom. The enforcement of those decisions shall take place in accordance with United Kingdom 
law. 
2. Judgments and orders of the Court of Justice of the European Union delivered in applicati on 
of an arbitration clause contained in a contract or agreement in relation to Union programmes, 
activities or parts thereof under Protocol I shall be enforceable in the United Kingdom in the same 
manner as European Commission decisions, as referred to in  paragraph 1 of this Article.  
 
402 
 3. The Court of Justice of the European Union shall have jurisdiction to review the legality of 
the decisions of the Commission referred to in paragraph 1 and to suspend the enforcement of such 
decisions. However, the  Courts of t he United Kingdom shall have jurisdiction over complaints 
alleging that enforcement is being carried out in an irregular manner.  
Section 2: Other rules for the implementation of Union programmes  
Article UNPRO.5.1: 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 p erson 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 perso ns, 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 t he basis of the contracts 
or funding agreements concluded to implement that programme or activity.  
Article UNPRO.5.2: Statistical cooperation  
EUROSTAT and the United Kingdom Statistics Authority may establish an arrangement that enables 
cooperation on rele vant 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 Kingd om. 
Chapter 3: Access of the United Kingdom to services under Union programmes  
 Article UNPRO.6: Rules on service access  
1. Where the United  Kingdom does not participate in a Union programme or activity in 
accordance with Chapter 1 [Participation of the United Kingdom in Union Programmes] of this Part, 
it may nevertheless have access to services provided under Union programmes and activities u nder 
the terms and conditions established in this Agreement, the basic acts and any other rules pertaining 
to the implementation of Union programmes and activities.  
2. Protocol II [Access of the United Kingdom to services established under certain programmes 
and activities] shall, where appropriate:  
(a) identify the services under Union programmes and activities, to which the United Kingdom  
and United Kingdom entities shall have access;  
(b) lay down specific conditions for the access by the United Kingdom and United K ingdom 
entities. Those conditions shall comply with the conditions laid down in this Agreement and in 
the basic acts;  
(c) where applicable, specify the United Kingdom's financial or in -kind contribution with respect 
to a service provided under such Union progr ammes and activities.  
3. Protocol II shall be adopted  and may be amended by the Specialised Committee on 
Participation in Union Programmes.  
 
403 
 4. The United Kingdom and public and private spacecraft owners and operators operating in or 
from the United Kingdom shall have access to the services provided under Article 5.1 of Decision No 
541/2014 in accordance with Article 5.2 of this decision until provisions on similar access are 
included in Protocol II or until 31 December 2021.  
Chapter 4: [Reviews]  
Article UNPRO.7:  [Review clause ] 
Four years after Protocol 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 i n 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 o r 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 UNPRO.8: Participation fee in the years 2021 to 2026  
The participation fee referred to in Article UNPRO.2.1(4) [ Financial conditions]  shall have the 
following value in the years 2021 to 2026:  
- in 2021: 0.5%;  
- in 2022: 1%;  
- in 2023: 1.5%;  
- in 2024: 2%;  
- in 2025: 2.5%;  
- in 2026: 3%.  
  
 
404 
 PART SIX: DISPUTE SETTLEMENT AND HORIZONTAL PROVISIONS  
TITLE I: DISPUTE SET TLEMENT  
Chapter 1: General provisions  
Article INST.9: 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 INST.10: Scope  
1. This Title applies, subject to paragraphs 2, 3, 4 and 5, to disputes between the Parties 
concerning the interpretation and application of the provisions of this Agreement or of any 
supplement ing agreement (“covered provisions”).  
2. The covered provisions shall include all provisions of this Agreement and of any 
supplementing agreement with the exception of:  
(a) paragraphs 1 to 6 of Article GOODS.17 [Trade remedies] and Article GOODS.21 [Cultural 
property] of Title I of Heading One Part Two;  
(b) Annex TBT -X [Medicinal products];  
(c) Title VII [Small and medium sized enterprises] of Heading one of Part Two;  
(d) Title X [Good regulatory practices and regulatory cooperation] of Heading One of Part Two;  
(e) paragraphs  1, 2 and 4 of Article LPFS.1.1 [Principles and objectives] and paragraphs 1 and 3 of 
Article LPFS.1.2 [Right to regulate, precautionary approach and scientific and technical 
information] of Chapter 1 [General provisions], Chapter 2 [Competition policy], A rticles 
LPFS.3.9 [Independent authority or body and cooperation] and LPFS.3.10 [Courts and 
tribunals] of Chapter 2 [Subsidy control]; and Chapter 5 [Taxation] of Title XI [Level playing 
field for open and fair competition and sustainable development] of He ading One of Part Two, 
and paragraphs 4 to 9 of Article LPFS.9.4 [Rebalancing] of Chapter 9 [Horizontal and 
institutional provisions] of Title XI [Level playing field for open and fair competition and 
sustainable development] of Heading One of Part Two;  
(f) Part Three [Law enforcement and judicial cooperation in criminal matters], including when 
applying in relation to situations governed by other provisions of this Agreement;  
(g) Part Four [Thematic cooperation];  
(h) Title II [Basis for cooperation] of Part Six [Disp ute settlement and horizontal provisions];  
(i) Article FINPROV.10A [ Interim provision for transmission of personal data to the United 
Kingdom] of Part Seven;  and 
(j) the Agreement on security procedures for exchanging and protecting classified information;  
 
405 
 3. The Partnership Council may be seized by a Party with a view to resolving a dispute with 
respect to obligations arising from the provisions referred to in paragraph 2.  
4. Article INST.11 [Exclusivity] shall apply to the provisions referred to in paragraph 2.  
5. Notwithstanding paragraphs 1 and 2, this Title shall not apply with respect to disputes 
concerning the interpretation and application of the provisions of the Protocol on Social Security 
Coordination or its annexes in individual cases.  
Article INST.11: E xclusivity  
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 INST.12: Choice of forum in case of a substantially equivalent obligation under another 
international agreement  
1. If a dispute arises regarding a measure allegedly in breach of an obligation under this 
Agreement or any supplementing agreement an d of a substantially equivalent obligation under 
another international agreement to which both Parties are party, including the WTO Agreement, the 
Party seeking redress shall select the forum in which to settle the dispute.  
2. Once a Party has selected th e forum and initiated dispute settlement procedures either 
under this Title or under another international agreement, that Party shall not initiate such 
procedures under the other international agreement with respect to the particular measure referred 
to in paragraph 1, unless the forum selected first fails to make findings for procedural or 
jurisdictional reasons.  
3. For the purposes of this Article:  
(a) 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 INST.14 [Arbitration procedures];  
(b) 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 Understan ding on Rules 
and Procedure Governing the Settlement of Disputes of the WTO; and  
(c) 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.  
4. With out prejudice to paragraph 2, nothing in this Agreement or any supplementing 
agreement shall preclude a Party from suspending obligations authorised by the Dispute Settlement 
Body of the WTO or authorised under the dispute settlement procedures of another international 
agreement to which the Parties are party. The WTO Agreement or any other international 
agreement between the Parties shall not be invoked to preclude a Party from suspending obligations 
under this Title.  
Chapter 2: Procedure  
 
406 
 Article INST.13: Consultations  
1. If a Party (“the complaining Party”) considers that the other Party (“the respondent Party”) 
has breached an obligation under this Agreement or under any supplementing agreement, the 
Parties shall endeavour to resolve the matter by enterin g into consultations in good faith, with the 
aim of reaching a mutually agreed solution.  
2. The complaining Party may seek consultations by means of a written request delivered to 
the respondent Party. The complaining Party shall specify in its written req uest the reasons for the 
request, including the identification of the measures at issue and the legal basis for the request, and 
the covered provisions it considers applicable.  
3. The respondent Party shall reply to the request promptly, and in any case no  later than 10 
days after the date of its delivery. Consultations shall be held within 30 days of the date of delivery 
of the request in person or by any other means of communication agreed by the Parties. If held in 
person, consultations shall take place in the territory of the respondent Party, unless the Parties 
agree otherwise.  
4. The consultations shall be deemed concluded within 30 days of the date of delivery of the 
request, unless the Parties agree to continue consultations.  
5. Consultations on mat ters of urgency, including those regarding perishable goods or seasonal 
goods or services, shall be held within 20 days of the date of delivery of the request. The 
consultations shall be deemed concluded within those 20 days unless the Parties agree to con tinue 
consultations.  
6. Each Party shall provide sufficient factual information to allow a complete examination of 
the measure at issue, including an examination of how that measure could affect the application of 
this Agreement or any supplementing agreem ent. Each Party shall endeavour to ensure the 
participation of personnel of their competent authorities who have expertise in the matter subject 
to the consultations.  
7. For any dispute concerning an area other than Titles I to VII, Chapter four [Energy an d raw 
materials] of Title VIII, Titles IX to XII of Heading One or Heading Six of Part Two, at the request of 
the complaining Party, the consultations referred to in paragraph 3 of this Article shall be held in the 
framework of a Specialised Committee or o f the Partnership Council. The Specialised Committee 
may at any time decide to refer the matter to the Partnership Council. The Partnership Council may 
also seize itself of the matter. The Specialised Committee, or, as the case may be, the Partnership 
Coun cil, may resolve the dispute by a decision. The time periods referred to in paragraph 3 of this 
Article shall apply. The venue of meetings shall be governed by the rules of procedure of the 
Specialised Committee or, as the case may be, the Partnership Coun cil. 
8. Consultations, and in particular all information designated as confidential and positions 
taken by the Parties during consultations, shall be confidential, and shall be without prejudice to the 
rights of either Party in any further proceedings.  
Article INST.14: Arbitration procedure  
1. The complaining Party may request the establishment of an arbitration tribunal if:  
 
407 
 (a) the respondent Party does not respond to the request for consultations within 10 days of the 
date of its delivery;  
(b) consultations are n ot held within the time periods referred to in Article INST.13(3), (4) or (5) 
[Consultations];  
(c) the Parties agree not to have consultations; or  
(d) consultations  have been concluded without a mutually agreed solution having been reached.  
 2. The request for t he establishment of the arbitration tribunal shall be made by means of a 
written request delivered to the respondent Party. In its request, the  complaining  Party  shall  
explicitly  identify the measure at  issue and explain how that measure constitutes a brea ch of the 
covered provisions in a manner sufficient to present the legal basis for the complaint clearly.  
Article INST.15: Establishment of an arbitration tribunal  
1. An arbitration tribunal shall be composed of three  arbitrators.  
2. No later than 10 days after the date of delivery of the request for the establishment of an 
arbitration tribunal, the Parties shall consult with a view to agreeing on the composition of the 
arbitration tribunal.  
3. If the Parties do not agree on the compos ition of the arbitration tribunal within the time 
period  provided  for in paragraph  2, each  Party  shall appoint  an arbitrator  from  the sub-list for that 
Party established pursuant to Article INST.27 [Lists of arbitrators] no later than five days after the 
expiry of the time  period  provided  for in paragraph  2 of this Article.  If a Party  fails to appoint  an 
arbitrator  from its sub -list within  that time period, the co -chair of the Partnership Council from the 
complaining Party shall select, no later than five days after the expiry of that time period, an 
arbitrator by lot from the sub -list of the Party  that has failed  to appoint  an arbitrator.  The co-chair of 
the Partnership Council from the complaining Party may delegate such selection by lot of the 
arbitrator . 
4. If the Parties  do not agree  on the chairperson  of the arbitration tribunal  within  the time  period 
provided for in paragraph 2 of this Article, the co -chair of the Partnership Council from the 
complaining Party shall select, no later than five days after the expiry of that time period, the 
chairperson of the arbitration tribunal by lot from the sub -list of chairpersons established pursuant  
to Article  INST.27 [Lists of arbitrators].  The co -chair  of the Partnership Council from  the complaining  
Party  may delegate  such  selection  by lot of the chairperson of the arbitration tribunal.  
5. Should any of the lists provided for in Article  INST.27 [Lists of arbitrators] not be established 
or not contain sufficient names at the time a selection is made pursuant to paragraphs 3 or 4 of this 
Article, the arbitrators shall be selected by lot from the individuals who have been formally 
proposed by one Party or both Parties in accordance with Annex INST -X [Rules of procedure].  
6. The date of establishment of the arbit ration tribunal shall be the date on which the last of 
the three arbitrators has notified to the Parties the acceptance of his or her  appointment in 
accordance with Annex INST -X [Rules of procedure].  
 
408 
 Article INST.16: Requirements for arbitrators  
1. All arbitr ators shall:  
(a) have demonstrated expertise in law and international trade, including on specific matters 
covered by Titles I to VII, Chapter four [Energy and raw materials] of Title VIII, Titles IX to XII of 
Heading One [Trade] of Part Two or Heading Six [Ot her provisions] 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;  
(b) not be affiliated with or take instructions fr om either Party;  
(c) serve in their individual capacities and not take instructions from any organisation or 
government with regard to matters related to the dispute; and  
(d) comply wit h Annex INST -X [Code of  Conduct].]  
2. All arbitrators shall be persons whose in dependence is beyond doubt, who possess the 
qualifications required for appointment to high judicial office in their respective countries or who are 
jurisconsults of recognised competence.  
3. In view of the subject -matter of a particular dispute, the Parti es may agree to derogate from 
the requirements listed in point (a) of paragraph 1.  
Article INST.17: Functions of the arbitration tribunal  
The arbitration tribunal:  
(a) 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;  
(b) shall set out, in its decisions and rulings, the findings of facts and law and the rationale behind 
any findings that it mak es; and  
(c) should consult regularly with the Parties and provide adequate opportunities for the 
development of a mutually  agreed solution.  
Article INST.18: Terms of reference  
1. Unless the Parties agree otherwise no later than five days after the date of the establishment 
of the arbitration tribunal, the terms of reference of the arbitration tribunal shall  be: 
"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 fo r the establishment of 
the arbitration tribunal, to decide on the conformity of the measure at issue with the 
provisions referred to in Article INST.10 [Scope] and to issue a ruling in accordance with 
Article INST.20 [Ruling of the arbitration tribunal]".  
2. If the Parties agree on terms of reference other than those referred to in paragraph 1, they 
shall notify the agreed terms of reference to the arbitration tribunal within the time period 
 
409 
 referred to in paragraph 1.  
Article INST.19: Urgent proceedings  
1. If a Party  so requests,  the arbitration tribunal  shall  decide,  no later than 10 days after the date 
of its establishment, whether the case concerns matters of  urgency.  
2. In cases of urgency, the applicable time periods set out in Article INST.20 [Ruling of the 
Arbitration Tribunal] shall be half the time prescribed therein.   
Article INST.20: Ruling of the arbitration tribunal  
1.  The arbitration tribunal shall deliver an interim report to the Parties within 100 days after 
the date of establishment of the  arbitration tribunal. If the arbitration tribunal considers that this 
deadline cannot be met, the chairperson of the arbitration tribunal shall notify the Parties in writing, 
stating the reasons for the delay and the date on which the arbitration tribunal  plans to deliver its 
interim report. The arbitration tribunal shall not deliver its interim report later than 130 days after 
the date of establishment of the arbitration tribunal under any circumstances.  
2. Each Party may deliver to the arbitration tribun al a written request to review precise aspects 
of the interim report within 14 days of its delivery. A Party may comment on the other Party's 
request within six days of the delivery of the request.  
3. If no written request to review precise aspects of the interim report is delivered within the 
time period referred to in paragraph 2, the interim report shall become the ruling of the arbitration 
tribunal.  
4. The arbitration tribunal shall deliver its ruling to the Parties within 130 days of the date of 
estab lishment of the arbitration tribunal. When the arbitration tribunal considers that that deadline 
cannot be met, its chairperson shall notify the Parties in writing, stating the reasons for the delay 
and the date on which the arbitration tribunal plans to d eliver its ruling. The arbitration tribunal shall 
not deliver its ruling later than 160 days after the date of establishment of the arbitration tribunal 
under any circumstances.  
5. The ruling shall include a discussion of any written request by the Parties on the interim 
report and clearly address the comments of the Parties.  
6. For greater certainty, a ‘ruling’ or ‘rulings’ as referred to in Articles INST.17 [Functions of the 
arbit ration tribunal], INST.18 [Terms of reference], INST.28 [Replacement of arbitrators] and Article 
INST.29(1), (3), (4) and (6) [Arbitration tribunal rulings and decisions] shall be understood to refer 
also to the interim report of the arbitration tribunal.  
Chapter 3: Compliance  
Article INST.21: Compliance measures  
1. If, in its ruling referred to in Article INST.20(1) [Ruling of the arbitration tribunal], the 
arbitration tribunal finds that the respondent Party has breached an obligation under this 
Agreement  or under any supplementing agreement, that Party shall take the necessary measures to 
 
410 
 comply immediately with the ruling of the arbitration tribunal in order to bring itself in compliance 
with the covered provisions.  
2. The respondent Party, no later than  30 days after delivery of the ruling, shall deliver a 
notification to the complaining Party of the measures which it has taken or which it envisages to 
take in order to comply.  
Article INST.22: Reasonable Period of Time  
1. If immediate compliance is not possible, the respondent Party, no later than 30 days after 
delivery of the ruling referred to in Article INST.20(1) [Ruling of the arbitration tribunal], shall deliver 
a notification to the complaining Party of the length of the reasonable period of time it will require 
for compliance with the ruling referred to in Article INST.20(1) [Ruling of the arbitration tribunal]. 
The Parties shall endeavour to agree on the length of the reasonable period of time to comply.  
2. If the Parties have not agreed on the l ength of the reasonable period of time, the 
complaining Party may, at the earliest 20 days after the delivery of the notification referred to in 
paragraph 1, request in writing that the original arbitration tribunal determines the length of the 
reasonable period of time. The arbitration tribunal shall deliver its decision to the Parties within 20 
days of the date of delivery of the request.  
3. The respondent Party shall deliver a written notification of its progress in complying with the 
ruling referred to in Article INST.20(1) [Ruling of the arbitration tribunal] to the complaining Party at 
least one month before the expiry of the reasonable period of time.  
4. The Parties may agree to extend the reasonable period of time.  
Article INST.23: Compliance Review  
1. The respondent Party shall, no later than the date of expiry of the reasonable period of time, 
deliver a notification to the complaining  Party of any measure that it has taken to comply with the 
ruling referred to in Article INST.20(1) [Ruling of the a rbitration tribunal].  
2. When the Parties disagree on the existence of, or the consistency with the covered 
provisions of, any measure taken to comply, the complaining Party may deliver a request, which 
shall be in writing, to the original arbitration tri bunal to decide on the matter. The request shall 
identify any measure at issue and explain how that measure constitutes a breach of the covered 
provisions in a manner sufficient to present the legal basis for the complaint clearly. The arbitration 
tribunal  shall deliver its decision to the Parties within 45 days of the date of delivery of the request.  
Article INST.24: Temporary Remedies  
1. The respondent Party shall, at the request of and after consultations with the complaining 
Party, present an offer for temporary compensation if:  
(a) the respondent Party delivers a notification to the complaining Party that it is not possible to 
comply with the ruling referred to in Article INST.20(1) [Ruling of the arbitration tribunal]; or  
 
411 
 (b) the respondent Party fails  to deliver a notification of any measure taken to comply within 
the deadline referred to in Article INST.21 [Compliance Measures] or before the date of expiry of the 
reasonable period of time; or  
(c) the arbitration tribunal finds that no measure taken to  comply exists or that the measure 
taken to comply is inconsistent with the covered provisions.  
2. 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 Pa rty that it intends to suspend the 
application of obligations under the covered provisions if:  
(a) the complaining Party decides not to make a request under paragraph 1; or  
(b) the Parties do not agree on the temporary compensation within 20 days after th e expiry of 
the reasonable period of time or the delivery of the arbitration tribunal decision under Article 
INST.23 [Compliance Review] if a request under paragraph 1 is made.  
The notification shall specify the level of intended suspension of obligations.   
3.  Suspension of obligations shall be subject to the following conditions:  
(a) Obligations under Heading Four [Social security coordination and visas for short -term visits]of 
Part Two, the Protocol on Social Security Coordination or its annexes or Part Five [Union 
programmes] may not be suspended under this Article;  
(b) By derogation from point (a), obligations under Part Five [Union programmes] may be suspended 
only where the ruling referred to in Article INST.20(1) [Ruling of the arbitration tribunal] concerns 
the interpretation and implementation of Part Five [Union programmes];  
(c) Obligations outside Part Five [Union programmes] may not be suspended where the ruling 
referred to in Article INST.20(1) [Ruling of the arbitration tribunal] concerns the interpretation and 
implementation of Part Five [Union programmes]; and  
(d) Obligations under Title II [Services and Investment] 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 
INST.20(1) [Ruling of the arbitration tribunal] concerns the interpretation and application of  
obligations under Title II [Services and Investment] of Heading One of Part Two in respect of financial 
services.  
4.  Where a Party persists in no t complying with a ruling of an arbitration panel established 
under an earlier agreement concluded between the Parties, the other Party may suspend obligations 
under the covered provisions referred to in Article INST.10 [Scope]. With the exception of the r ule in 
point (a) of paragraph 3, all rules relating to temporary remedies in case of non -compliance and to 
review of any such measures shall be governed by the earlier agreement.  
5. The suspension of obligations shall not exceed the level equivalent to the  nullification or 
impairment caused by the violation.  
6. If the arbitration tribunal has found the violation in Heading One [Trade] or Heading Three 
[Road] of Part Two, the suspension may be applied in another Title of the same Heading as that in 
 
412 
 which th e tribunal has found the violation, in particular if the complaining party is of the view that 
such suspension is effective in inducing compliance.  
7. If the arbitration tribunal has found the violation in Heading Two [Aviation]:  
(a) the complaining party  should first seek to suspend obligations in the same Title as that in which 
the arbitration tribunal has found the violation;  
(b) if the complaining party considers that it is not practicable or effective to suspend obligations 
with respect to the same Ti tle as that in which the tribunal has found the violation, it may seek to 
suspend obligations in the other Title under the same Heading.  
8. If the arbitration tribunal has found the violation in Heading One [Trade], Heading Two 
[Aviation], Heading Three [R oad] or Heading Five [Fisheries] of Part Two, and if the complaining 
party considers that it is not practicable or effective to suspend obligations within the same Heading 
as that in which the arbitration tribunal has found the violation, and that the circ umstances are 
serious enough, it may seek to suspend obligations under other covered provisions.  
9. In the case of point (b) of paragraph 7 and paragraph 8, the complaining Party shall state the 
reasons for its decision.  
10. The complaining Party may susp end the obligations 10 days after the date of delivery of the 
notification referred to in paragraph 2 unless the respondent Party made a request under paragraph  
11. 
11. If the respondent Party considers that the notified level of suspension of obligations exceeds 
the level equivalent to the nullification or impairment caused by the violation or that the principles 
and procedures set forth in point (b) of paragraph 7, paragraph 8 or paragraph 9 have not been 
followed, it may deliver a written request to the original arbitration tribunal before the expiry of the 
10 day period set out in paragraph 10 to decide on the matter. The arbitration tribunal shall deliver 
its decision on the level of the suspension of obligations to the Parties within 30 days of the dat e of 
the request. Obligations shall not be suspended until the arbitration tribunal has delivered its 
decision. The suspension of obligations shall be consistent with that decision.  
12.  The arbitration tribunal acting pursuant to paragraph 11 shall not ex amine the nature of the 
obligations to be suspended but shall determine whether the level of such suspension exceeds the 
level equivalent to the nullification or impairment caused by the violation. However, if the matter 
referred to arbitration includes a claim that the principles and procedures set forth in point (b) of 
paragraph 7, paragraph 8 or paragraph 9 have not been followed, the arbitration tribunal shall 
examine that claim. In the event the arbitration tribunal determines that those principles and  
procedures have not been followed, the complaining party shall apply them consistently with point 
(b) of paragraph 7, paragraph 8 and paragraph 9. The parties shall accept the arbitration tribunal's 
decision as final and shall not seek a second arbitratio n procedure. This paragraph shall under no 
circumstances delay the date as of which the complaining Party is entitled to suspend obligations 
under this Article.  
13. The suspension of obligations or the compensation referred to in this Article shall be 
temp orary and shall not be applied after:  
 
413 
 (a)  the Parties have reached a mutually agreed solution pursuant to Article INST.31 [Mutually 
agreed solution];  
(b)  the Parties have agreed that the measure taken to comply brings the respondent Party into 
complianc e with the covered provisions; or  
(c) 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 INST.25: Review of any measure taken to comply after the adoption of temporary remedies  
1. The respondent Party shall deliver a notification to the complaining Party of any measure it 
has taken to comply following the suspension of obl igations or following the application of 
temporary compensation, as the case may be . With the exception of cases under paragraph 2, the 
complaining Party shall terminate the suspension of obligations within 30 days from the delivery of 
the notification. In cases where compensation has been applied, with the exception of cases under 
paragraph 2, the respondent Party may terminate the application of such compensation within 30 
days from the delivery of its notification that it has complied.  
2. If the Parties  do not reach an agreement on whether the notified measure brings the 
respondent Party into compliance with the covered provisions within 30 days of the date of delivery 
of the notification, the complaining Party shall deliver a written request to the orig inal arbitration 
tribunal to decide on the matter. The arbitration tribunal shall deliver its decision to the Parties 
within 46 days of the date of the delivery of the request. If the arbitration tribunal finds that the 
measure taken to comply is in confor mity with the covered provisions, the suspension of obligations 
or compensation, as the case may be, shall be terminated. When relevant, the level of suspension of 
obligations or of compensation shall be adjusted in light of the arbitration tribunal decisi on. 
Chapter 4: Common procedural provisions  
Article INST.26: Receipt of information  
1. On request of a Party, or on its own initiative, the arbitration tribunal may seek from the 
Parties relevant information it considers necessary and appropriate. The Part ies shall respond 
promptly and fully to any request by the arbitration tribunal for such information.  
2. On request of a Party, or on its own initiative, the arbitration tribunal may seek from any 
source any information it considers appropriate. The arbitration tribunal may also seek the opinion 
of experts as it considers appropriate and subject to any terms and conditions agreed by the Parties, 
where applicable.  
3. The arbitration tribunal shall consider amicus curiae submissions from natural persons  of a 
Party or legal persons established in a Party in accordance with Annex INST -X [Rules of Procedure].  
4. Any information obtained by the arbitration tribunal under this Article shall be made available 
to the Parties and the Parties may submit comments on that information to the arbitration tribunal.  
 
414 
 Article INST.27: Lists of arbitrators  
1. 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:  
(a) one sub -list of individuals es tablished on the basis of proposals by the Union;  
(b) one sub -list of individuals established on the basis of proposals by the United Kingdom; and  
(c) one sub -list of individuals who are not nationals of either Party who shall serve as chairperson 
to the arbitra tion 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.  
2. The Partnership Council may establish additional lists of individuals wi th 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  INST.15(3) and (5) [Establishment of an arbitration tribunal]. 
Additional lists shall be composed of two sub -lists:  
(a) one sub -list of individuals established on the basis of proposals by the Union; and  
(b) one sub -list of individuals established on the basis of  proposals by the United Kingdom.  
3. The lists referred to in paragraphs 1 and 2 shall not comprise persons who are members, 
officials or other servants of the Union institutions, of the Government of a Member State, or of the 
Government of the United Kingdom.  
Article INST.28: 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 INST.15 [Establishment of the arbitration 
tribunal] 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 INST.29: Arbitration tribunal d ecisions and rulings  
1. The deliberations of the arbitration tribunal shall be kept confidential. The arbitration 
tribunal shall make every effort to draft rulings and take decisions by consensus. If this is not 
possible, the arbitration tribunal shall dec ide the matter by majority vote. In no case shall separate 
opinions of arbitrators be disclosed.  
2. The decisions and rulings of the arbitration tribunal shall be binding on the Union and on the 
United Kingdom. They shall not create any rights or obligatio ns with respect to natural or legal 
persons.  
 
415 
 3. Decisions and rulings of the arbitration tribunal cannot add to or diminish the rights and 
obligations of the Parties under this Agreement or under any supplementing agreement.  
4. For greater certainty, the arbitration tribunal shall have no jurisdiction to determine the 
legality of a measure alleged to constitute a breach of this Agreement or of any supplementing 
agreement, under the domestic law of a Party. No finding made by the arbitration tribunal when 
ruling on a dispute between the Parties shall bind the domestic courts or tribunals of either Party as 
to the meaning to be given to the domestic law of that Party.  
4A. For greater certainty, the courts of each Party shall have no jurisdiction in the resolu tion of 
disputes between the Parties under this Agreement.  
5. Each Party shall make the rulings and decisions of the arbitration tribunal publicly available, 
subject to the protection of confidential information.  
6. The information submitted by the Parties to the arbitration tribunal shall be treated in 
accordance with the confidentiality rules laid down in ANNEX -INST -X [Rules of procedure].  
Article INST.30: 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 Parti es, 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 INST.31: Mutually agreed solution  
5. The Parties may at any time reach a mutually agreed solution with respect to any dispute 
referred to in Article INST.10 [Scope].  
 
6. If a mutually agreed solution is reached during panel proceedings, the Parties shall jointly 
notify the agreed solution to the chairperson of the arbitration tribunal. Upon such notification, the 
arbitration proceedings shall be terminated.  
 
7. The solution may be adopted by means of a decision of the Partnership Council. Mutually 
agreed solutions shall be made publicly available. The version disclosed to the public shall not 
contain any information either Party has designated as confidential.  
 
8. Each Party shall take the measures necessary to implement the mutually agreed solution 
within the agreed time period.  
 
9. No later than the date of expiry of the agreed time period, the implementing Party shall 
inform the other Party in writing of any measure s thus taken to implement the mutually agreed 
solution.  
 
416 
 Article INST.32: Time Periods  
1. All time periods laid down in this Title shall be counted in days from the day following the 
act to which they refer.  
2. Any time period referred to in this Title may be modified by mutual agreement of the 
Parties.  
3. The arbitration tribunal may at any time propose to the Parties to modify any time period 
referred to in this Title, stating the reasons for the proposal.  
Article INST.34: Costs  
1. Each Party shall bear its own expenses derived from the participation in the arbitration 
tribunal procedure.  
2. The Parties shall share jointly and equally the expenses derived from organisational matters, 
including the remuneration and expenses of the members of the arbitratio n tribunal. The 
remuneration of the arbitrators shall be in accordance with INST -ANNEX -X [Rules of procedure].  
Article INST.34A: Annexes  
1. Dispute settlement procedures set out in this Title shall be governed by the rules of 
procedure set out in ANNEX INS T-X [Rules of Procedure] and conducted in accordance with the 
ANNEX INST -X [Code of Conduct].  
2. The Partnership Council may amend the ANNEXES INST -X [Rules of procedure] and INST -X 
[Code of conduct].  
Chapter 5: Specific arrangements for unilateral measures  
Article INST.34B: Special procedures for remedial measures and rebalancing  
1. For the purposes of Article 3.12 [Remedial measures] of Chapter 3 [Subsidy control] and 
Article 9.4(2) and (3) [Rebalancing] of Chapter 9 [Institutional provisions] of T itle XI [Level playing 
field for open and fair competition and sustainable development] of Heading One of Part Two, this 
Title      applies with the modifications set out in this Article.  
2. By derogation from Article INST.15 [Establishment of an arbitrat ion tribunal] and Annex 
INST -X [Rules of procedure for dispute settlement], if the Parties do not agree on the composition of 
the arbitration tribunal within two days, the co -chair of the Partnership Council from the 
complaining Party shall select, no late r than one day after the expiry of the two -day time period, an 
arbitrator by lot from the sub -list of each Party and the chairperson of the arbitration tribunal by lot 
from the sub -list of chairpersons established pursuant to Article INST.27 [Lists of arbi trators]. The co -
chair of the Partnership Council from the complaining Party may delegate such selection by lot of the 
arbitrator or chairperson. Each individual shall confirm his or her availability to both Parties within 
two days from the date on which h e or she was informed of his or her appointment. The 
organisational meeting referred to in Rule 10 of Annex INST -X [Rules of procedure for dispute 
settlement] shall take place within 2 days from the establishment of the arbitration tribunal.       
 
417 
 3. By de rogation from Rule 11 of Annex INST -X [Rules of procedure for dispute settlement] the 
complaining Party shall deliver its written submission no later than seven days after the date of 
establishment of the arbitration tribunal. The respondent Party shall de liver its written submission 
no later than seven days after the date of delivery of the written submission of the complaining 
Party. The arbitration tribunal shall adjust any other relevant time periods of the dispute settlement 
procedure as necessary to e nsure the timely delivery of the report.       
4.  Article INST.20 [Ruling of the arbitration tribunal] does not apply and references to the 
ruling in this Title shall be read as references to the ruling referred to in  
(a) paragraph 10 of Article 3.12 [Remedia l measures] of Chapter 3 [Subsidy control] of Title XI [Level 
playing field for open and fair competition and sustainable development]; or  
(b) point (c) of Article 9.4(3) [Rebalancing].      
5. By derogation from Article INST.23(2) [Compliance review], the arb itration tribunal shall 
deliver its decision to the Parties within 30 days from the date of delivery of the request.  
Article INST.34C: Suspension of obligations for the purposes of Article LPFS.3.12(12), Article FISH.9(5) 
and Article FISH.14(7)  
1. The leve l of suspension of obligations shall not exceed the level equivalent to the 
nullification or impairment of benefits under this Agreement or under a supplementing agreement 
that is directly caused by the remedial measures from the date the remedial measures  enter into 
effect until the date of the delivery of the arbitration ruling.  
2. The level of suspension of obligations requested by the complaining Party and the 
determination of the level of suspension of obligations by the arbitration tribunal shall be b ased on 
facts demonstrating that the nullification or impairment arises directly from the application of the 
remedial measure and affects specific goods, service suppliers, investors or other economic actors 
and not merely on allegation, conjecture or remo te possibility.  
3. The level of nullified or impaired benefits requested by the complaining Party or determined 
by the arbitration tribunal:  
(a) shall not include punitive damages, interest or hypothetical losses of profits or business 
opportunities;  
(b) 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  
(c) 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 INST.34D:  Conditions for rebalancing, remedial, compensatory and safeguard me asures  
Where a Party takes a measure under Article 3.12 [Remedial measures] of Chapter three [Subsidy 
control] or Article 9.4 [Rebalancing] of Chapter nine [Institutional provisions] of Title XI [Level playing 
field for open and fair competition and sustainable d evelopment] of Heading One [Trade], Article 
ROAD.11 [Remedial measures] of Heading Three [Road transport], Article FISH.9 [Compensatory 
measures in case of withdrawal or reduction of access] or Article FISH.14 [Remedial measures and 
 
418 
 dispute resolution] of Heading Five of Part Two or Article INST.36 [Safeguards] of Title III of Part Six, 
that measure shall only be applied in respect of covered provisions within the meaning of Article 
INST.10 [Scope] and shall comply, mutatis mutandis, with the conditions set  out in Article INST.24(3) 
[Temporary remedies].      
 
TITLE II: BASIS FOR COOPERATION  
Article COMPROV.4: Democracy, rule of law and human rights   
1. The Parties shall continue to uphold the shared values and principles of democracy, the rule 
of law, and respect for human rights, which underpin their domestic and international policies. In 
that regard, the Parties  reaffirm their respect for the Universal Declaration of Human Rights and the 
international human rights treaties to which they are parties.  
2. The Parties shall promote such shared values and principles in international forums. The 
Parties shall cooperate in promoting those values and principles, including with or in third countries.  
Article COMPROV.5: Fight against climate change   
1. The Parties  consider that climate change represents an existential threat to humanity and 
reiterate their commitment to strengthening the global response to this threat. The fight against 
human -caused climate change as elaborated in the United Nations Framework Conve ntion on 
Climate Change (UNFCCC) process, and in particular in the Paris Agreement adopted by the 
Conference of the Parties to the United Nations Framework Convention on Climate Change at its 
21st session (the "Paris Agreement”), inspires the domestic and external policies of the Union and 
the United Kingdom. Accordingly, each Party shall respect the Paris Agreement and the process set 
up by the UNFCCC  and refrain from acts or omissions that would materially defeat the object and 
purpose of the Paris Agreem ent. 
2. The Parties shall advocate the fight against climate change in international forums, including 
by engaging with other countries and regions to increase their level of ambition in the reduction of 
greenhouse emissions.  
Article COMPROV.6: Countering proliferation of weapons of mass destruction  
1. The Parties consider that the proliferation of weapons of mass destruction (WMD) and their 
means of delivery, to both state and non -state actors, represents one of the most serious threats to 
international st ability and security.  The Parties therefore agree to cooperate and to contribute to 
countering the proliferation of weapons of mass destruction and their means of delivery through full 
compliance with and national implementation of existing obligations un der international 
disarmament and non -proliferation treaties and agreements and other relevant international 
obligations.  
2. The Parties, furthermore, agree to cooperate on and to contribute to countering the 
proliferation of weapons of mass destruction an d their means of delivery by:  
(a) taking steps to sign, ratify, or accede to, as appropriate, and fully implement all other relevant 
international instruments; and  
 
419 
 (b) 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.  
3. The Parties agree to establish a regular dialogue on those matters.  
Article COMPROV.7: Small arms  and light weapons and other conventional weapons   
1. The Parties recognise that the illicit manufacture, transfer and circulation of small arms and 
light weapons (SALW), including their ammunition, their excessive accumulation, their poor 
management, inad equately secured stockpiles and their uncontrolled spread continue to pose a 
serious threat to peace and international security.  
2. The Parties agree to observe and fully implement their respective obligations to deal with 
the illicit trade in SALW, includ ing their ammunition, under existing international agreements and 
UN Security Council resolutions, as well as their respective commitments within the framework of 
other international instruments applicable in this area, such as the UN Programme of Action t o 
prevent, combat and eradicate the illicit trade in SALW in all its aspects.  
3. The Parties recognise the importance of domestic control systems for the transfer of 
conventional arms in line with existing international standards. The Parties recognise the  importance 
of applying such controls in a responsible manner, as a contribution to international and regional 
peace, security and stability, and to the reduction of human suffering, as well as to the prevention of 
diversion of conventional weapons.  
4. The Parties undertake, in that regard, to fully implement the Arms Trade Treaty and to 
cooperate with each other within the framework of that Treaty, including in promoting the 
universalisation and full implementation of that Treaty by all UN member states.  
5. The Parties therefore undertake to cooperate in their efforts to regulate or improve the 
regulation of international trade in conventional arms and to prevent, combat and eradicate the 
illicit trade in arms.  
6. The Parties agree to establish a regular d ialogue on those matters.  
Article COMPROV.8: The most serious crimes of concern to the international community   
1. The Parties reaffirm that the most serious crimes of concern to the international community 
as a whole must not go unpunished and that their effective prosecution must be ensured by taking 
measures at the national level and by enhancing international cooperation, including with the 
International Criminal Court. The Parties agree to fully support the universality and integrity of the 
Rome Statut e of the International Criminal Court and related instruments.  
2. The Parties agree to establish a regular dialogue on those matters.  
Article COMPROV.9: Counter -terrorism  
1. The Parties shall cooperate at the bilateral, regional and international levels to  prevent and 
combat acts of terrorism in all its forms and manifestations in accordance with international law, 
including, where applicable, international counterterrorism -related agreements, international 
humanitarian law and international human rights la w, as well as in accordance with the principles of 
the Charter of the United Nations.  
 
420 
 2. The Parties shall enhance cooperation on counter -terrorism, including preventing and 
countering violent extremism and the financing of terrorism, with the aim of advan cing their 
common security interests, taking into account the United Nations Global Counter -Terrorism 
Strategy and relevant United Nations Security Council resolutions, without prejudice to law 
enforcement and judicial cooperation in criminal matters and i ntelligence exchanges.  
3. The Parties agree to establish a regular dialogue on those matters. This dialogue will, inter 
alia, aim to promote and facilitate:  
(a) the sharing of assessments on the terrorist threat;  
(b) the exchange of best practices and expertise on counter terrorism;  
(c) operational cooperation and exchange of information; and  
(d) exchanges on cooperation in the framework of multilateral organisations.  
Article COMPROV.10: Personal data protection  
1. The Parties affirm their commitment to ensuring a high level of personal data protection. 
They shall endeavour to work together to promote high international standards.  
2. The Parties recognise that individuals have a right to the protection of personal d ata and 
privacy and that high standards in this regard contribute to trust in the digital economy and to the 
development of trade, and are a key enabler for effective law enforcement cooperation. To that end, 
the Parties shall undertake to respect, each in  the framework of their respective laws and 
regulations, the commitments they have made in this Agreement in connection with that right.  
3. The Parties shall cooperate at bilateral and multilateral levels, while respecting their 
respective laws and regulat ions. Such cooperation may include dialogue, exchanges of expertise, and 
cooperation on enforcement, as appropriate, with respect to personal data protection.  
4. Where this Agreement or any supplementing agreement provide for the transfer of personal 
data , such transfer shall take place in accordance with the transferring Party’s rules on international 
transfers of personal data. For greater certainty, this paragraph is without prejudice to the 
application of any specific provisions in this Agreement relat ing to the transfer of personal data, in 
particular Article DIGIT.7 [ Protection of personal data and privacy]  and Article LAWGEN.4 [Protection 
of personal data], and to Title I of Part Six [Dispute Settlement]. Where needed, each Party will make 
best effor ts, while respecting its rules on international transfers of personal data, to establish 
safeguards necessary for the transfer of personal data, taking into account any recommendations of 
the Partnership Council under point (h) of Article INST.1(4) [Partne rship Council].  
Article COMPROV.11: Global cooperation on issues of shared economic, environmental and social 
interest  
1. The Parties recognise the importance of global cooperation to address issues of shared 
economic, environmental and social interest. Wh ere it is in their mutual interest, they shall promote 
multilateral solutions to common problems.  
2. While preserving their decision -making autonomy, and without prejudice to other provisions 
of this Agreement or any supplementing agreement, the Parties sh all endeavour to cooperate on 
current and emerging global issues of common interest such as peace and security, climate change, 
sustainable development, cross -border pollution, environmental protection, digitalisation, public 
 
421 
 health and consumer protection , taxation, financial stability, and free and fair trade and investment. 
To that end, they shall endeavour to maintain a constant and effective dialogue  and to  coordinate 
their positions in multilateral organisations and forums in which the Parties partici pate, such as the 
United Nations, the Group of Seven (G -7) and the Group of Twenty (G -20), the Organisation for 
Economic Co -operation and Development, the International Monetary Fund, the World Bank and the 
World Trade Organization.  
Article COMPROV.12: Essential elements   
Article COMPROV.4(1) [Democracy, rule of law and human rights], Article COMPROV.5(1) [Fight 
against climate change] and Article COMPROV.6(1) [Countering proliferation of weapons of mass 
destruction] constitute essential elements of the partnership established by this Agreement and any 
supplementing agreement.  
TITLE III: FULFILLME NT OF OBLIGATIONS AN D SAFEGUARD MEASURES  
Article INST.35: Fulfilment of obligations described as essential elements  
1. If either Party considers that there has  been a serious and substantial failure by the other 
Party to fulfil any  of the obligations that are described as essential elements in Article COMPROV.12 
[Essential elements], it may  decide to terminate or suspend the operation of this Agreement or any 
supplementing agreement in whole or in part.  
2. Before doing so, the Party invoking the application of this Article shall request that the 
Partnership Council meet immediately, with a view to seeking a timely and mutually agreeable 
solution. If no mutually a greeable solution is found within 30 days from the date of the request to 
the Partnership Council, the Party may take the measures referred to in paragraph 1.  
3. The measures referred to in paragraph 1 shall be in full respect of international law and shal l 
be proportionate. Priority shall be given to the measures which least disturb the functioning of this 
Agreement and of any supplementing agreements.  
4. The Parties consider that, for a situation to constitute a serious and substantial failure to 
fulfil a ny of the obligations described as essential elements in Article COMPROV.12 [Essential 
Elements], its gravity and nature would have to be of an exceptional sort that threatens peace and 
security or that has international repercussions. For greater certaint y, an act or omission which 
materially defeats the object and purpose of the Paris Agreement shall always be considered as a 
serious and substantial failure for the purposes of this Article.  
Article INST.36: Safeguard measures  
1.            If serious econ omic, societal or environmental difficulties of a sectorial or regional nature, 
including in relation to fishing activities and their dependent communities, that are liable to persist 
arise, the Party concerned may unilaterally take appropriate safeguard m easures.  Such safeguard 
measures shall be restricted with regard to their scope and duration to what is strictly necessary in 
order to remedy the situation. Priority shall be given to those measures which will least disturb the 
functioning of this Agreemen t.  
2.            The Party concerned shall, without delay, notify the other Party through the Partnership 
Council and shall provide all relevant information. The Parties shall immediately enter into 
consultations in the Partnership Council with a view to finding a mutually agreeable solution.  
 
422 
 3.            The Party concerned may not take safeguard measures until one month has elapsed after 
the date of notification referred to in paragraph 2, unless the consultation procedure pursuant to 
paragraph 2 has be en jointly concluded before the expiration of the stated time limit. When 
exceptional circumstances requiring immediate action exclude prior examination, the Party 
concerned may apply forthwith the safeguard measures strictly necessary to remedy the situat ion. 
The Party concerned shall, without delay, notify the measures taken to the Partnership Council and 
shall provide all relevant information.  
4.            If a safeguard measure taken by the Party concerned creates an imbalance between the 
rights and o bligations under this Agreement or under any supplementing agreement, the other Party 
may take such proportionate rebalancing measures as are strictly necessary to remedy the 
imbalance. Priority shall be given to those measures which will least disturb the  functioning of this 
Agreement. Paragraphs 2 to 4 shall apply mutatis mutandis  to such rebalancing measures.  
5.            Either Party may, without having prior recourse to consultations pursuant to Article INST.13 
[Consultations], initiate the arbitratio n procedure referred to in Article INST.14 [Arbitration 
procedure] to challenge a measure taken by the other Party in application of paragraphs 1 to 5 of 
this Article.  
6.            The safeguard measures referred to in paragraph 1 and the rebalancing meas ures referred 
to in paragraph 5 may also be taken in relation to a supplementing agreement, unless otherwise 
provided therein.  
  
 
423 
 PART SEVEN: FINAL PROVISIONS  
Article FINPROV.1: Territorial scope  
1. This Agreement applies to:  
(a) the territories to which the Treaty on European Union and the Treaty on the Functioning of 
the European Union and the Treaty establishing the European Atomic Energy Community are 
applicable, and under the conditions laid down in those Treaties; and  
(b) the te rritory of the United Kingdom.  
2.  This Agreement also applies to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle 
of Man to the extent set out in Heading Five [Fisheries] and Article OTH.9 [Geographical application] 
of Heading Six [Other pr ovisions] of Part Two of this Agreement.  
3.  This Agreement shall neither apply to Gibraltar nor have any effects in that territory.  
4. This Agreement does not apply to the overseas territories having special relations with the 
United Kingdom: Anguilla; Be rmuda; British Antarctic Territory; British Indian Ocean Territory; British 
Virgin Islands; Cayman Islands; Falkland Islands; Montserrat; Pitcairn, Henderson, Ducie and Oeno 
Islands; Saint Helena, Ascension and Tristan da Cunha; South Georgia and the South  Sandwich 
Islands; and Turks and Caicos Islands.  
Article FINPROV.2: 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 FINPROV.3: Review  
The Parties shall jointly review the implementation of this Agreement and supplementin g 
agreements and any matters related thereto five years after the entry into force of this Agreement 
and every five years thereafter.  
Article FINPROV.6: Classified information and sensitive non -classified information  
Nothing in this Agreement or in any su pplementing 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 an d 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 se nsitive non -
classified information exchanged between them.   
 
424 
 Article FINPROV.7: Integral parts of this Agreement  
1. The Protocols, Annexes, Appendices and footnotes to this Agreement shall form an integral 
part of this Agreement.  
2. 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:  
 
(a) Annex INST -X [RULES OF PROCEDURE OF THE  PARTNERSHIP COUNCIL AND COMMITTEES] forms 
an integral part of Title III [Institutional provisions] of Part One;  
(b) Annexes ORIG -1 [INTRODUCTORY NOTES TO PRODUCT SPECIFIC RULES OF ORIGIN], ORIG -2 
[PRODUCT SPECIFIC RULES OF ORIGIN], ORIG -2A [ORIGIN QUOTAS AND ALTERNATIVES TO THE 
PRODUCT -SPECIFIC RULES OF ORIGIN IN ANNEX ORIG -2], ORIG -2B [TRANSITIONAL PRODUCT -
SPECIFIC RULES FOR ELECTRIC ACCUMULATORS AND ELECTRIFIED VEHICLES], ORIG -3 
[SUPPLIER’S DECLARATION], ORIG -4 [TEXT OF THE STATEMENT OF ORIGIN], ORIG -5 [JOIN T 
DECLARATION CONCERNING THE PRINCIPALITY OF ANDORRA] and ORIG -6 [JOINT DECLARATION 
CONCERNING THE REPUBLIC OF SAN MARINO] form an integral part of Chapter two [Rules of 
Origin] of Title I of Heading One of Part Two;  
(c) Annex SPS -1 [CRITERIA REFERRED TO IN AR TICLE SPS.19(d)] forms an integral part of Chapter 
Three [Sanitary and Phytosanitary Measures] of Title I of Heading One of Part Two;  
(d) Annex TBT -XX [ARRANGEMENT REFERRED TO IN ARTICLE TBT.9(4) FOR THE REGULAR EXCHANGE 
OF INFORMATION IN RELATION TO THE SAFET Y OF NON -FOOD PRODUCTS AND RELATED 
PREVENTIVE, RESTRICTIVE AND CORRECTIVE MEASURES], Annex TBT -ZZ [ARRANGEMENT 
REFERRED TO IN ARTICLE TBT.9(5) FOR THE REGULATORY EXCHANGE OF INFORMATION 
REGARDING MEASURES TAKEN ON NON -COMPLAINT NON -FOOD PRODUCTS, OTHER THA N 
THOSE COVERED BY ARTICLE TBT.9(4), Annex TBT -1 [MOTOR VEHICLES AND EQUIPMENT AND 
PARTS THEREOF], Annex TBT -2 [MEDICINAL PRODUCTS], Annex TBT -3 [CHEMICALS], Annex TBT -
4 [ORGANIC PRODUCTS] and Annex TBT -5 [TRADE IN WINE] form an integral part of Chapter 
Four [Technical Barriers to Trade] of Title I of Heading One of Part Two;  
(e) Annex CUSTMS -1 [AUTHORISED ECONOMIC OPERATORS] forms an integral part of Chapter Five 
[Customs and trade facilitation] of Title I of Heading One of Part Two;  
(f) Annexes SERVIN -1 [EXISTING  MEASURES], SERVIN -2 [FUTURE MEASURES], SERVIN -3 [BUSINESS 
VISITORS FOR ESTABLISHMENT PURPOSES, INTRA -CORPORATE TRANSFEREES AND SHORT -TERM 
BUSINESS VISITORS], SERVIN -4 [CONTRACTUAL SERVICE SUPPLIERS AND INDEPENDENT 
PROFESSIONALS], SERVIN -5 [MOVEMENT OF NAT URAL PERSONS] and SERVIN -6 [GUIDELINES 
FOR ARRANGEMENTS ON THE RECOGNITION OF PROFESSIONAL QUALIFICATIONS] form an 
integral part of Title II [Services and Investment] of Heading One of Part Two;  
(g) Annex PPROC -1 [PUBLIC PROCUREMENT] forms an integral part of Title VI [Public procurement] 
of Heading One of Part Two;  
(h) Annexes ENER -1 [LISTS OF ENERGY GOODS, HYDROCARBONS AND RAW MATERIALS], ENER -2 
[ENERGY AND ENVIRONMENTAL SUBSIDIES], ENER -3 [NON -APPLICATION OF THIRD -PARTY 
ACCESS AND OWNERSHIP UNBUNDLING TO INFRAST RUCTURE] and ENER -4 [ALLOCATION OF 
 
425 
 ELECTRICITY INTERCONNECTOR CAPACITY AT THE DAY -AHEAD MARKET TIMEFRAME] form an 
integral part of Title VIII [Energy] of Heading One of Part Two;  
(i) Annex ENER -2 [ENERGY AND ENVIRONMENTAL SUBSIDIES] forms an integral part of T itle XI 
[LPFOFCSD] of Heading One of Part Two;  
(j) Annex AVSAF -1 [AIRWORTHINESS AND ENVIRONMENT CERTIFICATION] and any annex adopted 
in accordance with Article AVSAF.12 [Adoption and amendments of Annexes to this Title] form 
an integral part of Title Two [Avia tion safety] of Heading Two of Part Two;  
(k) Annex ROAD -1 [TRANSPORT OF GOODS BY ROAD] forms an integral part of Title I [Transport of 
goods by road] of Heading Three of Part Two;  
(l) Annexes ROAD -2 [MODEL OF AUTHORISATION FOR AN INTERNATIONAL REGULAR AND SPECIAL 
REGULAR SERVICE], ROAD -3 [MODEL OF APPLICATION FOR AN AUTHORISATION FOR AN 
INTERNATIONAL REGULAR AND SPECIAL REGULAR SERVICE] and ROAD -4 [MODEL OF JOURNEY 
FORM FOR OCCASIONAL SERVICES] form an integral part of Title II [Transport of passengers by 
road] of Heading Three of Part Two;  
(m) [Annexe s FISH.1, FISH.2, FISH.3  and FISH.4 [PROTOCOL ON ACCESS TO WATERS]  form an integral 
part of Heading Five [Fisheries] of Part Two]];   
(n) Annex LAW -1 [EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA] forms an 
integ ral part of Title II [Exchanges of DNA, fingerprints and vehicle registration data] of Part 
Three;  
(o) Annex LAW -2 [PASSENGER NAME RECORD DATA] forms an integral part of Title III [Transfer and 
processing of passenger name record data] of Part Three;  
(p) Annex LAW -3 [FORMS OF CRIME FOR WHICH EUROPOL IS COMPETENT] forms an integral part of 
Title V [Cooperation with Europol] of Part Three;  
(q) Annex LAW -4 [FORMS OF SERIOUS CRIME FOR WHICH EUROJUST IS COMPETENT] forms an 
integral part of Title VI [Cooperation with Euro just] of Part Three;  
(r) Annex LAW -5 [ARREST WARRANT] forms an integral part of Title VII [Surrender] of Part Three;  
(s) Annex LAW -6 [EXCHANGE OF CRIMINAL RECORD INFORMATION –  TECHNICAL AND 
PROCEDURAL SPECIFICATIONS] forms an integral part of Title IX [Exchange o f criminal record 
information] of Part Three;  
(t) Annex LAW -7 [DEFINITION OF TERRORISM] forms an integral part of Title III [Transfer and 
processing of passenger name record data], Title VII [Surrender] and Title XI [Freezing and 
confiscation] of Part Three;  
(u) Annex LAW -8 [FREEZING AND CONFISCATION] forms an integral part of Title XI [Freezing and 
confiscation] of Part Three;  
(v) Annex UNPRO -1 [IMPLEMENTATION OF THE FINANCIAL CONDITIONS [Article UNPRO.2.1.11]] 
forms an integral part of Section 2 [Rules for financing the participation in Union programmes 
and activities] of Chapter one of Part Five [Participation in Union programmes, sound financial 
management and financial provisions];  
(w) Annex INST -X [RULES OF PROCEDURE FOR DISPUTE SETTLEMENT] and Annex INST -X [CODE OF 
CONDUCT FOR ARBITRATORS] form an integral part of Title I [Dispute Settlement] of Part Six;  
 
426 
 (x) 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 
RELAT ING 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;  
(y) Annexes SSC -1 [CERTAIN BENEFI TS IN CASH TO WHICH THE PROTOCOL SHALL NOT APPLY], SSC -2 
[RESTRICTION OF RIGHTS TO BENEFITS IN KIND FOR MEMBERS OF THE FAMILY OF A FRONTIER 
WORKER], SSC -3 [MORE RIGHTS FOR PENSIONERS RETURNING TO THE COMPETENT STATE], SSC -
4 [CASES IN WHICH THE PRO RATA CAL CULATION SHALL BE WAIVED OR SHALL NOT APPLY], SSC -
5 [BENEFITS AND AGREEMENTS WHICH ALLOW THE APPLICATION OF ARTICLE SSC.49 
[Overlapping of benefits of the same kind]], SSC -6 [SPECIAL PROVISIONS FOR THE APPLICATION 
OF THE LEGISLATION OF THE MEMBER STATES AN D OF THE UNITED KINGDOM], SSC -7 
[IMPLEMENTING PART] and SSC -8 [TRANSITIONAL PROVISIONS REGARDING THE APPLICATION 
OF ARTICLE SSC.11 [DETACHED WORKERS]] and their Appendices form an integral part of the 
Protocol on Social Security Coordination.  
Article FINPROV.8: 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 noti fication.  
Article FINPROV.9: 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 revision. 
Notwithstanding the previous sentence, the process of final legal revi sion for the English version of 
the Agreement shall be finalised at the latest by the day referred to in Article FINPROV.11(1) [Entry 
into force and provisional application] if that day is earlier than 30 April 2021.  
The language versions resulting from th e above process of final legal 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 FINPROV.10: Future accessions to the Uni on 
1.  The Union shall notify the United Kingdom of any new request for accession of a third 
country to the Union.   
2.  During the negotiations between the Union and a third country regarding the accession of 
that country to the Union86, the Union shall endeavour to:  
(a) 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  
                                                            
86 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 pla ce before the entry into force of this Agreement.  
 
427 
 (b) take into account any concerns expressed by the United Kingdom.  
3.  The Partnership Council shall examine any effects of accession of a third country to the 
Union on this Agreement and any supplementing agreement sufficiently in advance of the date of 
such accession.  
4.  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:  
(a) amend this Agreement or any supplementing agreement,  
(b) put in place by decision of the Partnership Council any other necessary adjustments  or 
transitional arrangements regarding this Agreement or any supplementing agreement;  
(c) decide within the Partnership Council whether:  
(i) to apply Article VSTV.1 [Visas for short visits] to the nationals of that third country; or  
(ii) to establish tran sitional arrangements as regards Article VSTV.1 [Visas for short visits] in 
relation to that third country and its nationals once it accedes to the Union.  
5.  In the absence of a decision under point (c)(i) or (ii) of paragraph 4 by the entry into force of  
the agreement on the accession of the relevant third country to the Union, Article VSTV.1 [Visas for 
short visits] shall not apply to nationals of that third country.   
6.  In the event that the Partnership Council establishes transitional arrangements as  referred 
to in point (c)(ii) of paragraph 4, it shall specify their duration. The Partnership Council may extend 
the duration of those transitional arrangements.  
7.  Before the expiry of the transitional arrangements referred to in point (c)(ii) of paragraph 4, 
the Partnership Council shall decide whether to apply Article VSTV.1 [Visas for short visits]to the 
nationals of that third country from the end of the transiti onal arrangements. In the absence of such 
a decision Article VSTV.1 [Visas for short visits] shall not apply in relation to the nationals of that 
third country from the end of the transitional arrangements.  
8.  Point (c) of paragraph 4, and paragraphs 5 t o 7 are without prejudice to the Union’s 
prerogatives under its domestic legislation.  
9.      For greater certainty, without prejudice to point (c) of paragraph 4 and paragraphs 5 to 7, 
this Agreement shall apply in relation to a new Member State of the Un ion from the date of 
accession of that new Member State to the Union.   
Article FINPROV.10A: Interim provision for transmission of personal data to the United Kingdom  
1. For the duration of the specified period, transmission of personal data from the Union to the 
United Kingdom shall not be considered as transfer to a third country under Union law, provided 
that the data protection legislation of the United Kingdom on 31 December 2020, as it is saved and 
incorporated into United Kingdom law by the European U nion (Withdrawal) Act 2018 and as 
 
428 
 modified by the Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) 
Regulations 201987 (“the applicable data protection regime”), applies and provided that the United 
Kingdom does not exercise the designated powers without the agreement of the Union within the 
Partnership Council.  
2. Subject to paragraphs 3 to 11, paragraph 1 shall also apply in respect of transfers of personal 
data from Iceland, the Principality of Liechtenstein and the Kingdom  of Norway to the United 
Kingdom during the specified period made under Union law as applied in those states by the 
Agreement on the European Economic Area done at Porto on 2 May 1992, for so long as paragraph 1 
applies to transfers of personal data from t he Union to the United Kingdom, provided that those 
states notify both Parties in writing of their express acceptance to apply this provision.  
3. In this Article, the “designated powers” means the powers:  
(a) to make regulations pursuant to sections 17A, 17C and 74A of the UK Data Protection Act 2018;  
(b) to issue a new document specifying standard data protection clauses pursuant to section 119A 
of the UK Data Protection Act 2018;  
(c) to approve a new draft code of conduct pursuant to Article 40(5) of the UK GDPR, o ther 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;  
(d) 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;  
(e) to approve new binding corporate rules pursuant to Article 47 of the UK GDPR;  
(f) to authorise new contractual clauses referred to in Article 46(3)(a) of the UK GDPR; or  
(g) to authorise new administrative arrangements referred to in Article 46(3)(b) of the UK GDPR.  
4. The “specified period” begins on the date of entry into for ce of this Agreement and, subject 
to paragraph 5, ends:  
(a) on the date on which adequacy decisions in relation to the UK 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 
(b) on the date four months after the specified period begins, which period shall be extended by 
two further months unless one of the Parties objects;  
whichever is earlier.  
5. Subject to paragraphs 6 and 7, if, during the specified period, the United Kingd om amends 
the applicable data protection regime or exercises the designated powers without the agreement of 
the Union within the Partnership Council, the specified period shall end on the date on which the 
powers are exercised or the amendment comes into f orce.  
6. The references to exercising the designated powers in paragraphs 1 and 5 do not include the 
exercise of such powers the effect of which is limited to alignment with the relevant Union data 
protection law.  
                                                            
87 As amended by the Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) 
Regulations 2020.  
 
429 
 7. Anything that would otherwise be an amendment to the applicable data protection regime 
which is:  
(a) made with the agreement of the Union within the Partnership Council; or  
(b) limited to alignment with the relevant Union data protection law;  
shall not be treated as an amendment to the applicable da ta 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.  
8. For the purposes of paragraphs 1, 5 and 7, “the agreement of the Union within the 
Partnership Council” means:  
(a) a decision of the Partnership Council as described in paragraph 11; or  
(b) deemed agreement as described in paragraph 10.  
9.   Where the United Kingdom notifies the Union that it proposes to exercise the designated 
powers or propos es to amend the applicable data protection regime, either party may request, 
within five working days, a meeting of the Partnership Council which must take place within two 
weeks of such request.  
10. If no such meeting is requested, the Union is deemed to have given agreement to such 
exercise or amendment during the specified period.  
11.  If such a meeting is requested, at that meeting the Partnership Council shall consider the 
proposed exercise or amendment and may adopt a decision stating that it agrees t o the exercise or 
amendment during the specified period.  
12. The United Kingdom shall, as far as is reasonably possible, notify the Union when, during the 
specified period, it enters into a new instrument which can be relied on to transfer personal data to  
a third country under Article 46(2)(a) of the UK GDPR or section 75(1)(a) of the UK Data Protection 
Act 2018 during the specified period. Following a notification by the United Kingdom under this 
paragraph, the Union may request a meeting of the Partnersh ip Council to discuss the relevant 
instrument.  
13. Title I [Dispute Settlement] of Part Six does not apply in respect of disputes regarding the 
interpretation and application of this Article.  
 
Article FINPROV.11: Entry into force and provisional applicatio n 
1.  This Agreement shall enter into force on the first day of the month following that in which 
both Parties have notified each other that they have completed their respective internal 
requirements and procedures for establishing their consent to be boun d. 
 
2. 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 com pleted. Provisional application shall 
cease on one of the following dates, whichever is the earliest:  
 
 
430 
 (a) 28 February 2021 or another date as decided by the Partnership Council; or  
(b) the day referred to in paragraph 1.  
3.  As from the date from which this Agreement is provisionally applied, the Parties shall 
understand references in this Agreement to “the date of entry into force of this Agreement” or to 
“the entry into force of this Agreement” as references to the date from which this Agreement is 
provisio nally applied.  
 
  
 
 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 Londýn ě 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 zweitausendzwanzig.  Kahe tuhande kahekümnenda aasta detsembrikuu kolmeküm nendal 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 tisu će dvadesete.  
 Fatto a Bruxelles e Londra, addì trenta dicembre duemilaventi. 
 Briselē un London ā, divi tūkstoši divdesmit ā gada  trīsdesmitaj ā decembrī.
 
 
Priimta du tūkstančiai dvidešimt ų metų gruodžio  trisdešimt ą 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 g ħoxrin.  
 Gedaan te Brussel en Londen, dertig dece mber 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 dvetisícdvadsa ť. 
 V Bruslju in Londonu, tridesetega decembra dva tisoč dvajset.  
 Tehty Brysselissä ja Lontoossa kolmantenakymmenent enä päivänä joulukuuta vuonna kaksituhattakaksikymmentä. 
 
Som skedde i Bryssel och i London den trettionde december år tjugohundratjugo. 
 
   
 
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435 
 ANNEXES  
ANNEX INST:  RULES OF PROCEDURE OF THE PARTNERSHIP COUNCIL AND COMMITTEES  
Rule 1  
Chair  
1. The Union and the United Kingdom shall notify each other of the name, position and contact 
details  of their respective designated co -chairs. A co -chair is deemed to have the authorisation for 
representing, respectively, the Union or the United Kingdom until the date a new co -chair has been 
notified to the other Party.  
2. The decisions  of the co -chairs  provided for by these Rules of Procedure shall be taken by 
mutual consent.  
3.  A co -chair may be replaced for a particular meeting by a designee. The co -chair, or his or her 
designee,  shall notify the other co -chair and the Secretariat of the Partnership  Council of the 
designation as early as possible. Any reference in these Rules of Procedure to the co -chairs shall be 
understood to include a designee.  
Rule 2  
Secretariat  
The Secretariat of the Partnership Council (the "Secretariat") shall be composed of a n 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 contac t 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 unt il the date either the Union or the United Kingdom has 
notified a new member.  
Rule 3  
Meetings  
1. Each meeting of the Partnership Council shall be convened by the Secretariat at a date and 
time agreed by the co -chairs. Where the Union or the United Kingdom has transmitted a request for 
a meeting through the Secretariat, the Partnership Council shall en deavour to meet within 30 days 
of such request, or sooner in cases provided for in this Agreement.  
2. The Partnership Council shall hold its meetings alternately in Brussels and London, unless 
the co -chairs decide otherwise.  
3. By way of derogation from p aragraph 2, the co -chairs may agree that a meeting of the 
Partnership Council be held by videoconference or teleconference.  
 
436 
 Rule 4  
Participation in meetings  
1. A reasonable period of time in advance of each meeting, the Union and the United Kingdom 
shall inform each other through the Secretariat of the intended composition of their respective 
delegations and shall specify the name and function of each member of t he delegation.  
2. Where appropriate the co -chairs may, by mutual consent, invite experts (i.e. non -
government officials) to attend meetings of the Partnership Council in order to provide information 
on a specific subject and only for the parts of the meeti ng where such specific subjects are 
discussed.  
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  
1. The Union and the United Kingdom shall send their correspondence addressed to the 
Partnership Council via the Secretariat. Such correspondence may be sent in any form of written 
communication, including by electronic mail.  
2.  The Secretariat shall ens ure that correspondence addressed to the Partnership Council is 
delivered to the co -chairs and is circulated, where appropriate, in accordance with Rule 5.  
3. All correspondence from, or addressed directly to, the co -chairs shall be forwarded to the 
Secre tariat and shall  be circulated, where appropriate, in accordance with Rule 5.  
Rule 7  
Agenda for the meetings  
1.  For each meeting, a draft provisional agenda  shall be drawn up by the Secretariat. It shall be 
transmitted, together with the relevant documen ts, to the co -chairs no later than 10 days before the 
date of the meeting.  
2.  The provisional agenda shall include items requested by the Union or the United Kingdom. 
Any such request, together with any relevant document, shall be submitted to the Secret ariat no 
later than 15 days before the beginning of the meeting.  
3.  No later than 5 days before the date of the meeting, the co -chairs shall decide on the 
provisional agenda for a meeting.  
 
437 
 4.  The agenda shall be adopted by the Partnership Council at th e beginning of each meeting. 
On request by the Union or the United Kingdom, an item other than those included in the 
provisional agenda may be included in the agenda by consensus.  
5.    The co -chairs may, by mutual consent, reduce or increase the time per iods specified in 
paragraphs 1 to 3 in order to take account of the requirements of a particular case.  
Rule 8  
Minutes  
1.  Draft minutes of each meeting shall be drawn up by the official acting as member of the 
Secretariat of the Party hosting the meeting, within 15 days from the end of the meeting, unless 
otherwise decided by the co -chairs. The draft minutes shall be transmitted for comments to the 
member of the Secretariat of the other Party. The latter may submit comments within 7 days from 
the date of re ceipt of the draft minutes.  
2.  The minutes shall, as a rule, summarise each item on the agenda, specifying where 
applicable:  
(a) the documents submitted to the Partnership Council;  
(b) any statement that one of the co -chairs requested to be entered in the minutes; and  
(c) the decisions taken, recommendations made, statements agreed upon and conclusions adopted 
on specific items.  
3.  The minutes shall include as an annex a list of participants setting out for each of the 
delegations the names and functions of all individuals who attended the meeting.  
4.  The Secretariat shall adjust the draft minutes on the basis of comments received and the 
draft minutes, as revised, shall be approved by the co -chairs within 28 days of the date of the 
meeting, or by any other date agreed by the co -chairs. Once approved, two versions of the minutes 
shall be authenticated by signature of the members of the Secretariat. The Union and the United 
Kingdom shall each receive one of these authentic versions. The co -chairs may agree that signing 
and exchanging electronic copies satisfies this requirement.  
Rule 9  
Decisions and Recommendations  
1.  In the period between meetings, the Partnership Council may adopt decisions or 
recommendations by written procedure. The text of a draft decision or recommendation shall be 
presented in writing by a co -chair to the other co -chair in the working language of the Partnersh ip 
Council. The other Party shall have one month, or any longer period of time specified by the 
proposing Party, to express its agreement to the draft decision or recommendation. If the other 
Party does not express its agreement, the proposed decision or r ecommendation shall be discussed 
and may be adopted at the next meeting of the Partnership Council. The draft decisions or 
recommendations shall be deemed to be adopted once the other Party expresses its agreement and 
shall be recorded in the minutes of th e next meeting of the Partnership Council pursuant to Rule 8.  
2.  Where the Partnership Council adopts decisions or recommendations, the words "Decision" 
or "Recommendation", respectively, shall be inserted in the title of such acts. The Secretariat shall 
 
438 
 record any decision or recommendation under a serial number and with a reference to the date of 
its adoption.  
3.  Decisions adopted by the Partnership Council shall specify the date on which they take 
effect.   
4.  Decisions and recommendations adopted by  the Partnership Council shall be established in 
duplicate in the authentic languages and signed by the co -chairs and shall be sent by the Secretariat 
to the Union and the United Kingdom immediately after signature. The co -chairs may agree that 
signing and  exchanging electronic copies satisfies the requirement for signature.  
Rule 10  
Transparency  
1. The co -chairs may agree that the Partnership Council shall meet in public.  
2. Each Party may decide on the publication of the decisions and recommendations of the 
Partnership Council in its respective official journal or online.  
3. If the Union or the United Kingdom submits information that is confidential or protected 
from disclosure under its laws and regulations to the Partnership Council, the other party sha ll treat 
that information received as confidential.  
4. Provisional agendas of the meetings shall be made public before the meeting of the 
Partnership Council takes place. The minutes of the meetings shall be made public following their 
approval in accordan ce with Rule 8.  
5. Publication of documents referred to in paragraphs 2 to 4 shall be made in compliance with 
both Parties’ applicable data protection rules.  
Rule 11  
Languages  
1.  The official languages of the Partnership Council shall be the official la nguages of the Union 
and the United Kingdom.  
2.  The working language of the Partnership Council shall be English. Unless otherwise decided 
by the co -chairs, the Partnership Council shall base its deliberations on documents prepared in 
English.  
3. The Par tnership Council shall adopt decisions concerning the amendment or interpretation 
of the Agreement in the languages of the authentic texts of the Agreement. All other decisions of the 
Partnership Council, including the ones through which the present rules of procedure are amended, 
shall be adopted in the working language referred to in paragraph 2.  
Rule 12  
Expenses  
1.  The Union and the United Kingdom shall each meet any expenses they incur as a result of 
participating in the meetings of the Partnership Council.  
 
439 
 2.  Expenditure in connection with the organisation of meetings and reproduction of 
documents shall be borne by the party hosting the meeting.  
3.  Expenditure in connection with interpretation to and from the working language of the 
Partnership Co uncil at meetings shall be borne by the party requesting such interpretation.  
3. Each Party shall be responsible for the translation of decisions and other documents into its 
own official language(s), if required pursuant to Rule 11, and it shall meet exp enditures associated 
with such translations.    
Rule 13  
Committees  
1.  Without prejudice to paragraph 2 of this Rule, Rules 1 to 12 shall apply mutatis mutandis to 
the Committees.  
2.  The Committees shall inform the Partnership Council of their meeting schedules and agenda 
sufficiently in advance of their meetings, and shall report to the Partnership Council on the results 
and conclusions of each of their meetings.  
 
 
 
  
 
440 
 ANNEX ORIG -1: 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 ORIG -2 
[Product -specific rules of origin] as provided for in point (c) of Article ORIG 3(1) [General 
requirements] of this Agreement.  
2. For the purposes of this Annex and Annex ORIG -2 [Product -specific rules of origin], the 
requirements for a product to be originating in accordance with point (c) of Article ORIG.3(1) 
[General Requirements] of this Agreement are a change in tariff classifica tion, a production process, 
a maximum value or weight of non -originating materials, or any other requirement specified in this 
Annex and Annex ORIG -2 [Product -specific rules of origin].  
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 ORIG -2 [Product -specific rules of origin] 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 ORIG -2 [Product -specific 
rules of origin] applies to the corresponding product indicated in Column 1 of Annex ORIG -2 
[Product -specific rules of origin].  
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 r equirements.  
5. For the purposes of this Annex and Annex ORIG -2 [Product -specific rules of origin], the 
following definitions apply:  
(a) ‘section’ means a section of the Harmonised System;  
(b) ‘Chapter’ means the first two -digits in the tariff classification number under the Harmonised 
System;  
(c) ‘heading’ means the first four -digits in the tariff classification number under the Harmonised 
System; and  
(d) ‘subheading’ means the first six -digits in the tariff classification number under the Harmonised 
System.  
 
441 
 2. For the purpose s 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 produc t must be 
classified in 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 in 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 sub heading, except that of the 
product; this means that any non -originating material used in the production of the product must be 
classified in a subheading (6 -digit level of the Harmonised System) other than that of the product 
(i.e.  a change in sub -headin g). 
Note 3  
Application of the Product -specific Rules of Origin  
1. Article ORIG.3(2) [General requirements] of this Agreement, concerning products having 
acquired originating status which are used in the production of other products, applies whether or 
not thi s 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 mat erial shall not exceed a specific 
threshold, these conditions do not apply to non -originating materials classified elsewhere in the 
Harmonised System.  
3. Example 1: when the rule for  bulldozers  (HS sub -heading  8429.11)  requires:  “CTH except  
from non -originati ng materials of heading 84.31 parts suitable solely for machinery of heading 84.25 
to 84.30” , 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 (HS hea ding  85.44)  and various 
electronics (HS 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 heading 11.08’ then the use of n on-
originating materials classified elsewhere than 11.08 (starches, inulin), such as materials of Chapter 
10 (cereals), is not limited.  
4. 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 definiti ons apply:  
 
442 
 (a) "customs value" means the value as determined in accordance with the Agreement on 
Implementation of Article VII of GATT 1994;  
(b) "EXW" or "ex -works price" means:  
(i) 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  
(ii) 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:  
(A) including selling , general and administrative expenses , as well as profit, that 
can reasonably be allocated to the product; and  
(B) excluding the cost of freight, insurance, all other cost s 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.  
(iii) For the purposes  of point (i), where the last production has been contracted to a 
producer, the term ‘p roducer’ in point (i) refers to the person who has employed the 
subcontractor.  
(c) "MaxNOM" means the maximum value of non -originating materials expressed as a percentage 
and shall be calculated according to the following formula:  
         VNM  
MaxNOM (%) =   × 100  
         EXW   
 
(d) "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 -originatin g 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 accou nting principles which are generally accepted in the Party.  
Note 5  
Definitions of processes referred to in Sections V to VII in Annex ORIG -2 [Product -specific rules of 
origin]  
 
443 
 For the purposes of product -specific rules of origin, the following definitions apply:  
(a) ‘biotechnological processing’ means:  
(i) 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  
(ii) production, isolation or purification of cellular or intercellular structures (such as 
isolated genes, gene fragments and plasmids), or fermentation;  
(b) ‘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 chara cteristics different 
from those of the input materials;  
(c) ‘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:  
(i) dissolving  in water or other solvents;  
(ii) the elimination of solvents inclu ding solvent water; or  
(iii) the addition or elimination of water of crystallisation;  
(d) ‘distillation’  means:  
(i) atmospheric distillation: a separation process in which petroleum oils are converted, 
in a distillation tower, into fractions according to boiling point a nd 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  
(ii) vacuum distillat ion: 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 
produ ce light to heavy vacuum gas oils and residuum;  
(e) ‘isomer separation’ means the isolation or separation of isomers from a mixture of isomers;  
(f) ‘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 p hysical or 
chemical characteristics that are relevant to the purposes or uses of the product and are 
different from the input materials;  
 
444 
 (g) ‘production of standard materials’ (including standard solutions) means a production of a 
preparation suitable for anal ytical, calibrating or referencing uses with precise degrees of 
purity or proportions certified  by the producer; and  
(h) ‘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:  
(i) pharmaceutical , medical, cosmetic, veterinary or food grade substances;  
(ii) chemical products and reagents for analytical, diagnostic or laboratory uses;  
(iii) elem ents and components for use in micro -electronics;  
(iv) specialised optical uses;  
(v) biotechnical use, for example, in cell culturing, in genetic technology or as a catalyst;  
(vi) carriers used in a separation process; or  
(vii) nuclear grade uses.  
Note 6  
Definitions of terms used in Section XI of Annex ORIG -2 [Product -
specific rules of origin]  
For the purposes  of the product -specific rules of origin, the following definitions apply:  
(a) ‘man -made staple fibres’ means synthetic or artificial filament tow, staple fibres  or waste, of  
headings 55.01 to 55.07;  
(b) ‘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 c arded, 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;  
(c) ‘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  
(d) ‘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, 
impregnat ing, 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.  
 
445 
 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:  
(a) silk;  
(b) wool;  
(c) coarse animal hair;  
(d) fine animal hair;  
(e) horsehair;  
(f) cotton;  
(g) paper -making materials and paper;  
(h) flax;  
(i) true hemp;  
(j) jute and other textile bast fibres;  
(k) sisal and other textile fibres of the genus Agave;  
(l) coconut, abaca, ramie and other vegetable textile fibres;  
(m) synthetic man -made filaments;  
(n) artificial man -made filaments;  
(o) current -conducting filaments; uth  
(p) synthetic man -made staple fibres of polypropylene;  
(q) synthetic man -made staple fibres of polyester;  
(r) synthetic man -made staple fibres of polyamide;  
(s) synthetic man -made staple fibres of polyac rylonitrile;  
(t) synthetic man -made staple fibres of polyimide;  
(u) synthetic man -made staple fibres of polytetrafluoroethylene;  
(v) synthetic man -made staple fibres of poly (phenylene sulphide);  
(w) synthetic man -made staple fibres of poly (vinyl chloride);  
 
446 
 (x) other sy nthetic man -made staple fibres;  
(y) artificial man -made staple fibres of viscose;  
(z) other artificial man -made staple fibres;  
(aa) yarn made of polyurethane segmented with flexible segments of polyether, whether or not 
gimped;  
(bb) yarn made of polyurethane segmented w ith flexible segments of polyester whether or not 
gimped;  
(cc) 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;  
(dd) other products of heading 56.05;  
(ee) glass fibres; and  
(ff) metal fibres.  
2. Where reference to this Note is made in Annex ORIG -2 [Product -spec ific rules of origin], 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:  
(a) the product contains two or more basic textile materia ls; and  
(b) 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  ORIG -2 [Product -specific rules of origin], or non -originating synthetic 
yarn which does not satisfy the requirement set out in Annex ORIG -2 [Product -specific 
rules of origin], or a combination of both, may be used, provided that their total 
weight does no t exceed 10 % of the weight of all the basic textile materials.  
3. Notwithstanding Note 7.2 (b), 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 Note 7.2 (b), for products containing ‘strip consisting of a core of 
aluminium foil or of a core of plastic film irrespective of whether or not coate d 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 material s shall not exceed 10 %.  
Note 8  
 
447 
 Other tolerances applicable to certain textile products  
1. Where reference to this Note is made in Annex ORIG -2 [Product -specific rules of Origin], 
non-originating textile materials (with the exception of linings and interlinin gs) 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 in 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 in Chapters 50 to 63 may be used without 
restriction in the production of textile products classified in Chapters 50 to 63, whether or not they 
contain textiles.  
Example: If a requirement set out in Annex ORIG -2 [Product -specific rules of origin] 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 in 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 ORIG -2 [Product -specific rules of origin] consists in a 
maximum value of non -originating materials, the value of the non -originating materials which are 
not classified in 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 p roducts 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.  
  
 
448 
 ANNEX ORIG -2: PRODUCT SPECIFIC RULES OF ORIGIN  
Column 1  
Harmonised 
System 
classification 
(2017) including 
specific description  Colum n 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 t he materials of Chapter 7 used are wholly obtained.  
Chapter 8  Edible fruit and nuts; peel of citrus fruit or melons  
 
449 
 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 ex tracts  
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; veg etable 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  
 
450 
 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 
obtained88. 
1604.19  CC 
1604.20   
- Preparations of 
surimi:  CC 
- Others:  Production in which all the materials of Chapters 3 and 16 used are wholly 
obtained89. 
1604.31 -1605.69  Production in which all the materials of Chapters 3 and 16 used are wholly 
obtained.  
Chap ter 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 
                                                            
88 Prepared or preserved tunas, skipjack and bonito (Sarda spp.), whole or in pieces (e xcl. minced) classified in 
subheading 1604.14 may qualify as originating under alternative product -specific rules of origin within annual 
quotas as specified in Annex ORIG -2A [Origin quotas and alternatives to the product -specific rules of origin in 
Annex ORIG -2]. 
89 Prepared or preserved tunas, skipjack or other fish of genus Euthynnus (excl. whole or in pieces) classified 
in subheading 1604.20 may qualify as originating under alternative product -specific rules of origin within 
annual quotas as specified in  Annex ORIG -2A [Origin quotas and alternatives to the product -specific rules of 
origin in Annex ORIG -2]. 
 
451 
 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 n on-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.  
Chapte r 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 exc eed 20 % of the weight of the product;  
- the total weight of non -originating materials of headings 10.06 and 11.08 used 
 
452 
 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 musta rd 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 pro duct.  
22.07  CTH except from non -originating materials of heading 22.08, provided that all the 
 
453 
 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 -originatin g 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 ORIG -1 
 
454 
 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 
Distil lation 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  Producti on 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 ORIG -1 
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, isom er separation, or biotechnological 
 
455 
 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 sub -heading  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 c hange 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  CTH, however, non -originating materials of the same heading as the product may 
 
456 
 -Calcium 
cyanamide  
-Potassium 
sulphate  
-Magnesium 
potassium sulphate  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 materi als 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, product ion 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 se paration, or biotechnological 
processing is undergone;  
 
457 
 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, was hing 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; match es; pyrophoric alloys; certain 
combustible preparations  
36.01 -36.06  CTSH;  
 
458 
 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 -originatin g 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;  
 
459 
 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 thr ough 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 ORIG -1 
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 
 
460 
 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 sub headings 4104.41 to 4104.49.  
4105.10  CTH 
 
461 
 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 underg o 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, 41 06.32, 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 
 
462 
 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 a nd paperboard; articles of paper pulp, of paper or of paperboard  
48.01 -48.23  CTH;  
or 
MaxNOM 50 % (EXW).  
 
463 
 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 ORIG -1 
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 t wisting;  
 
464 
 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 y arn 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).  
 
465 
 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;  
 
466 
 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 filam ent 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 o peration).  
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;  
 
467 
 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 of natural fibres;  
Extrusion of man -made fibres combined with spinning;  
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; howe ver: 
- 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 combine d with fabric formation;  
or 
Non -woven fabric formation alone in the case of other felt made from natural 
fibres.  
 
468 
 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 fibre s;  
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 
 
469 
 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 o r 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 st aple 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 dyei ng or with printing;  
Flocking combined with dyeing or with printing;  
Yarn dyeing combined with weaving;  
Weaving combined with printing;  
or 
Printing (as standalone operation).  
 
470 
 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 metal izing;  
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 no n-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 su itable for industrial use  
 
471 
 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 
 
472 
 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 leas t 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 fa brics 
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 combin ed with dyeing or with printing;  
 
473 
 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.  
 
Chapt er 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  
 
474 
 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 cu tting of fabric preceded by printing (as standalone 
 
475 
 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 sta ndalone 
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 
 
476 
 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 includ ing cutting of fabric;  
or 
Making -up including cutting of fabric preceded by printing (as standalone 
operation).  
62.11   
 
477 
  
- 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:  
 Knitti ng 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 fabri c 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 
 
478 
 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;  
 
479 
 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 a rticles; 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.  
 
 
480 
 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 wo uld 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  Producti on 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  
 
481 
 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 
 
482 
 THEREOF; IMITATION JEWELLERY; COIN  
Chapter 71  Natural or cultured pearls, precious or sem i-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 -origina ting 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 7 1.10 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  
 
483 
 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 
 
484 
 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.  
 
485 
 76.02  CTH 
76.03 -76.16  CTH and MaxNOM 50 % (EXW).90 
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 head ing 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  
                                                            
90 Certain aluminium products may qualify as originating under alternative product -specific rules of origin with 
annual quotas as specified in Annex ORI G-2A [Origin quotas and alternatives to the product -specific rules of 
origin in Annex ORIG -2]. 
 
486 
 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;  
 
487 
 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).  
 
488 
 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 
 
489 
 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)91. 
-  Battery cells, 
battery modules 
and parts thereof, 
intend ed to be 
incorporated into CTH except from non -originating active cathode materials;  
or 
MaxNOM 35 % (EXW)92 
                                                            
91 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 ORIG -2B [Transitional Product -Specific Rules for Electric 
Accumulators and Electrified Vehicles].  
 
490 
 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  
- 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).  
                                                                                                                                                                                         
92 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 ORIG -2B [Transitional Product -Specific Rules for Electric 
Accumulators and Electrified Vehicles].  
 
491 
 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 he ading 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   
 
492 
 - 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 sourc e of electrical power for propulsion of the vehicle must be 
originating93. 
- others  MaxNOM 45 % (EXW)94. 
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 
                                                            
93 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 ORIG -2B [Transitional Product -Specific Rules for Electric 
Accumulators and Electrified Vehicles].  
94 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 pe riod from the entry into force of this Agreement until 31 December 
2026, as specified in Annex ORIG -2B [Transitional Product -Specific Rules for Electric Accumulators and 
Electrified Vehicles].  
 
493 
 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 a nd 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).  
 
494 
 SECTION XIX  ARMS AND AMMUNITION; PARTS AND ACCESSORIES THEREOF  
Chapter 93  Arms and ammunition; parts and accessories thereof  
93.0 1-93.07  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  Misc ellaneous 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 a rticles may be incorporated, 
provided that their total value does not exceed 15 % of the EXW of the set.  
9608.60 -96.20  
 CTH;  
or 
 
495 
 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 
  
 
496 
 ANNEX ORIG -2A: ORIGIN QUOTAS AND ALTERNATIVES TO THE PRODUCT -SPECIFIC RULES OF ORIGIN 
IN ANNEX ORIG -2 [PRODUCT -SPECIFIC RULES OF ORIGIN]  
 
Common provisions  
 
1. For the products listed in the tables below, the corresponding rules of origin are alternatives 
to those set out in Annex ORIG -2 [Product -specific rules of origin], within the limits of the applicable 
annual quota.  
 
2. A statement on origin made out pursuant to this Annex shall contain the following 
statement: "Origin  quotas - Product originating in accordance with Annex ORIG -2A".  
 
3. 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 
mana gement in respect of the applicable legislation of the Union.  
 
4. 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.  
 
5. 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  - - - 
 
 
 
 
 
 
497 
 Section 2 – Annual quota allocation for aluminium products95 
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 
export s 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  
 
                                                            
95 The quantities listed in each table in Section 2 are the enti re 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.  
 
498 
 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  
1. 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.   
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.   
3.     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.   
 
 
  
 
499 
 ANNEX ORIG -2B: TRANSITIONAL PRODUCT -SPECIFIC RULES FOR ELE CTRIC ACCUMULATORS AND 
ELECTRIFIED VEHICLES  
Section 1 - Interim product specific rules applicable from the entry into force of this Agreement 
until 31 December 2023.  
 
1. 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 2023.  
 
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 2023  
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 t o 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 MaxNOM 60 % (EXW)  
 
500 
 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  
 
Section 2 - Interim product specific rules applicable from 1 January 2024 until 31 December 2026.  
 
1. For the products listed in column 1 below, the product specific rule listed in column 2 shall 
apply for the period from 1 January 2024 until 31 December 2026.  
 
Column 1  
Harmonised System 
classification (2017) 
including specific 
description  Column 2  
Product -specific rule of origin applicable from 1 January 2024 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  CTH except from non -originating active cathode materials;  
or 
MaxNOM 40 % (EXW)  
 
501 
 -  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 50 % (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 combusti on 
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 55 % (EXW)  
 
Section 3 – Review of Product -Specific rules for Heading 8507   
1. Not earlier than 4 years from the entry into force of this Agreement, the Trade Partnership 
Committee shall, on request of either Party and assisted by the Trade Specialised Committee on 
Customs Cooperation and Rules of  Origin, review the product -specific rules for heading 8507  
applicable as from 1 January 2027, contained in Annex ORIG -2 [Product -Specific Rules of Origin] . 
2. The review referred to in paragraph 1, shall be made on the basis of available information about  
the markets within the Parties, such as the availability of sufficient and suitable originating materials, 
the balance between supply and demand and other relevant information.  
 
502 
 3. On the basis of the results of the review carried out pursuant to paragraph  1, the Partnership 
Council may adopt a decision to amend the product -specific rules for heading 8507 applicable as 
from 1 January 2027, contained in Annex ORIG -2 [Product -Specific Rules of Origin].  
 
  
 
503 
 ANNEX ORIG -3: 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 Append ix 1 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 i n 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 norm ally 
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 decl aration shall be made out by the 
supplier in the form provided for in Appendix 2  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.  
 
 
  
 
504 
 Appendix 1  
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:  
1. 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   
2. 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) 
_______________  
 
 
 
 
  
 
505 
 Appendix 2  
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:  
1. 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   
2. 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 D ate)  
…………………………………………………………(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.  
 
506 
 (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 -originat ing 
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 hea ding 7217 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 t o 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 fie ld may contain an electronic signature, a scanned image or other visual representation of 
the signer’s handwritten signature instead of original signatures, where appropriate.  
 
 
  
 
507 
 ANNEX ORIG -4: TEXT OF THE STATEMENT ON ORIG IN 
The statement on origin referred to in Article ORIG.19 [Statement on origin] 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 Part y. 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 ORIG.19(4) [Statement on Origin] of this Agreement, 
indicate the period for which  the statement on origin is to apply. That period shall not exceed 12 
 
508 
 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 
applica ble 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.  
 
  
 
509 
  ANNEX ORIG -5: 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 c onclusion 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 
treatmen t as the Union applies to such products.  
 
3. Part Two, Heading One [Trade], Title I, Chapter two 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.  
 
 
  
 
510 
 ANNEX ORIG -6: 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 i f, 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 th e same preferential tariff treatment as the Union applies to such 
products.  
 
3. Part Two, Heading One [Trade], Title I, Chapter two of this Agreement applies mutatis 
mutandis for the purposes of defining the originating status of products referred to in 
parag raph 1 of this Joint Declaration.  
 
 
 
  
 
511 
 ANNEX SPS -1: CRITERIA REFERRED TO IN ARTICLE SPS.19(d)  
The criteria referred to in Article SPS.19(d) are : 
 
a) the information made available by the exporting Party for the purposes of obtaining import 
authorisation for a given product into the importing party according to Article SPS.7(3) 
[Import conditions and procedures] of this Agreement;  
 
b) the outcome of audit s and verifications  by the importing party in accordance with Article 
SPS.11 [Audits and verifications] of this Agreement;  
 
c) the frequency and severity of non -compliance detected by the importing party on products 
from the exporting party;  
 
d) the exporting o perators’ past record as regards compliance with the requirements of the 
importing party; and  
 
e) available scientific assessments and  any other pertinent information  regarding the risk 
associated with the products.  
  
 
512 
 ANNEX TBT -1: MOTOR VEHICLES AND  EQUIPMENT AND PARTS THEREOF  
Article 1: Definitions  
 
1. For the purposes of this Annex:  
 
(a) “WP.29” means the World Forum for Harmonisation of Vehicle Regulations within 
the framework of the United Nations Economic Commission for Europe (“UNECE”);  
 
(b) “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;  
 
(c) “1998 Agreement” means the Agreement concerni ng 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 the reof;  
 
(d) “UN Regulations” means Regulations adopted in accordance with the 1958 
Agreement;  
 
(e) “GTR” means a Global Technical Regulation established and placed on the Global 
Registry in accordance with the 1998 Agreement;  
 
(f) “HS 2017” means the 2017 edition of the Harmonised System Nomenclature issued 
by the World Customs Organization;  
 
(g) “type approval” means the procedure whereby an approval authority certifies that a 
type of vehicle, system, component or separate technical unit satisfies the rel evant 
administrative provisions and technical requirements;  
 
(h) “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.  
 
2. Terms referred to in this Annex shall have the same meaning as they have in the 1958 
Agreement or in Annex 1 to the TBT Agreement.  
 
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 1.1. of UNECE Consolidated Resolution on the 
Construction of Vehicles (R.E.3)96, falling under, inter alia, Chapters 40, 84, 85, 87 and 94 of the HS 
2017 (hereinafter referred to as “products covered”).  
 
                                                            
96 ECE/TRANS/WP.29/78/Rev.6 of 11 July 2017.  
 
513 
 Article 3 : Objectives  
 
With regard to the products covered, the objectives of this Annex are to:  
 
(a) eliminate and prevent any unnecessary technical barriers to bilateral trade;  
 
(b) promote the compatibility and convergence of regulations based on international 
standards;  
 
(c) promote the recognition of approvals based on approval schemes applied under the 
agreements administered by WP.29;  
 
(d) reinforce competitive market conditions based on principles of openness, non -
discrimination and transparency;  
 
(e) promo te high levels of protection of human health, safety and the environment; and  
 
(f) maintain cooperation on issues of mutual interest to foster continued mutually 
beneficial development in trade.  
 
Article 4: Relevant international standards  
 
The Parties r ecognise 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  
 
1. The Parties shall refrain from introducing or maintaining any domestic technical regulation, 
marking, or conformity assessment procedure diverging from UN Regulations or GTRs in areas 
covered by such R egulations or GTRs, including where the relevant UN Regulations or GTRs have not 
been completed but their completion is imminent, unless there are substantiated reasons why a 
specific UN Regulation or GTR is an ineffective or inappropriate means  for the fu lfilment of 
legitimate objectives pursued,  for example, in the areas of road safety or the protection of the 
environment or human health.  
 
2. A Party which introduces a divergent domestic technical regulation, marking, or conformity 
assessment procedure as referred to in paragraph 1, at the request of the other Party, shall identify 
the parts of the domestic technical regulation, marking, or conformity assessment procedure which 
substantially diverge from the relevant UN Regulations or GTRs and provide justi fication for the 
divergence.  
 
3. Each Party shall systematically consider applying UN Regulations adopted after the entry 
into force of this Agreement, and shall inform each other of any changes regarding the 
implementation of those UN Regulations in its resp ective domestic legal system following the 
protocol established under the 1958 Agreement and in line with Articles 8 and 9.  
 
4. Insofar as a Party has introduced or maintains domestic technical regulations, markings or 
conformity assessment procedures that di verge from UN Regulations or GTRs as permitted by 
paragraph 1, that Party shall review those domestic technical regulations, markings or conformity 
assessment procedures at regular intervals, preferably not exceeding five years,  with a view to 
 
514 
 increasing t heir convergence with the relevant UN Regulations or GTRs. When reviewing their 
domestic technical regulations, markings and conformity assessment procedures, each Party shall 
consider whether the justification for the divergence still exists. The outcome of these reviews, 
including any scientific and technical information used, shall be notified to the other Party upon 
request.  
 
5. Each Party shall refrain from introducing or maintaining domestic technical regulations, 
markings, or conformity assessment proce dures which have the effect of prohibiting, restricting or 
increasing the burden for the importation and putting into service on their domestic market of 
products type -approved under UN Regulations for the areas covered by those UN Regulations unless 
such domestic technical regulations, markings or conformity assessment procedures are explicitly 
provided for by those UN Regulations.  
 
Article 6:  Type approval and market surveillance  
 
1 Each Party shall accept on its market products which are covered by a val id UN type -
approval certificate as compliant with its domestic technical regulations, markings and conformity 
assessment procedures, without requiring any further testing or marking to verify or attest 
compliance with any requirement covered by the UN type  approval certificate concerned. In the 
case of vehicle approvals, the UN Universal International Whole Vehicle Type Approval (U -IWVTA) 
shall be considered valid in respect of the requirements covered by the U -IWVTA. UN type -approval 
certificates issued by  a Party can only be considered valid if that Party has acceded to the relevant 
UN Regulations.  
 
2 Each Party shall only be required to accept valid UN type -approval certificates issued 
pursuant to the latest version of the UN Regulations it has acceded to. 
 
3. For the purpose of paragraph 1, the following shall be considered sufficient proof of the 
existence of a valid UN type -approval:  
 
(a) for whole vehicles, a valid UN Declaration of Conformance certifying compliance 
with a U -IWVTA;  
 
(b) for equipment  and parts, a valid UN type -approval mark affixed to the product; or  
 
(c) for equipment and parts to which a UN type -approval mark cannot be affixed, a valid 
UN type -approval certificate.  
 
4. For the purpose of conducting market surveillance, the competen t authorities of a Party may 
verify that the products covered comply, as appropriate, with  
(a) all the domestic technical regulations of that Party; or  
 
(b) the UN Regulations with which compliance has been attested, in accordance with 
this Article, by a v alid 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 verification s 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.  
 
515 
   
5.  The Parties shall endeavour to cooperate in the field of market surveillan ce to support the 
identification and addressing of non -conformities of vehicles, systems, components or separate 
technical units.  
 
6.  A Party may take any appropriate measures with respect to vehicles, systems, components 
or separate technical units that  present a serious risk to the health or safety of persons or with 
regard to other aspects of the protection of public interests, or that otherwise do not comply with 
applicable requirements. Such measures may include prohibiting or restricting the making available 
on the market, the registration or the entry into service of the vehicles, systems, components or 
separate technical units concerned, or withdrawing them from the market or recalling them. A Party 
that adopts or maintains such measures shall prom ptly inform the other Party of those measures 
and, at the request of the other Party, shall provide its reasons for adopting those measures.  
 
Article 7:  Products with new technologies or new features  
 
1. Neither Party shall refuse or restrict the access t o its market of a product that is covered by 
this Annex and that has been approved by the exporting Party on the grounds that the product 
incorporates a new technology or a new feature that the importing Party has not yet regulated, 
unless it can demonstra te that it has reasonable grounds for believing that the new technology or 
new feature creates a risk for human health, safety or the environment.  
 
2. If a Party decides to refuse the access to its market or requires the withdrawal from its 
market of a product of the other Party covered by this Annex on the grounds that it incorporates a 
new technology or a new feature creating a risk for human health, saf ety or the environment, it shall 
promptly notify that decision to the other Party and to the economic operator or operators 
concerned. The notification shall include all relevant scientific or technical information taken into 
account in the decision.  
 
Article 8:  Cooperation  
 
1.  In order to further facilitate trade in motor vehicles, their parts and equipment, and to 
prevent  market access problems, while ensuring human health, safety and environmental 
protection, the Parties shall endeavour to c ooperate  and to  exchange information as appropriate.  
 
2.  Areas of cooperation under this Article may include in particular:  
  
(a)  the development and establishment of technical regulations or related standards;  
 
(b)  the exchange, to the extent possible, of rese arch, information and results linked to 
the development of new vehicle safety regulations or related standards, advanced 
emission reduction, and emerging vehicle technologies;  
 
(c)  the exchange of available information on the identification of safety -related or 
emission -related defects and non -compliance with technical regulations; and  
 
(d)  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.   
 
 
516 
  
Article 9:  Working Group on Motor Vehicles and Parts  
 
1. A Working Group on Motor Vehicles and Parts shall assist the Trade Specialised Committee 
on Technical Barriers to Trade in monitoring and reviewing the implementation and ensuring the 
proper functioning of this Annex.  
 
2. The functions of the Working Group on Motor Vehicles and Parts  shall be the following:  
 
 (a) discussing any matter arising under this Annex, on request of a Party;  
  
(b) facilitating cooperation and exchange of information in accordance with Article 8;  
 
(c) carrying out technical discussions in accordance with Article TBT.10 [Technical 
discussions] of this Agreement on matters falling within the scope of this Annex ; and  
 
(d) maintaining a list of contact points responsible for matters arising under this Annex.  
  
 
517 
 ANNEX TBT -2: MEDICINAL PRODUCTS  
Article 1: Definitions  
 
1.  For the purposes of this Annex:  
 
(a) “authority” means an authority of a Party as listed in Appendix A;  
 
 (b) “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 B;    
 
 (c) "inspection" means an evaluation of a manufacturing facility t o 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;  
 
 (d) “official GMP document” means a document issued by an authority of a Party following the 
inspection of a manufacturing facility, including, for example, inspe ction 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 C.  
 
Article 3:  Objectives  
 
With  regard to the products covered the objectives of this Annex are:  
 
(a) to facilitate the availability of medicines in each Party’s territory;  
 
(b)  to set out the conditions for the recognition of inspections and for the exchange and 
acceptance of official  GMP documents between the Parties ;  
 
(c) 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 Cooperat ion 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  
 
518 
  
1.  A Party shall recognise inspections carried out by the other Party and shall accept official 
GMP documents issued by the other Party in accordance with the laws, regulations and technical 
guidelines listed in Appendix B.  
 
2.  An authority of a Party may in specific circumstances opt not to accept an official GMP 
document issued by an authority of the other Party for manufacturing facilities located in the  
territory of the issuing authority. Examples of such circumstances include the indication of material 
inconsistencies or inadequacies in an inspection report, quality defects identified in post -market 
surveillance or other specific evidence of serious con cern in relation to product quality or patient 
safety. Each Party shall ensure that where an authority of a Party opts not to accept an official GMP 
document issued by an authority of the other Party, that authority notifies the relevant authority of 
the o ther Party of the reasons for not accepting the document and may request clarification from 
the authority of the other Party. The relevant Party shall ensure that its authority endeavours to 
respond to the request for clarification in a timely manner.  
 
3.  A Party may accept official GMP documents issued by an authority of the other Party for 
manufacturing facilities located outside the territory of the issuing authority.  
 
4.  Each Party may determine the terms and conditions under which it accepts official GMP 
documents issued under paragraph 3.  
 
Article 6:  Exchange of official GMP documents  
 
1.  Each Party shall ensure that if an authority of a Party requests an official GMP document 
from the authority of the other Party, the authority of the other Party shall endeavour to transmit 
the document within 30 calendar days of the date of the request.  
 
2.   Each Party shall treat the information in a document obtained pursuant to p aragraph 1 as 
confidential.  
 
Article 7: Safeguards  
 
1.  Each Party has the right to conduct its own inspection of manufacturing facilities that have 
been certified as compliant by the other Party.  
 
2.  Each Party shall ensure that, prior to conducting an  inspection under paragraph 1, the 
authority of the Party that intends to conduct the inspection notifies the relevant authority of the 
other Party of the inspection in writing, stating the reasons for conducting its own inspection. The 
authority of the Pa rty that intends to conduct the inspection shall endeavour to notify the authority 
of the other Party in writing at least 30 days before a proposed inspection, but may provide a shorter 
notice in urgent situations. The authority of the other Party may join  the inspection.  
 
Article 8 – Changes to applicable laws and regulations  
 
1. Each Party shall notify the other Party at least 60 days before adopting any new measures or 
changes relating to Good Manufacturing Practice concerning any of the relevant laws, regulations 
and technical guidelines listed in Appendix B.  
 
 
519 
 2. The Parties shall  exchange all the necessary information, including changes to their 
respective laws, regulations, technical guidelines or inspection procedures relating to Good 
Manufacturing Practice so that each Party can consider whether the conditions for the recogniti on 
of inspections and acceptance of official GMP documents pursuant to Article 5(1) continue to exist.  
 
3. If as a result of any of the new measures or changes referred to in paragraph 1 of this Article, 
a Party considers that it can no longer recognise insp ections or accept official GMP documents 
issued by the other Party, it shall notify the other Party of its intention to apply Article 9 and the 
Parties shall enter into consultations within the Working Group on Medicinal Products.  
 
4. Any notification under t his Article shall be done via the designated contact points in the 
Working Group on Medicinal Products.  
 
Article 9: Suspension  
 
1.  Without prejudice to Article 5(2), each Party has the right to suspend totally or partially  the 
recognition of inspections and  acceptance of official GMP documents of the other Party pursuant to 
Article 5(1) for all or some of the products listed in Appendix C. That right shall be exercised in an 
objective and reasoned manner. The Party exercising such right shall notify the othe r Party and 
provide a written justification. A Party shall continue to accept official GMP documents of the other 
Party issued prior to such suspension, unless the Party decides otherwise on the basis of health or 
safety considerations.  
 
2. Where, following c onsultations referred to in Article 8(3), a Party nevertheless suspends the 
recognition of inspections and acceptance of official GMP documents pursuant to Article 5(1), it may 
do so in accordance with paragraph 1 of this Article not earlier than 60 days a fter the 
commencement of the consultations. During that 60 -day period, both Parties shall continue to 
recognise inspections and accept official GMP documents issued by an authority of the other Party.  
 
3. Where recognition of inspections and acceptance of off icial GMP documents pursuant to 
Article 5(1) is suspended, at the request of a Party, the Parties shall discuss the matter within the 
Working Group on Medicinal Products and they shall make every effort to consider possible 
measures that would enable the r ecognition of inspections and acceptance of official GMP 
documents to be restored.  
 
Article 10: Regulatory cooperation  
 
1.  The Parties shall endeavour to consult one another, as permitted by their respective law, on 
proposals to introduce significant chan ges to technical regulations or inspection procedures, 
including those that affect how documents from the other Party are recognised in accordance with 
Article 5 and, where appropriate, to provide the opportunity to comment on such proposals, without 
preju dice to Article 8.  
 
2.  The Parties shall endeavour to cooperate with a view to strengthening, developing and 
promoting the adoption and implementation of internationally agreed scientific or technical 
guidelines including, where feasible, through the presentation of joint initiatives, proposals and 
approaches in the relevant international organisations and bodies referred to in Article 4.  
 
Article 11: Amendments to appendices  
 
 
520 
 The Partnership Council shall have the power to amend Appendix A in order to  update the list of 
authorities, Appendix B in order to update list of applicable laws and regulations and technical 
guidelines, and Appendix C in order to update the list of covered products.  
 
Article 12: Working Group on Medicinal Products  
 
1.   The Work ing Group on Medicinal Products shall assist the Trade Specialised Committee on 
Technical Barriers to Trade in monitoring and reviewing the implementation and ensuring the proper 
functioning of this Annex.  
 
2.  The functions of this Working Group shall be the following:  
 
(a) discussing any matter arising under this Annex at the request of a Party;  
 
(b) facilitating cooperation and exchanges of information for the purposes of Articles 
8and 10;  
 
(c) functioning as the forum for consultations and discussions for the purp oses of 
Articles  8 (3) and 9(3) 
 
(d) carrying out technical discussions in accordance with Article TBT.10 [Technical 
discussions] of this Agreement on matters falling within the scope of this Annex; and  
 
(e) maintaining a list of contact points responsibl e for matters arising under this Annex.  
 
Article 13 : Non -application of dispute settlement  
 
Title I [Dispute settlement] of Part Six of this Agreement does not apply in respect of disputes 
regarding the interpretation and application of this Annex.  
 
  
 
521 
 APPENDIX 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  
 
522 
 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) 97 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  
Estonia  State Agency of Medicines /  
Ravimiamet  See authority for medicinal products 
for human use  
Ireland  
 
Greece  Health Products Regulatory 
Authority (HPRA)  
 
National Organisation for Medicines 
/  
Ethnikos Organismos Farmakon 
(EOF) - (ΕΘΝIΚΟΣ ΟΡΓΑΝIΣΜΟΣ 
ΦΑΡΜΑΚΩΝ))  See authority for medicinal products 
for human use  
See authority for medicinal products 
for human use  
Spain  Spanish Agency of Medicines and 
Medical Devices /  
Agencia Española de Medicamentos 
y Productos  
Sanitarios 98 See authority for medicinal products 
for human use  
                                                            
97  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 pharmace utical inspections.  
 
98  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.  
 
 
523 
    
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 Produc ts/  
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  
 
 
 
 
 
Latvia  Ministry of Health - Pharmaceutical 
Services /  
Φαρμακευτικές Υπηρεσίες, 
Υπουργείο Υγείας  
 
 
 
State  Agency  of Medicines  /  
Zāļu valsts aģentūra  Ministry of Agriculture, Rural 
Development and Environment -  
Veterinary  Services  /  
Κτηνιατρικές Υπηρεσίες - Υπουργείο 
Γεωργίας, Αγροτικής Ανάπτυξης και 
Περιβάλλοντος  
 
Assessment  and Registration  
Department  of the Food  and 
Veterinary  Service /Pārtikas  un 
veterin ārā dienesta  Novērtēšanas  un 
reģistrācijas  departaments   
Lithuania  State Medicines Control Agency /  
Valstybinė vaistų kontrolės tarnyba  State Food and Veterinary Service /  
Valstybinė s maisto ir veterinarijo s 
tarnyba  
Luxembourg  Minìstere de la Santé, Division de la See authority for medicinal products 
 
524 
 Pharmacie et  
des Médicaments  for human use  
Hungary  
 
 
 
 
Malta  Országos Gyógyszerészeti és 
Élelmezés -egészségügyi Intézet /  
National Institute of Pharmacy and 
Nutrition  
 
 
Medicines Regulatory Authority  National Food Chain Safety Office, 
Directorate of Veterinary Medicinal 
Products / Nemzeti Élelmiszerlánc -
biztonsági Hivatal,  
Állatgyógyászati Termékek 
Igazgatósága (ÁTI)  
Veter inary 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 Di ergeneesmiddelen, College 
ter Beoordeling van Geneesmiddelen 
(CBG)  
Austria  
 
 
 
 
Poland  Austrian Agency for Health and Food 
Safety /  
Österreichische Agentur für 
Gesundheit und Ernährungssicherheit 
GmbH  
 
The Main Pharmaceutical 
Inspectorate /  
Główny Inspektorat Farmaceutyczny 
(GIF) /  See authority for medicinal products 
for human use  
 
 
 
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 /  National Sanitary Veterinary and 
Food Safety Authority / Autoritatea 
Naţională Sanitară Veterinară şi 
 
525 
 Agenţia Naţională a Medicamentu lui 
şi a Dispozitivelor Medicale  pentru Siguranţa 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 (USKVBL)  
Finland  
 
 
Sweden  Finnish Medicines Agency /  
Lääkealan turvallisuus - ja 
kehittämiskeskus (FIMEA)  
 
Medical Products Agency / 
Läkemedelsverket  See authority for medicinal products 
for human use  
 
See authority for medicinal products 
for human use  
 
2) United Kingdom  
 
Medicines and Healthcare Products Regulatory Agency  
Veterinary Medicines Directorate  
  
 
526 
 APPENDIX B – List of applicable laws, regulations and technical guidelines relating to Good 
Manufacturing Practice  
 
(1) For the European Union:  
Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the 
Community code rel ating to medicinal products for human use;99  
Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the 
Community code relating to veterinary medicinal products;100 
Directive 2001/20/EC of European Parliament and of the Coun cil of 4 April 2001 on the 
approximation of the laws, regulations and administrative provisions of the Member States relating 
to the implementation of good clinical practice in the conduct of clinical trials on medicinal products 
for human use;101 
Regulation  (EU) 536/2014 of 16 April 2014 on clinical trials on medicinal products for human use, 
and repealing Directive 2001/20/EC;102 
Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying 
down Community procedures for the  authorisation and supervision of medicinal products for human 
and veterinary use and establishing a European Medicines Agency;103 
Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 
on advanced therapy medicinal pr oducts and amending Directive 2001/83/EC and Regulation (EC) 
No 726/2004;104 
Commission Directive 2003/94/EC of 8 October 2003 laying down the principles and guidelines of 
good manufacturing practice in respect of medicinal products for human use and investi gational 
medicinal products for human use;105 
Commission Directive 91/412/EEC of 23 July 1991 laying down the principles and guidelines of good 
manufacturing practice for veterinary medicinal products;106 
Commission Directive (EU) 2017/1572 of 15 September 201 7 supplementing Directive 2001/83/EC of 
the European Parliament and of the Council as regards the principles and guidelines of good 
manufacturing practice for medicinal products for human use;107 
Commission Delegated Regulation (EU) 1252/2014 of 28 May 2014 of the European Parliament and 
of the Council with regard to principles and guidelines of good manufacturing practice for active 
substances for medicinal products for human use;108 
                                                            
99  OJ L 311, 28.11.2001, p. 67.  
100  OJ L 311, 28.11.2001, p. 1.  
101  OJ L 121, 1.5.2001, p. 34.  
102  OJ L 158, 27.5.2014, p. 1.  
103  OJ L 136, 30.4.2004, p. 1  
104  OJ L 324, 10.12.2007, p. 121.  
105  OJ L 262, 14.10.2003, p. 22.  
106  OJ L 228, 17.8.1991, p. 70.  
107  OJ L 238, 16.9.2017, p. 44.  
 
527 
 Commission Delegated Regulation (EU) 2017/1569 of 23 May 2017 supplementing R egulation (EU) 
No 536/2014 of the European Parliament and of the Council by specifying principles of and 
guidelines for good manufacturing practice for investigational medicinal products for human use and 
arrangements for inspections;109 
Current version of t he Guide to good manufacturing practice contained in volume IV of Rules 
governing medicinal products in the European Union and compilation of the community procedures 
on inspections and exchange of information.  
 
(2) For the United Kingdom:  
The Human Medici nes 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 Regul ations 2013  
   
                                                                                                                                                                                         
108  OJ L 337, 25.11.2014, p. 1.  
109  OJ L 238, 16.9.2017, p. 12.  
 
528 
 APPENDIX C – COVERED PRODUCTS  
Medicinal products for human use and veterinary use:  
 marketed medicinal products for human or veterinary use, including marketed biological and 
immunological products for human and veterinary use,  
 advanced therapy medicinal products,  
 active pharmaceutical ingredients for human or veterinary use,  
 investigational medicinal products.  
  
 
529 
 ANNEX TBT -3: CHEMICALS  
Article 1: Definitions  
 
For the purposes of this Annex:  
(a) “responsible a uthorities” means  
 
(i) For the Union: the European Commission;  
 
(ii) For the United Kingdom: the government of the United Kingdom.   
 
(b) “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  
1.  The objectives of this Annex are to:  
 (a)  facilitate the trade of chemicals and related products between the Parties;  
 (b)  ensure high levels of protection for the environment, and human and animal health; 
and  
 (c)  provide for cooperation between Union and United Kingdom responsible authorities.   
 
2.  The Parties acknowledge that the commitments made under this Annex do not prevent 
either Party from setting its own priorities on chemicals regulation, including estab lishing its own 
levels of protection in respect of the environment, and human and animal health.    
 
Article 4 : Relevant international organisations and bodies  
The Parties recognise that international organisations and bodies, in particular the OECD and th e 
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 c hemicals.    
 
Article 5 : Participation in relevant international organisations and bodies and regulatory 
developments  
 
1. The Parties shall actively contribute to the development of the scientific or technical 
guidelines referred to in Article 4 with respe ct to the assessment of hazards and risks of chemicals 
and the formats for documenting the results of such assessments.  
 
2. Each Party shall implement any guidelines issued by the international organisations and 
bodies referred to in Article 4, unless tho se guidelines would be ineffective or inappropriate for the 
achievement of that Party’s legitimate objectives.  
 
530 
  
Article 6 : Classification and labelling of chemicals  
 
1. Each Party shall implement the UN GHS as comprehensively as it considers feasible within its 
respective system, including for chemicals that are not within the scope of this Annex, except where 
there are specific reasons to apply a different labelling system for particular chemical products in 
their finished state intended for the final  user. Each Party shall periodically update its 
implementation based on the regularly issued revisions of the UN GHS.  
 
2. Where the responsible authority of a Party intends to classify individual substances in 
accordance with its respective rules and proce dures, it shall give the responsible authority of the 
other Party the possibility of expressing its views in accordance with those respective rules and 
procedures within the applicable timelines.  
 
3. Each Party shall make information about its procedures related to the classification of 
substances publicly available in accordance with its respective rules and procedures. Each Party shall 
endeavour to respond to comments received from the other Party pursuant to paragraph 2.  
 
4. Nothing in this Article sha ll oblige either Party to achieve any particular outcome regarding 
the implementation of the UN GHS in its territory or regarding the classification of a given substance, 
or to advance, suspend or delay its respective procedures and decision -making process es. 
 
Article 7 : Cooperation  
 
1. The Parties recognise that voluntary cooperation on chemicals regulation can facilitate trade 
in ways that benefit consumers, businesses and the environment and that contribute to enhancing 
the protection of human and animal  health.    
 
2. The Parties commit to facilitating the exchange of non -confidential information between 
their responsible authorities, including through cooperation on electronic formats and tools used to 
store data.   
 
3. The Parties shall cooperate where  appropriate with a view to strengthening, developing and 
promoting the adoption and implementation of internationally agreed scientific or technical 
guidelines, including, where feasible, through the presentation of joint initiatives, proposals and 
approa ches in the relevant international organisations and bodies, in particular those referred to in 
Article 4.    
 
4. The Parties shall cooperate, if considered beneficial by both Parties,  with regard to the 
dissemination of data related to chemicals safety, a nd shall make such information available to the 
public with the objective of ensuring easy access to and the comprehensibility of that information by 
different target groups.  Upon request of either Party, the other Party shall provide available non -
confid ential information on chemicals safety to the requesting Party.    
 
5. If a Party so requests and the other Party agrees to do so, the Parties shall enter into 
consultations on scientific information and data in the context of new and emerging issues relat ed to 
the hazards or risks posed by chemicals to human health or the environment, with a view to creating 
a common pool of knowledge and, if feasible, and to the extent possible, promoting a common 
understanding of the science related to such issues.  
 
 
531 
 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.  
  
 
532 
 ANNEX TBT -4: ORGANIC PRODUCTS  
Article 1: Objective and scope  
 
1.  The objective of this Annex is to set out the provisions and procedures for fostering trade in 
organic products in accordance with the principles of non -discrim ination and reciprocity, by means 
of the recognition of equivalence by the Parties of their respective laws.    
 
2.  This Annex applies to the organic products listed in Appendices A and B which comply with 
the laws and regulations listed in Appendix C or D. The Partnership Council shall have the power to 
amend Appendices A, B, C and D.  
 
Article 2: Definitions  
 
For the p urposes of this Annex:  
 
“competent authority” means an official agency that has jurisdiction over the laws and regulations 
listed in Appendix C or 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 C or D;     
 
“control body” means an entity reco gnised 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 C or D; and    
 
"equivalence" means the capability of different laws, regulation s and requirements, as well as 
inspection and certification systems, of meeting the same objectives.  
 
Article 3: Recognition of equivalence  
 
1.  With respect to products listed in Appendix A, the Union shall recognise the laws and 
regulations of the Unite d Kingdom listed in Appendix C as equivalent to the Union's laws and 
regulations listed in Appendix D.  
 
2.  With respect to products listed in Appendix B, the United Kingdom shall recognise the laws 
and regulations of the Union listed in Appendix D as equivalent to the United Kingdom's laws and 
regulations listed in Appendix C.    
 
3. In view of the date of appl ication of 1 January 2022 of Regulation (EU) 2018/848 of the 
European Parliament and of the Council of 30 May 2018 on organic production and labelling of 
organic products and repealing Council Regulation (EC) No 834/2007, the recognition of equivalence 
referred to in paragraphs 1 and 2 shall be reassessed by each Party by 31 December 2023. If, as a 
result of that reassessment, equivalence is not confirmed by a Party, recognition of equivalence shall 
be suspended.  
 
4. Without prejudice to paragraph 3, in the  event of the modification, revocation or 
replacement of the laws and regulations listed in Appendix C or D, the new rules shall be considered 
equivalent to the other Party’s rules unless a Party objects in accordance with the procedure set out 
in paragrap hs 5 and 6.   
 
533 
  
5. If, following the receipt of further information from the other Party that it has requested, a 
Party considers that the laws, regulations or administrative procedures or practices of the other 
Party no longer meet the requirements for equ ivalence, that Party shall issue a reasoned request to 
the other Party to amend the relevant laws, regulations or administrative procedures or practices, 
and shall provide the other Party with an adequate period, which shall not be less than three 
months, for ensuring equivalence.    
 
6. If, following the expiry of the period in paragraph 5, the Party concerned still considers that 
the requirements for equivalence are not met, it may take a decision to unilaterally suspend the 
recognition of equivalence of the relevant laws and regulations listed in Appendix C or D, as regards 
the relevant organic products listed in Appendix A or B.     
 
7. A decision to unilaterally suspend the recognition of equivalence of the laws and regulations 
listed in Appendix C or D , as regards the relevant organic products listed in Appendix A or B may also 
be taken, following the expiry of a notice period of three months, where a Party has not provided 
the information required under Article 6 or does not agree to a peer review unde r Article 7.    
 
8. Where recognition of equivalence is suspended in accordance with this Article,  at the 
request of a Party, the Parties shall discuss  the matter within the Working Group on Organic 
Products and they shall make every effort to consider pos sible measures that would enable 
recognition of equivalence to be restored.  
 
9. With respect to products not listed in Appendix A or B, equivalence shall be discussed by the 
Working Group on Organic Products at the request of a Party.  
 
Article 4: Import and placing on the market  
 
1. The Union shall accept the import into its territory of the products listed in Appendix A, and 
the placing of those products on the market as organic products, provided that those products 
comply with the laws and regulations of the United Kingdom listed in Appendix C and are 
accompanied by a certificate of inspection issued by a control body recognised by the United 
Kingdom and indicated to the Union as referred to in paragraph 3.   
 
2. The United Kingdom shall accept the impo rt into its territory of the products listed in 
Appendix B, and the placing of those products on the market as organic products, provided that 
those products comply with the laws and regulations of the Union listed in Appendix D and are 
accompanied by a ce rtificate of inspection issued by a control body recognised by the Union and 
indicated to the United Kingdom as referred to in paragraph 3.    
 
3. Each Party recognises the control authorities or control bodies indicated by the other Party 
as responsible f or performing the relevant controls as regards organic products covered by the 
recognition of equivalence as referred to in Article 3 and for issuing the certificate of inspection as 
referred to in paragraphs 1 and 2 of this Article with a view to their im port into and placing on the 
market in the territory of the other Party.    
 
4. The importing Party, in cooperation with the other Party, shall assign code numbers to each 
relevant control authority and control body indicated by the other Party.  
 
 
 
 
534 
 Article 5: Labelling  
 
1. Products imported into the territory of a Party in accordance with this Annex shall meet the 
requirements for labelling set out in the laws and regulations of the importing Party listed in 
Appendices C and D.  Those products may be ar the Union’s organic logo, any United Kingdom 
organic logo or both logos, as set out in the relevant laws and regulations, provided that those 
products comply with the labelling requirements for the respective logo or both logos.    
 
2. The Parties under take to avoid any misuse of the terms referring to organic production in 
relation to organic products that are covered by the recognition of equivalence under this Annex.  
 
3. The Parties undertake to protect the Union’s organic logo and any United Kingdom  organic 
logo set out in the relevant laws and regulations against any misuse or imitation. The Parties shall 
ensure that the Union’s organic logo and any United Kingdom organic logo are used only for the 
labelling, advertising or commercial documents of o rganic products that comply with the laws and 
regulations listed in Appendices C and -D.  
 
Article 6: Exchange of information  
 
1. 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, ea ch Party shall send to the other:  
 
 (a) 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;  
 
 (b)   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  
 
 (c)  details of observed irregularities and i nfringements of the laws and regulations listed 
in Appendix C or D, as relevant.   
 
2.  Each Party shall inform the other Party without delay of:  
 
 (a)   any update to the list of its competent authorities, control authorities and control 
bodies, includin g the relevant contact details (in particular the address and the 
internet address);  
 
 (b)   any changes or repeals it intends to make in respect of laws or regulations listed in 
Appendix C or Appendix D, any proposals for new laws or regulations or any r elevant 
proposed changes to administrative procedures and practices related to organic 
products covered by this Annex; and  
 
 (c)   any changes or repeals it has adopted in respect of laws or regulations listed in 
Appendix C or Appendix D, any new legislation or relevant changes to administrative 
procedures and practices related to organic products covered by this Annex.  
 
 
 
 
535 
 Article 7:  Peer reviews  
 
1. Following advance notice of at least six months, each Party shall permit officials or experts 
designated by the other Party to conduct peer reviews in its territory to verify that the relevant 
control authorities and control bodies are ca rrying out the controls required to implement this 
Annex.    
 
2. Each Party shall cooperate with and assist the other Party, to the extent permitted under the 
applicable law, in carrying out the peer reviews referred to in paragraph 1, which may include vi sits 
to offices of relevant control authorities and control bodies, processing facilities and certified 
operators.     
 
Article 8: Working Group on Organic Products  
 
1. The Working Group on Organic Products shall assist the Trade Specialised Committee on 
Technical Barriers to Trade in monitoring and reviewing the implementation and ensuring the proper 
functioning of this Annex.  
 
2. The functions of the Working Group on Organic Products shall be the following:  
 
 (a)  discussing any matter arising under thi s Annex at the request of a Party, including any 
possible need for amendments to this Annex or any of its Appendices;  
 
 (b)  facilitating cooperation regarding laws, regulations, standards and procedures 
concerning the organic products covered by this Ann ex, including discussions on any 
technical or regulatory issue related to rules and control systems; and  
 
 (c) carrying out technical discussions in accordance with Article TBT.10 [Technical 
discussions] of this Agreement on matters falling within the scop e of this Annex.  
 
  
 
  
 
536 
 APPENDIX 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.  
 
  
 
537 
 APPENDIX B  
ORGANIC PRODUCTS FROM THE UNION FOR WHICH THE UNITED KINGDOM RECOGNISES 
EQUIVALENCE  
Description  Comments  
Unprocessed plant products    
Live animals or unprocessed anim al 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 th e Union in accordance with the Union laws and regulations.  
  
 
538 
 APPENDIX C  
LAWS AND REGULATIONS ON ORGANIC PRODUCTSAPPLICABLE IN THE UNITED KINGDOM110 
The following laws and regulations applicable in the United Kingdom:  
1. Retained REGULATION (EC) No 834/2007  
2. Retained REGULATION (EC) No 889/2008  
3. Retained REGULATION (EC) No 1235/2008  
4. The Organic Products Regulations 2009  
 
  
                                                            
110  References in this list to Retained Union l aw are deemed to be references to such legislation, as amended 
by the United Kingdom to apply to the United Kingdom.  
 
539 
 APPENDIX D  
LAWS AND REGULATIONS ON ORGANIC PRODUCTS APPLICABLE IN THE UNION   
The following laws and regulations applicable in the Union:  
1. Council Regulation (EC) No 834/2007 of 28 June 2007 on organic production and labelling of 
organic products and repealing Regulation (EEC) No 2092/91111 
2. Commission Regulation (EC) No 889/2008 of 5 September 2008 laying down detailed rules for 
the implementat ion of Council Regulation (EC) No 834/2007 on organic production and labelling 
of organic products with regard to organic production, labelling and control112 
3. Commission Regulation (EC) No 1235/2008 of 8 December 2008 laying down detailed rules for 
implement ation of Council Regulation (EC) No 834/2007 as regards the arrangements for 
imports of organic products from third countries113 
  
                                                            
111  OJ L 189, 20.7.2007, p. 1.  
112  OJ L 250, 18.9.2008, p. 1.  
113  OJ L 334, 12.12.2008, p. 25.  
 
540 
 ANNEX -TBT-5: TRADE IN WINE  
Article 1: Scope and definitions  
 
1. This Annex applies to wine falling under Heading 22.04 of the Harm onised System.  
 
2. For the purposes of this Annex, “wine produced in” means fresh grapes, grape must and 
grape must in fermentation that have been turned into wine or added to wine in the territory of the 
exporting Party.  
 
Article 2: Product definitions, oenological practices and processes  
 
1. Oenological practices for wine recommended and published by the International 
Organisation of the Vine and Wine (“OIV”) shall be considered relevant international standards for 
the purposes of this Annex.  
 
2. Each Party sh all authorise the importation and sale for consumption of wine produced in the 
other Party, if that wine has been produced in accordance with:   
(a) product definitions authorised in each Party under the laws and regulations referred to 
in Appendix A;  
(b) the oen ological practices established in each Party under the laws and regulations 
referred to in Appendix A that are in accordance with the relevant OIV standards; and  
(c)  Oenological practices and restrictions established in each Party that are not in 
accordance with the relevant OIV standards, listed in Appendix B.  
 
3. The Partnership Council shall have the power to amend the Appendices referred to in 
paragraph 2.   
 
Article 3: Certification requirements on import in the respective territories of the Parties  
 
1. For wine produced in a Party and placed on the market in the other Party, the 
documentation and certification that may be required by either Party shall be limited to a certificate, 
as set out in Appendix C, authenticated in conformity with the exporting P arty’s laws and 
regulations.  
 
2. A certificate required under paragraph 1 may take the form of an electronic 
document.  Access to the electronic document or to the data necessary for its establishment shall be 
given by each Party on request of the competent a uthorities of the other Party where the goods are 
to be released into free circulation. If access to the relevant electronic systems is not available, the 
necessary data may also be requested in the form of a paper document.   
   
3. The Partnership Council  shall have the power to amend Appendix C.  
 
4. The methods of analysis recognised as reference methods by the OIV and published by the 
OIV shall be the reference methods  for the determination of the analytical composition of the wine 
in the context of control ope rations.  
 
  
 
541 
 Article 4: Food information and lot codes   
 
1. Unless otherwise specified in this Article, labelling of wine imported and marketed under 
this Agreement shall be conducted in compliance with the laws and regulations that apply in the 
territory of the importing Party . 
 
2.  A Party shall not require any of the following dates or their equivalent to appear on the 
container, label, or packaging of wine:  
(a) the date of packaging;  
(b) the date of bottling;  
(c) the date of production or manufacture;  
(d) the date of expiration, use by date, use or consume by date, expire by date ; 
(e) the date of minimum durability, best -by-date, best quality before date; or  
(f) 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 th e addition of perishable ingredients 
could have a shorter date of minimum durability than would normally be expected by the consumer.  
 
3. Each Party shall ensure that a code is indicated on the label of packaged products that allows 
for the identification of the lot to which the product belongs, in accordance with the legislation of 
the Party exporting the packaged product. The lot code shall be easily visible, clearly legible and 
indelible. A Party shall not allow the marketing of packaged products which do n ot comply with the 
requirements set out in this paragraph.  
 
4. Each Party shall permit mandatory information, including translations or an indication of the 
number of standard drinks or alcohol units whenever required, to be displayed on a supplementary 
labe l affixed to a wine container. Supplementary labels may be affixed to a wine container after 
importation but prior to the product being placed on the market in the Party's territory, provided 
that the mandatory information is fully and accurately displayed .  
 
5. The importing Party shall not require the display on the label of allergens which have been 
used in the production of wine but are not present in the final product.  
 
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:  
(a) by wholesalers or produce rs, for a period of two years from the entry into force of this 
Agreement; and  
(b) 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.  
 
542 
  
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 th e Parties.  
 
 
543 
 APPENDIX A – LAWS AND REGULATIONS OF THE PARTIES  
 
Laws and regulations of the United Kingdom114 
 
Laws and regulations referred to in Article 2(2) concerning:  
 
a) product definitions:  
(i) 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;  
(ii) Retained Commission Delegated Regulation (EU) 2019/33, in p articular Articles 47, 
52 to 54 and Annexes III, V and VI to that Regulation, including subsequent 
modifications;  
(iii) Retained Regulation (EU) No 1169/2011 and its implementing rules, including 
subsequent modifications;  
b) oenological practices and restrictions:  
(i) 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;  
(ii) Retained Commission Delegat ed Regulation (EU) 2019/934, including subsequent 
modifications.  
 
Laws and regulations of the Union:  
 
 Laws and regulations referred to in Article 2(2) concerning:  
 
a) product definitions:  
(i) Regulation (EU) No 1308/2013 of the European Parliament and of the Co uncil115, 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;  
(ii) Commission Delegated Regul ation (EU) 2019/33116, in particular Articles 47, 52 to 54 
and Annexes III, V and VI to that Regulation, including subsequent modifications;  
                                                            
114  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.  
115  Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 
establishing a common organisation of th e 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 L 347, 
20.12.2013, p. 671).  
116  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, am endments to product specifications, cancellation of protection, and 
labelling and presentation (OJ L 9, 11.1.2019, p. 2).  
 
544 
 (iii) Regulation (EU) No 1169/2011 of the European Parliament and of the Council117, 
including subsequent modifications.  
 
a) oenological practices and restrictions:  
(i) 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 modificatio ns; 
(ii) Commission Delegated Regulation (EU) 2019/934118, including subsequent 
modifications.  
  
                                                            
117  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 L 304, 22.11.2011, p. 18).  
118  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 produc ts, the minimum percentage of alcohol for by -products 
and their disposal, and publication of OIV files (OJ L 149, 7.6.2019, p. 1).  
 
545 
 APPENDIX B – ADDITIONAL OENOLOGICAL PRACTICES AND RESTRICTIONS JOINTLY ACCEPTED BY THE 
PARTIES  
(1)  Concentrated grape must, rectified concentrated grape must and suc rose 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 o f 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 l imited 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.  
 
  
 
546 
  
APPENDIX 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 TBT-5: Trade in Wine 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 pro ducer 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  
 
  
 
547 
  
(1) In accordance with Article 3(1) of Annex TBT -5: Trade in Wine 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 . 
(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 mean of transport 
(name of ship, number of flight, etc.)  
(5) Indicate the following information:  
 sale designation, as it appears on the label,  
 name of producer,  
 wine -growing region,  
 name of the country of production (one of the Member States of the European Union, or the 
United Kingdom),  
 name of the GI, if relevant,  
 total alcoholic strength by volume,  
 colour of the product (state ‘red’, ‘rosé’, ‘pink’ or ‘white’ only),  
 Combined Nomenclature code (CN code).  
(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 
Membe r States of the European Union or in the United Kingdom.  
(8) Indicate full name, address and contact details of the consignor.  
(9) Indicate:  
 For the European Union: the System of Exchange of Excise Data (SEED) excise number, or 
VAT number in case the consignor has  no SEED number, or reference to the number in the 
list or register provided for in Article 8(3) of Commission Delegated Regulation (EU) 
2018/273119; 
 For the United Kingdom: the System of Exchange of Excise Data (SEED) excise number, or 
VAT number in case th e consignor has no SEED number, or reference to the WSB number.   
                                                            
119  Commission Delegated Regulation (EU) 2018/273 of 11 December 2017 supplementing Regulation (EU) No 
1308/2013 of the Europe an 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 notifie d 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 L 58, 28.2.2018, p. 1).  
 
548 
 ANNEX TBT -XX – ARRANGEMENT REFERRED TO IN ARTICLE TBT.9(4) FOR THE REGULAR EXCHANGE 
OF INFORMATION IN RELATION TO THE SAFETY OF NON -FOOD PRODUCTS AND RELATED 
PREVENTIVE, RESTRICTIVE AND CORRE CTIVE 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 TBT.9(8), 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.]  
  
 
549 
 ANNEX TBT -ZZ – ARRANGEMENT REFERRED TO IN ARTICLE TBT.9(5) FOR THE REGULAR EXCHANGE 
OF INFORMATION REGARDING MEASURES TAKEN ON NON -COMPLIANT NON -FOOD PRODUCTS, 
OTHER THAN THOSE COVERED BY ARTICLE T BT.9(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 TBT.9(4 ).   
In accordance with Article TBT.9(8), 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.]   
 
550 
 ANNEX CUSTMS -1: AUTHORISED ECONOMI C OPERATORS  
Article 1 Criteria for and treatment of Authorised Economic Operators  
1. The specified criteria for qualification as an Authorised Economic Operator ("AEO") referred to in 
Article CUSTMS.9 [Authorised Economic Operators] of this Agreement, shall be established by the 
Parties’ laws, regulations or procedures. The specified criteria, which shall be published, shall 
include:  
(a) the absence of any serious infringement or repeated infringements of customs legislation and 
taxation rules, includin g no record of serious criminal offences relating to the economic activity of 
the applicant;  
(b) 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 an d, where appropriate, transport 
records, which allows appropriate customs controls;  
(c) 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  
(d) 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.  
2. The s pecified criteria for qualification as an AEO shall not be designed or applied so as to afford or 
create arbitrary or unjustifiable discrimination between operators where the same conditions 
prevail. Those criteria shall allow small and medium -sized enterp rises to qualify as AEOs.  
3. The trade partnership programme referred to in Article CUSTMS.9 [Authorised Economic 
Operators] of this Agreement shall include the following treatment:  
 (a) taking the AEO status granted by the other Party favourably into acco unt in its risk assessment to 
reduce inspections or controls and in other security and safety -related measures;  
(b) giving priority to the inspection of consignments covered by exit or entry summary declarations 
lodged by an AEO, if the customs authority d ecides to proceed with an inspection;  
 (c) 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 Prog ramme; and  
(d) 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 whe re priority cargos related to AEOs could be 
facilitated and expedited to the extent possible by the customs authorities of the Parties.  
 
551 
 Article 2 Mutual recognition and responsibility for implementation  
1. AEO Status under the trade partnership programmes  of the Union and the United Kingdom are 
recognised to be compatible, and holders of the AEO status granted under each programme  shall be 
treated in a manner consistent with Article 4.  
2. The trade partnership programmes concerned are:  
a) The European Unio n Authorised Economic operator (security and safety). (point (b) of Article 
38(2) UCC); and  
b) The United Kingdom Authorised Economic Operator programme (safety and security) (sub -
paragraph (b) of Article 38(2) UCC, as retained in United Kingdom domestic l aw.)  
3. The customs authorities, as defined in Article OTH.1(b) [Definitions] (”customs authorities”), are 
responsible for the implementation of the provisions in this Annex.  
Article 3 Compatibility  
1. The Parties shall cooperate to maintain compatibility of the standards applied to each of their 
trade partnership programmes with respect to the following matters:  
(a) the application process for granting the AEO status to operators;  
(b) the assessment of AEO status applications;  
(c) the granting of the AEO s tatus; and  
(d) 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.  
2. The Parties shall comple te a joint work programme setting out a minimum number of joint 
validations of holders of the AEO status granted under each trade partnership programme that must 
be completed by the end of 2021, at the latest.  
3. The Parties shall ensure that their trade p artnership programmes operate within the relevant 
standards of the SAFE Framework.  
Article 4 Treatment of status holders  
1. Each Party shall provide comparable treatment to that given to AEOs under the other Party’s 
trade partnership programme. This treatm ent shall include in particular the treatment set out in 
paragraph 3 of Article 1.  
2. Each Party may suspend the treatment referred to in paragraph 3 of Article 1 to an AEO under the 
other Party’s trade partnership programme under this Agreement if that AE O ceases to comply with 
the legal requirements. Such suspension shall be promptly communicated to the other customs 
authority together with any additional information regarding the basis for suspension, as 
appropriate.  
 
552 
 3. Each Party shall promptly inform t he other Party in cases where it identifies any irregularity 
committed by an AEO authorised by the other customs authority to allow it to take an informed 
decision on the possible revocation or suspension of the membership of the operator concerned.  
Artic le 5 Exchange of information and communication  
1.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:  
(a) providing updates on the operation and development of their trade partnership programmes in a 
timely manner;  
(b) engaging in mutually beneficial exchanges of information regarding supply chain security;  
(c) designating the  contact points for their respective trade partnership programmes and providing 
the contact details for those contact points to the other Party; and  
(d) facilitating effective inter -agency communication between the European Commission’s  
Directorate -Genera l 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.  
2. Information and related data shall  be exchanged in a systematic manner by electronic means.  
3.The data to be exchanged regarding AEOs shall include:  
(a) name;  
(b) address;  
(c) status of membership;  
(d) validation or authorisation date;  
(e) suspensions and revocations;  
(f) the unique author isation or identification number (in a form mutually determined by the customs 
authorities); and  
(g) 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.  
4. The Parties shall use their best endeavours to establish, within six months of entry into force of 
this Agreement, an arrangement for fully automated exchange of the data referred to in parag raph 
3, and in any event shall implement such an arrangement no later than one year after the entry into 
force of this Agreement.  
 
553 
  Article 6 Treatment of data  
Any exchange of information between the Parties under this Annex shall be mutatis mutandis  
subje ct to the confidentiality and protection of information set out in Article 12 [Information 
exchange and confidentiality] of the Protocol on Mutual Administrative Assistance in Customs 
matters.  
 
Article 7 Consultation and Review  
The Trade Specialised Commit tee on Customs Cooperation and Rules of Origin shall review the 
implementation of the provisions of this Annex regularly. That review shall include:  
(a) joint validations of AEOs granted status by each Party to identify strengths and weaknesses in 
implemen ting this Annex;  
(b) exchanges of views on data to be shared and treatment of operators.  
Article 8 Suspension and discontinuation  
1. A Party may pursue the procedure set out in paragraph 2 in the event that either of the 
following circumstances arise:  
a) 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 paragraph 2 of Article 2 that 
were assessed in order to establish that the trade partnership programmes are  
compatible,  such that the compatibility required for recognition under paragraph 1 of 
Article 2 has ceased to exist;  
b) The provisions under paragraph 2 of Article 5 [Exchange of information and 
communication] are not operational.  
2. In the event that either o f the circumstances set out in points (a) or (b) of paragraph 1 arise, a 
Party may suspend the recognition provided for in paragraph 1 of Article 2 [ Mutual recognition 
and responsibility for implementation]  60 days after notifying the other Party of their intention.  
3. Where a party gives notice of its intention to suspend the recognition provided for in paragraph 
1 of Article 2 [ Mutual recognition and responsibility for implementation]  in accordance with 
paragraph 2 of this Article, the other Party may reque st consultations in the Trade Specialised 
Committee on Customs Cooperation and Rules of Origin. These consultations shall be held 
within 60 days of the request.  
4. A Party may pursue the procedure set out in paragraph 5 in the event that either of the 
follow ing circumstances arise:  
a) The other Party changes its AEO programme or its implementation of this programme 
such that the compatibility required for recognition under paragraph 1 of Article 2 
[Mutual recognition and responsibility for implementation ] has c eased to exist;  
b) The joint validations provided for in paragraph 2 of Article 3 [Compatibility] do not 
confirm the compatibility of the Parties’ respective AEO programmes.  
 
554 
 5. In the event that either of the circumstances set out in points (a) or (b) of paragra ph 4 arise, a 
Party may request consultations with the other Party in the framework of the Trade Specialised 
Committee on Customs Cooperation and Rules of Origin. These consultations shall be held 
within 60 days from the request. If 90 days after the reque st a Party still considers that the 
compatibility required for recognition under paragraph 1 of Article 2 [ Mutual recognition and 
responsibility for implementation]  has ceased to exist, it may notify the other Party of its 
intention to suspend recognition of its programme. Suspension shall take effect 30 days after 
notification.  
 
  
 
555 
 ANNEX SERVIN -1: EXISTING MEASURES  
Headnotes  
1.  The Schedules of the United Kingdom and the Union set out, under Article SERVIN 2.7 [Non -
conforming measures – Investment liberalisation], Article SERVIN.3.6 [Non -conforming measures – 
Cross -border trade in services], and Article SERVIN 5.50 [Non -conforming measures – Legal services] 
the reservations taken by the United Kingdom and the Un ion with respect to existing measures that 
do not conform with obligations imposed by:  
(a) Articles SERVIN.2.2 [Market access – Investment liberalisation] or SERVIN.3.2 [Market 
access - Cross -border trade in services];  
(b) Article SERVIN.3.3 [Local presence – Cross -border trade in services;  
(c) Articles SERVIN.2.3 [National treatment – Investment liberalisation] or SERVIN .3.4 
[National treatment - Cross -border trade in services];  
(d) Articles SERVIN.2.4 [Most -favoured -nation treatment – Investment liberalisation], or 
SERVIN .3.5 [Most -favoured -nation treatment - Cross -border trade in services];  
(e) Article SERVIN.2.5 [Senior management and boards of directors];  
(f) Article SERVIN.2.6 [Performance requirements]; or  
(g) Article SERVIN.5.49 [Obligations – Legal services].  
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:  
(a) "sector" refers to the general sector in which the reservation is taken;  
(b) "sub -sector" refers to the specific sect or in which the reservation is taken;  
(c) "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;  
(d) "type of reservation" specifi es the obligation referred to in paragraph 1 for which a 
reservation is taken;  
(e) "level of government" indicates the level of government maintaining the measure for 
which a reservation is taken;  
(f) "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:  
(i) means the measure as amended, continued or renewed as of the date of entry 
into force of this Agreement;  
(ii) includes any subordina te measure adopted or maintained under the authority of 
and consistent with the measure; and  
 
556 
 (iii) in respect of the schedule of the European Union, includes any laws or other 
measures which implement a directive at Member State level; and  
(g) "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 measu re 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 Article SERVIN.2.7(1)(c) [Non -conforming measures – 
Investment liberalisation]; Article SERVIN.3.6(1)(c) [Non -conforming measures – Cross -border trade 
in services]; Article 4.5(c) [Non -conforming measures – Entry and temporary stay of natural persons 
for business purposes] and Article SERVIN.5.50 [Non -conforming measures – Legal services].  
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 oblig ations 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:  
(a) “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;  
(b) “CPC” means the Provisional Central Product Classification (Statistical Papers, S eries 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 SERVIN 3.3 [Local presence], and not against Article SERVIN 3.2 [Market access] or 
SERVIN 3.4 [National treatment]. Furthermore, such a requirement is not taken as a rese rvation 
against Article SERVIN 2.3 [National treatment].   
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 gov ernment 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 Fi nland 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 qua lification 
requirements and procedures, technical standards and licensing requirements and procedures 
where they do not constitute a limitation within the meaning of Article SERVIN.2.2 [Market access – 
Investment liberalisation], Article SERVIN.2.3 [Nation al treatment – Investment liberalisation], 
Article SERVIN.3.2 [Market access – Cross -border trade in services], Article SERVIN.3.3 [Local 
presence – Cross -border trade in services], Article SERVIN.3.4 [National treatment – Cross -border 
 
557 
 trade in services] o r Article SERVIN 5.49 [Obligations – Legal services]. 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 requiremen ts that certain activities may not be car ried 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:  
(i) natural persons or residents of another Member State; or  
(ii) legal persons constituted or organised under the law of another Membe r 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 (incl uding, 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 [I nvestment 
liberalisation] of Title II [Services and investment] of Heading One [Trade] of Part Two [Trade, 
transport and fisheries], which may have been imposed on such legal person when it was 
established in that other Party, and which shall continue to a pply.  
12.  The schedules apply only to the territories of the United Kingdom and the Union in 
accordance with Article FINPROV.1[Territorial scope] and Article OTH.9(2) [Geographical scope] and 
are only relevant in the context of trade relations between th e 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 mean ing of Articles SERVIN. 2.2 [Market access – Investment liberalisation], 
SERVIN.3.2 [Market access – Cross -border trade in services], or Article SERVIN.5.49 [Obligations – 
Legal services] for  any measure:   
(a) requiring the separation of the ownership of infra structure 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;  
(b) restricting the concentration of ownership to ensure fair com petition;  
(c) 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;  
(d) limiting the number of authorisations granted because of technical or physical 
constraints, for example telecommunications spectra and frequencies; or  
 
558 
 (e) 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, wit h 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 
requir ements 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 capi talisation, 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 Czech Republic  
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  
 
 
  
 
559 
 Schedule of the Union  
Reservation No. 1 - All sectors  
Reservation No. 2 - Professional services (except health -related professions)  
Reservation No. 3 - Professional services (health related and retail of pharmaceuticals)  
Reservation No. 4 - Research and development services  
Reservation No. 5 - Real estate services  
Reservation No. 6 - Business service s 
Reservation No. 7 - Communication services  
Reservation No. 8 - Construction Services  
Reservation No. 9 - Distribution services  
Reservation No. 10 - Education services  
Reservation No. 11 - Environmental services  
Reservation No. 12 – Financial Services  
Reservation No. 13 - Health services and social services  
Reservation No. 14 - Tourism and travel related services  
Reservation No. 15 - Recreational, cultural and sporting services  
Reservation No. 16 - Transport services and services auxiliary to transport services  
Reservation No. 17 - Energy related activities  
Reservation No. 18 - Agriculture, fishing and manufacturing  
 
  
 
560 
 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:  
The EU: Treatment granted pursuant to the Treaty on the  Functioning of the European Union to legal 
persons formed in accordance with the law of the Union or of a Member State and having their 
registered office, central administration or principal place of business within the Union, including 
those established in the Union by investors of the United Kingdom, is not accorded to legal persons 
established outside the Union, nor to branches or representative offices of such legal persons, 
including to branches or representative offices of legal persons of the United  Kingdom.  
Treatment less favourable may be accorded to legal persons formed in accordance with the law of 
the European 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 an d continuous link with the economy of one 
of the Member States.  
Measures:  
EU: Treaty on the Functioning of the European Union.  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors:  
This reservation applies only to health, social or education services:   
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 exi sting 
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 result ing enterprise, with respect to investors of the 
United Kingdom or their enterprises. With respect to such a sale or other disposition, any Member 
 
561 
 State may adopt or maintain any measure relating to the nationality of senior management or 
members of the bo ards of directors, as well as any measure limiting the number of suppliers.  
For the purposes of this reservation:  
(i) 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, p rohibits 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  
(ii) "state en terprise" 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 interest s in, or the assets of, an existing state enterprise or governmental entity.  
Measures:  
EU: As set out in the description element as indicated above.  
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 Bu lgarian 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 priv ate 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 w hose 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 tre atment; Cross -border trade in services – 
Market access and Regulatory framework for Legal services – Obligations:  
In FI: At least one of the partners in a general partnership or of general partners in a limited 
partnership needs to have residency in the EE A or, if the partner is a legal person, be domiciled (no 
branches allowed) in the EEA. Exemptions may be granted by the registration authority.  
 
562 
 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 an d 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 commerci al 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, wh o 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 e xemptions 
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 appointin g 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, th e 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 natu ral 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:  
AT: Aktiengesetz, BGBL. Nr. 98/1965, § 254 (2);  
GmbH -Gesetz, RGBL. Nr. 58/1906, § 107 (2); and Gewerbeordnung, BGBL. Nr. 194/1994, § 39 (2a).  
BG: Commercial Law, Article 17a; and  
Law for Encouragement of Investments, Article 24.  
EE: Äriseadustik (Commercial Code) § 631 (1, 2 and 4).  
FI: Laki elinkeinon harjoittamisen oikeudesta (Act on the Right to Carry on a Trade) (122/1919), s. 1;  
Osuuskuntalaki (Co -Operatives Act) 1488/2001;  
Osakeyhtiölaki (Limited Liabilities Company Act) (624 /2006); and  
 
563 
 Laki luottolaitostoiminnasta (Act on Credit Institutions) (121/2007).  
SE: Lag om utländska filialer m.m (Foreign Branch Offices Act) (1992:160);  
Aktiebolagslagen (Companies Act) (2005:551);  
The Co -operative Economic Associations Act (2018:6 72); and Act on European Economic Interest 
Groupings (1994:1927).  
SK: Act 513/1991 on Commercial Code (Article 21); Act 455/1991 on Trade Licensing; and  
Act no 404/2011 on Residence of Aliens (Articles 22 and 32).  
With respect to Investment liberalisation – Market Access, National Treatment, Performance 
requirements and Regulatory framework for Legal services – Obligations:  
In BG: Established enterprises may employ third country nationals only for positions for whi ch there 
is no requirement for Bulgarian nationality. The total number of third country nationals employed by 
an established enterprise over a period of the preceding 12 months must not exceed 20 percent (35 
percent for small and medium -sized enterprises) of the average number of Bulgarian nationals, 
nationals of other Member States, of states parties to the Agreement on the EEA or of the Swiss 
Confederation hired on an employment contract. In addition, the employer must demonstrate that 
there is no suitabl e Bulgarian, EU, EEA or Swiss worker for the respective position by conducting a 
labour market test before employing a third country national.  
For highly qualified, seasonal and posted workers, as well as for intra -corporate transferees, 
researchers and s tudents 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:  
BG: Labour Migration and Labour Mobil ity Act.  
With respect to Investment liberalisation – Market access, National treatment:  
In PL: The scope of operations of a representative office may only encompass advertising and 
promotion of the foreign parent company represented by the office. For al l sectors except legal 
services, establishment by non -European Union investors and their enterprises may only be in the 
form of a limited partnership, limited joint -stock partnership, limited liability company, and joint -
stock company, while domestic inves tors and enterprises have access also to the forms of non -
commercial partnership companies (general partnership and unlimited liability partnership).  
Measures:  
PL: Act of 6 March 2018 on rules regarding economic activity of foreign entrepreneurs and othe r 
foreign persons in the territory of the Republic of Poland.  
(b) Acquisition of real estate  
With respect to Investment liberalisation – National treatment:  
 
564 
 In AT (applies to the regional level of government): The acquisition, purchase and rental or leasing of 
real estate by non -European Union natural persons and enterprises requires authorisation by the 
competent regional authorities (Länder). Authorisation will o nly be granted if the acquisition is 
considered to be in the public (in particular economic, social and cultural) interest.  
In CY: Cypriots or persons of Cypriot origin, as well as nationals of a Member State, are allowed to 
acquire any property in Cyprus  without restrictions. A foreigner shall not acquire, otherwise than 
mortis causa , any immovable property without obtaining a permit from the Council of Ministers. For 
foreigners, where the acquisition of immovable property exceeds the extent necessary for  the 
erection of a premises for a house or professional roof, or otherwise exceeds the extent of two 
donums (2,676 square meter), any permit granted by the Council of Ministers shall be subject to 
such terms, limitations, conditions and criteria which are set by Regulations made by the Council of 
Ministers and approved by the House of Representatives. A foreigner is any person who is not a 
citizen of the Republic of Cyprus, including a foreign controlled company. The term does not include 
foreigners of Cypr iot origin or non -Cypriot spouses of citizens of the Republic of Cyprus.  
In CZ: Specific rules apply to agricultural land under state ownership. State agricultural land can be 
acquired only by Czech nationals, nationals of another Member State, or states parties to the 
Agreement on the EEA or the Swiss Confederation. Legal persons can acquire state agriculture land 
from the state only if they are agricultural entrepreneurs in the Czech Republic or persons with 
similar status in other Member State of the Eu ropean Union, or states parties to the Agreement on 
the EEA or the Swiss Confederation.  
In DK: Natural persons who are not resident in Denmark, and who have not previously been resident 
in Denmark for a total period of five years, must in accordance with t he Danish Acquisition Act 
obtain permission from the Ministry of Justice to acquire title to real property in Denmark. This also 
applies for legal persons that are not registered in Denmark. For natural persons, acquisition of real 
property will be permitt ed if the applicant is going to use the real property as his or her primary 
residence.  
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 a ctivities 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 particu lar 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 m eans 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 fr om an OECD Member State has the right to acquire an immovable which 
contains:  
i. less than ten hectares of agricultural land, forest land or agricultural and forest land in total 
without restrictions.  
 
565 
 ii. ten hectares or more of agricultural land if the legal p erson 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 fisher y products and cotton (hereinafter agricultural product).  
iii. 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 managem ent within the meaning of the Forest Act (hereinafter forest management) or 
production of agricultural products.  
iv. less than ten hectares of agricultural land and less than ten hectares of forest land, but ten 
hectares or more of agricultural and forest lan d 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 re quirements 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 
governmen t 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 Def ense 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 Croa tia 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 Financ e) 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 forei gners 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 Mini ster of Agriculture and Rural Development.  
Measures:  
AT: Burgenländisches Grundverkehrsgesetz, LGBL. Nr. 25/2007;  
Kärntner Grundverkehrsgesetz, LGBL. Nr. 9/2004;  
NÖ- Grundverkehrsgesetz, LGBL. 6800;  
 
566 
 OÖ- Grundverkehrsgesetz, LGBL. Nr. 88/1994;  
Salzburger Grundverkehrsgesetz, LGBL. Nr. 9/2002;  
Steiermärkisches Grundverkehrsgesetz, LGBL. Nr. 134/1993;  
Tiroler Grundverkehrsgesetz, LGBL. Nr. 61/1996; Voralberger Grundverkehrsgesetz, LGBL. Nr. 
42/2004; and  
Wiener Ausländergrundverkehrsgesetz, LGBL . Nr. 11/1998.  
CY: Immovable Property Acquisition (Aliens) Law (Chapter 109), as amended.  
CZ: Act No. 503/2012, Coll. on State Land Office as amended.  
DK: Danish Act on Acquisition of Real Property (Consolidation Act No. 265 of  
21 March 2014 on Acquisi tion of Real Property);  
Acquisition Executive Order (Executive Order No. 764 of 18 September 1995); and The Agricultural 
Holdings Act (Consolidation Act No. 27 of 4 January 2017).  
EE: Kinnisasja omandamise kitsendamise seadus (Restrictions on Acquisition of Immovables Act) 
Chapter 2 § 4, Chapter 3§ 10, 2017.  
EL: Law 1892/1990, as it stands today, in combination, as far as the application is concerned, with 
the ministerial decision F.110/3/330340/S.120/7 -4-14 of the Minister of National Defense and the 
Minister of Citizen Protection.   
HR: Ownership and other Proprietary Rights Act (OG 91/96, 68/98, 137/99, 22/00, 73/00, 129/00, 
114/01, 79/06, 141/06, 146/08, 38/09, 143/12, 152/14), Articles 354 to 358.b; Agricultural Land Act 
(OG 20/18, 115/18, 98/19) Arti cle 2; General Administrative Procedure Act.  
MT: Immovable Property (Acquisition by Non -Residents) Act (Cap. 246); and Protocol No 6 of the EU 
Accession Treaty on the acquisition of secondary residences in Malta.  
PL: Law of 24th March 1920 on the Acquisit ion of Real Estate by Foreigners (Journal of Laws of 2016, 
item 1061 as amended).  
With respect to Investment liberalisation – Market access, National treatment:  
In HU: The purchase of real estate by non -residents is subject to obtaining authorisation fro m the 
appropriate administrative authority responsible for the geographical location of the property.  
Measures:  
HU: Government Decree No. 251/2014 (X. 2.) on the Acquisition by Foreign Nationals of  
Real Estate other than Land Used for Agricultural or Fo restry Purposes; and Act LXXVIII of 1993 
(Paragraph 1/A).  
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation treatment:  
 
567 
 In LV: Acquisition of urban land by nationals of the United Kingdom is permitted through legal 
persons registered in Latvia or other Member States:  
(i) 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;  
(ii) 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;  
(iii) 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;  
(iv)  if more than 50 per cent of their equity capital is possessed jointly by persons referred to in 
points (i) to (iii); or  
(v) 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:  
LV: Law on land reform in the cities of the Republic of Latvia, Section 20 and 21.  
With respect to Investment liberalisation - National treatment, Most -favoured -nation treatment:  
In DE: Certain conditions of reciprocity may apply for the acquisition of real estate.  
In ES: Foreign investment in activities directly relating to real estate investments for diplomatic 
missions by states that are not Member States requires an administrative  authorisation from the 
Spanish Council of Ministers, unless there is a reciprocal liberalisation agreement in place.  
In RO: Foreign nationals, stateless persons and legal persons (other than nationals and legal persons 
of a Member State of the EEA) may a cquire property rights over lands, under the conditions 
regulated by international treaties, based on reciprocity. Foreign nationals, stateless persons and 
legal persons may not acquire the property right over lands under more favourable conditions than 
those applicable to natural or legal persons of the European Union.  
Measures:  
DE: Einführungsgesetz zum Bürgerlichen Gesetzbuche (EGBGB; Introductory Law to the Civil Code).  
ES: Royal Decree 664/1999 of 23 April 1999 relating to foreign investment.  
 
568 
 RO: Law 17/2014 on some measures regulating the selling -buying agricultural land situated outside 
town and amending; and  
Law No 268/2001 on the privatization of companies that own land in public ownership and private 
management of the state for agricultural and  establishing the State Domains Agency, with 
subsequent amendments.  
  
 
569 
 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 liberalis ation; 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)120  
                                                            
120 For the purposes of this reservation:  
(a) "host -jurisdiction law " means the law of the specific Member State and European Union law;  
"hom e-jurisdiction law " means the law of the United Kingdom;  
(b) "international law " means public international law with the exception of European Union law, and 
includes law established by international treaties and conventions, as well as international custo mary law;  
(c) "legal advisory services " includes provision of advice to and consultation with clients in matters, 
including transactions, relationships and disputes, involving the application or interpretation of law; 
participation with or on behalf of cli ents in negotiations and other dealings with third parties in such matters; 
and preparation of documents governed in whole or in part by law, and the verification of documents of any 
kind for purposes of and in accordance with the requirements of law;  
(d) "legal representational services " includes preparation of documents intended to be submitted to 
administrative agencies, the courts or other duly constituted official tribunals; and appearance before 
administrative agencies, the courts or other duly consti tuted official tribunals;  
(e) "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 app lication 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 in clude acting as an arbitrator, conciliator or mediator. As a sub -
 
570 
 With respect to Investment liberalisation – Market  access – and Regulatory framework for 
LegalsServices – 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 a dvisory, arbitration, conciliation and mediation services with regard to home -jurisdiction 
and international law governed by Section 7 [Legal services] of Chapter 5 [Regulatory framework] 
of Title II of Heading One [Trade] of Part Two (Trade, transport and  fisheries]  
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 cer tain 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:  
In AT:  
EEA or Swiss nationality as well as res idency (commercial presence) is required for the practice of 
legal services in respect of host jurisdiction (Union and Member State) law, including representation 
before courts. Only lawyers of EEA or Swiss nationality are allowed to provide legal services  through 
commercial presence. The practice of legal services in respect of public international law and home -
jurisdiction law is only allowed on a cross -border basis.  
Equity participation and shares in the operating result of any law firm by foreign lawyer s (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 f ully 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.  
                                                                                                                                                                                         
category, international legal arbitration, conciliation or mediation services refers to the same services when 
the dispute involves parties from two or more countries.  
 
571 
 In Bulgaria, ful l 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 fore ign 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 Denm ark. 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 w ho 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 t he 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 tak e 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 mediat or 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 r equired 
training  and pass the final assessment and admission exam.   
 
572 
 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 law yer 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 Swed ish 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 law in a foreign country 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 activi ties 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 jurisd iction 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:  
In EU: Representa tion of natural or legal persons before the European Union Intellectual Property 
Office (EUIPO) may only be undertaken by a legal practitioner qualified in one of the Member States 
of the EEA and having their place of business within the EEA, to the extent  that they are entitled, 
within the said Member State, to act as a representative in trade mark matters or in industrial 
property matters and by professional representatives whose names appear on the list maintained 
for this purpose by the EUIPO. (Part of CPC 861)  
 
573 
 In AT: EEA or Swiss nationality as well as residency (commercial presence) is required for the practice 
of legal services in respect of host jurisdiction (Union and Member State) law, including 
representation before courts. Only lawyers of EEA or Swiss nationality are allowed to provide legal 
services through commercial presence. The practice of legal services in respect of public 
international law and home -jurisdiction law is only allowed on a cross -border basis.  
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 influenc e 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 obtai n 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 inter national 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 Tab leau 
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 b efore "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 o f 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 
Bulgari an 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. Coun tries, 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 pe rmanent 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 q ualification 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 oth er 
 
574 
 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 
repre sentation 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 require ments, 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 collecti vely 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 par ent 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 requi red.  
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 reser vation 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 (soc iété 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.  
 
575 
 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 natio nality 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, participatio n 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 la wyers 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 i n 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 La w 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 membe r 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 prac tice of an advocate. 
Collaboration with other advocate businesses is permitted, however, collaboration with foreign 
 
576 
 businesses requires permission by the Board of the Swedish Bar Association. Only a Bar member 
may directly or indirectly, or through a compa ny, 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 respec t 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 o r 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 a ppointed 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 prac tice 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 -jurisdicti on law, 
including representation before courts. For non -EU lawyers actual reciprocity is required.  
Measures:  
EU: Regulation (EU) 2017/1001 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 14 June 
2017 on the European Union trademark, Article 120; COUNCIL  REGULATION (EC) No 6/2002 of 12 
December 2001 on Community designs, Article 78 .  
AT: Rechtsanwaltsordnung (Lawyers Act) - RAO, RGBl. Nr. 96/1868, Articles 1 and 21c.  
BE: Belgian Judicial Code (Articles 428 -508); Royal Decree of 24 August 1970.  
BG: Attor ney Law; Law for Mediation; and Law for the Notaries and Notarial Activity.  
CY: Advocates Law (Chapter 2), as amended.  
CZ: Act No. 85/1996 Coll., the Legal Profession Act.  
DE: § 59e, § 59f, § 206 Bundesrechtsanwaltsordnung (BRAO; Federal Lawyers Act);  
Gesetz über die Tätigkeit europäischer Rechtsanwälte in Deutschland (EuRAG); and § 10 
Rechtsdienstleistungsgesetz (RDG).  
DK: Retsplejeloven (Administration of Justice Act) chapters 12 and 13 (Consolidated Act No. 1284 of 
14 November 2018).  
EE: Advokatuur iseadus (Bar Association Act); Tsiviilkohtumenetluse seadustik (Code of Civil 
Procedure); halduskohtumenetluse seadustik (Code of Administrative Court Procedure); 
kriminaalmenetluse seadustik (Code of Criminal Procedure); and väärteomenetluse seadustik (Co de 
of Misdemeanour Procedure).  
EL: New Lawyers' Code n. 4194/2013.  
 
577 
 ES: Estatuto General de la Abogacía Española, aprobado por Real Decreto 658/2001, Article 13.1ª.  
FI: Laki asianajajista (Advocates Act) (496/1958), ss. 1 and 3; and Oikeudenkäymiskaari ( 4/1734) 
(Code of Judicial Procedure).  
FR: Loi 71 -1130 du 31 décembre 1971, Loi 90 - 1259 du 31 décembre 1990, décret 91 -1197 du 27 
novembre 1991, and Ordonnance du 10 septembre 1817 modifiée.  
HR: Legal Profession Act (OG 9/94, 117/08, 75/09, 18/11).  
HU: ACT LXXVIII of 2017 on the professional activities of Attorneys at Law.  
LT: Law on the Bar of the Republic of Lithuania of 18 March 2004 No. IX -2066 as last amended on 12 
December 2017 by law No XIII -571.  
LU: Loi du 16 décembre 2011 modifiant la loi du 10 août 1991 sur la profession d'avocat.  
LV: Criminal Procedure Law, s. 79; and Advocacy Law of the Republic of Latvia, s. 4.  
MT: Code of Organisation and Civil Procedure (Cap. 12).  
NL: Advocatenwet (Act on Advocates).  
PT: Law 145/2015, 9 set., alterada p/ Lei 23/2020, 6 jul. (art.º 194 substituído p/ art.º 201.º; e art.º 
203.º substituído p/ art.º 213.º).   
Portuguese Bar Statute (Estatuto da Ordem dos Advogados) and Decree -Law 229/2004, Articles 5, 7 
– 9;  
Decree -law 88/2003, Articles 77 and 102;  
Solicitadores Public Professional Association Statute (Estatuto da Câmara dos Solicitadores), as 
amended by Law 49/2004, mas alterada p/ Lei 154/2015, 14 set; by Law 14/2006 and by Decree -Law 
n.º 226/2008 alterado p/ Lei 41/2013, 26 jun;  
Law 78/2001, Articles 31, 4  Alterada p/ Lei 54/2013, 31 jul.;  
Regulation of family and labour mediation (Ordinance 282/2010), alterada p/ Portaria 283/2018, 19 
out;  
Law 21/2007 on criminal mediation, Article 12;  
Law 22/2013, 26 f ev., alterada p/ Lei 17/2017, 16 maio, alterada pelo Decreto -Lei 52/2019, 17 abril.  
RO: Attorney Law;  
Law for Mediation; and  
Law for the Notaries and the Notarial Activity.  
SE: Rättegångsbalken (The Swedish Code of Judicial Procedure) (1942:740); and S wedish Bar 
Association Code of Conduct adopted 29 August 2008.  
 
578 
 SI: Zakon o odvetništvu (Neuradno prečiščeno besedilo -ZOdv -NPB2 Državnega Zbora RS z dne 
21.5.2009 (Attorneys Act) unofficial consolidated text prepared by the Slovenian parliament from 21 
5.2009).  
SK: Act 586/2003 on Advocacy, Articles 2 and 12.  
With respect to Investment liberalisation - Market access, National treatment:  
In PL: Foreign lawyers may establish only in the form of a registered partnership, a limited 
partnership or a limited joint -stock partnership.  
Measures:  
PL: Act of 5 July 2002 on the provision by foreign lawyers of legal assistance in the Republic of 
Poland, Article 19.  
With respect to Cross -Border Trade in Services – Market access  
In IE, IT: Residency (commercial presence) is required for the practice of legal services in respect of 
host -jurisdiction law, including representation before courts.  
Measures:  
IE: Solicitors Acts 1954 -2011.  
IT: Royal Decree 1578/1933, Article 17 law on the legal profession.  
(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:  
In BG, and CY: EEA or Swiss nationality is required for the practice of patent agency services. In CY, 
residency is required.  
In DE: Only patent lawyers having German qua lifications may be admitted to the Bar and are thus 
entitled to provide patent agent services in Germany in domestic law. Foreign patent lawyers can 
offer legal services in foreign law when they prove expert knowledge, registration is required for 
legal se rvices in Germany. Foreign (other than EEA and Swiss qualification) patent lawyers may not 
establish a firm together with national patent lawyers.  
Foreign (other than EEA and Swiss) patent lawyers may have their commercial presence only in the 
form of a P atentanwalts -GmbH or Patentanwalt -AG and may only acquire 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 
 
579 
 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:  
In FI and HU: EEA residency is required for the practice of patent agency services.  
In SI: Residency in Slovenia is required for a holder/applicant of registered rights (patents, 
trademarks, design protection). Alternatively, a patent agent or a trademark and design agent 
registered in Slovenia is required for t he main purpose of services of process, notification, etc.  
Measures:  
BG: Article 4 of the Ordinance for Representatives regarding Intellectual Property.  
CY: Advocates Law (Chapter 2), as amended.  
DE: Patentanwaltsordnung (PAO).  
EE: Patendivoliniku sead us (Patent Agents Act) § 2, § 14.  
ES: Ley 11/1986, de 20 de marzo, de Patentes de Invención y Modelos de utilidad, Articles 155 -157.  
FI: Tavaramerkkilaki (Trademarks Act) (7/1964);  
Laki auktorisoiduista teollisoikeusasiamiehistä (Act on Authorised Indus trial Property Attorneys) 
(22/2014); and  
Laki kasvinjalostajanoikeudesta (Plant Breeder's Right Act) 1279/2009; and Mallioikeuslaki 
(Registered Designs Act) 221/1971.  
FR: Code de la propriété intellectuelle  
HU: Act XXXII of 1995 on Patent Attorneys.  
PT: Decree -Law 15/95, as modified by Law 17/2010, by Portaria 1200/2010, Article 5, and by Portaria 
239/2013; and Law 9/2009.  
SI: Zakon o industrijski lastnini (Industrial Property Act), Uradni list RS, št. 51/06 – uradno prečiščeno 
besedilo in 100/13 (Official Gazette of the Republic of Slovenia, No. 51/06 – official consolidated text 
and 100/13).  
With respect to Investment liber alisation – National treatment  and Cross -border trade in services – 
National Treatment, Local presence:  
In IE: For establishment, at least one of the directors, partners, managers or employees of a 
company to be registered as a patent or intellectual prop erty attorney in Ireland. Cross -border basis 
requires EEA nationality and commercial presence, principal place of business in an EEA Member 
State, qualification under the law of an EEA Member State.  
Measures:  
 
580 
 IE: Section 85 and 86 of the Trade Marks Act 1996, as amended;  
Rule 51, Rule 51A and Rule 51B of the Trade Marks Rules 1996, as amended; Section 106 and 107 of 
the Patent Act 1992, as amended; and Register of Patent Agent Rules S.I. 580 of 2015.  
(c) Accounting and bookkeeping services (CPC 8621 oth er than auditing services, 86213, 
86219, 86220)  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Local presence:  
In AT: The capital interests and voting rights of foreign accountants, book keepers, qualified 
according to the law of their home country, in an Austrian enterprise may not exceed 25 per cent. 
The service supplier must have an office or professional seat in the EEA (CPC 862).  
In FR: Establishment or residency is required. Provisi on through any company form except SNC 
(Société en nom collectif) and SCS (Société en commandite simple). Specific conditions apply to SEL 
(sociétés d’exercice libéral), AGC (Association de gestion et comptabilité) and SPE (Société pluri -
professionnelle d’ exercice). (CPC 86213, 86219, 86220).  
In IT: Residence or business domicile is required for enrolment in the professional register, which is 
necessary for the provision of accounting and bookkeeping services (CPC 86213, 86219, 86220).  
In PT: (with respec t also to Most -favoured -nation treatment): Residence or business domicile is 
required for enrolment in the professional register by the Chamber of Certified Accountants (Ordem 
dos Contabilistas Certificados), which is necessary for the provision of account ing services, provided 
that there is reciprocal treatment for Portuguese nationals.   
Measures:  
AT: Wirtschaftstreuhandberufsgesetz (Public Accountant and Auditing Profession Act, BGBl.  
I Nr. 58/1999), § 12, § 65, § 67, § 68 (1) 4; and  
Bilanzbuchhaltungsgesetz (BibuG), BGBL. I Nr. 191/2013, §§ 7, 11, 28.  
FR: Ordonnance 45 -2138 du 19 septembre 1945.  
IT: Legislative Decree 139/2005; and Law 248/2006.  
PT: Decree -Law n.º452/99, changed by Law n.º 139/2015, september 7th.  
With respect to Investment liberalisation – Market access and Cross -border trade in services – 
Market access:  
In CY: Access is restricted to natural persons. Authorisation is required, subject to an economic 
needs test. Main criteria: the employment situa tion in the sub -sector. Professional associations 
(partnerships) between natural persons are permitted.  
Measures:  
CY: Auditors Law of 2017 (Law 53(I)/2017).  
 
581 
 With respect to Cross -border trade in services – Local presence:  
In SI: Establishment in the Eu ropean Union is required in order to provide accounting and 
bookkeeping services (CPC 86213, 86219, 86220).  
Measures:  
SI: Act on services in the internal market, Official Gazette RS No 21/10.  
(d)  Auditing services (CPC – 86211, 86212 other than account ing 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:  
In EU: Supply of statutory auditing serv ices requires approval by the competent authorities of a 
Member State that may recognise the equivalence of the qualifications of an auditor who is a 
national of the United Kingdom or of any third country subject to reciprocity (CPC 8621).  
Measures:  
EU: 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 Par liament and of the Council and 
repealing Council Directives 78/660/EEC and 83/349/EEC; and Directive 2006/43/EC on statutory 
audits of annual accounts and consolidated accounts.  
With respect to Investment liberalisation – Market access:  
In BG: Non -discri minatory legal form requirements may apply.  
Measures:  
BG: Independent Financial Audit Act.  
With respect to Investment liberalisation – Market access, National treatment, and Cross -border 
trade in services – Local presence:  
In AT: The capital interests and voting rights of foreign auditors, qualified according to the law of 
their home country, in an Austrian enterprise may not exceed 25 per cent. The service supplier must 
have an office or professional seat in the EEA.  
Measures:  
AT: Wirtschaftstreuhandberufsgesetz (Public Accountant and Auditing Profession Act, BGBl.  
I Nr. 58/1999), § 12, § 65, § 67, § 68 (1) 4.   
With respect to Investment liberalisation – Market access and Cross -border trade in services – Local 
presence:  
In DK: Provision of statutory auditing services requires Danish approval as an auditor. Approval 
requires residency in a Member State of the EEA. Voting rights in approved audit firms of auditors 
and audit firms not approved in accordance with regulation impl ementing the Directive 2006/43/EC 
 
582 
 of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual 
accounts and consolidated accounts based on Article 54(3)(g) of the Treaty on statutory audit must 
not exceed 10 per cent of the vo ting rights.  
In FR: (with respect also to Most -favoured -nation treatment) For statutory audits: establishment or 
residency is required. British nationals may provide statutory auditing services in France, subject to 
reciprocity. Provision through any comp any form except those in which partners are considered to 
be traders (“commerçants”), such as SNC (Société en nom collectif) and SCS (Société en commandite 
simple).  
In PL: Establishment in the European Union is required in order to provide auditing service s.  
Legal form requirements apply.  
Measures:  
DK: Revisorloven (The Danish Act on Approved Auditors and Audit Firms), Act No. 1287 of 
20/11/2018.  
FR: Code de commerce  
PL: Act of 11 May 2017 on statutory auditors, audit firms and public oversight - Journa l of Laws of 
2017, item 1089.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment:  
In CY: Access is restricted to natural persons. Authorisation is required,  subject to an economic 
needs test. Main criteria: the employment situation in the sub -sector. Professional associations 
(partnerships) between natural persons are permitted.  
In SK: Only an enterprise in which at least 60 per cent of capital interests or voting rights are 
reserved to Slovak nationals or nationals of a Member State may be authorised to carry out audits in 
the Slovak Republic.  
Measures:  
CY: Auditors Law of 2017 (Law 53(I)/2017).  
SK: Act No. 423/2015 on Statutory audit.  
With respect to Inv estment liberalisation – Market access and Cross -border trade in services – 
National treatment, Local presence:  
In DE: Auditing companies ("Wirtschaftsprüfungsgesellschaften") may only adopt legal forms 
admissible within the EEA. General partnerships and limited commercial partnerships may be 
recognised as 'Wirtschaftsprüfungsgesellschaften' if they are listed as trading partnerships in the 
commercial register on the basis of their fiduciary activities, Article 27 WPO. However, auditors from 
third countrie s registered in accordance with Article 134 WPO may carry out the statutory audit of 
annual fiscal statements or provide the consolidated financial statements of a company with its 
headquarters outside the Union, whose transferable securities are offered f or trading in a regulated 
market.  
 
583 
 Measures:  
DE: Handelsgesetzbuch (HGB; Code of Commercial Law);  
Gesetz über eine Berufsordnung der Wirtschaftsprüfer (Wirtschaftsprüferordnung - WPO; Public 
Accountant Act).  
With respect to Investment liberalisation – National treatment and Cross -border trade in services – 
National treatment:  
In ES: statutory auditors must be a national of a Member State. This reservation does not apply to 
the auditing of non -European Union c ompanies listed in a Spanish regulated market.  
Measures:  
ES: Ley 22/2015, de 20 de julio, de Auditoría de Cuentas (new Auditing Law: Law 22/2015 on Auditing 
services).  
With respect to Investment liberalisation – Market access, National treatment:  
In EE: Legal form requirements apply. The majority of the votes represented by the shares of an 
audit firm shall belong to sworn auditors subject to supervision of a competent authority of a EEA 
Member State, who have acquired their qualification in an EEA Membe r state, or to audit firms. At 
least three -fourths of the persons representing an audit firm on the basis of law shall have acquired 
their qualifications in an EEA Member State.  
Measures:  
EE: Auditors Activities Act (Audiitortegevuse seadus) § 76 -77 
With  respect to Investment liberalisation – National treatment, Most -favoured nation treatment and 
Cross -border trade in services – Local presence:  
In SI: Commercial presence is required. A third country audit entity may hold shares or form 
partnerships in Sl ovenian audit company provided that, under the law of the country in which the 
third -country audit entity is incorporated, Slovenian audit companies may hold shares or form 
partnership in an audit entity in that country (reciprocity requirement).  
Measures:  
SI: Auditing Act (ZRev -2), Official Gazette RS No 65/2008 (as last amended No 84/18); and Companies 
Act (ZGD -1), Official Gazette RS No 42/2006 (as last amended No 22/19 - ZPosS).    
With respect to Cross -border trade in services – Local presenc e:  
In BE: An establishment in Belgium is required where the professional activity will take place and 
where acts, documents and correspondence relating to it will be maintained, and to have at least 
one administrator or manager of the establishment approv ed as auditor.  
In FI: EEA residency required for at least one of the auditors of a Finnish Limited Liability company 
and of companies which are under the obligation to carry out an audit. An auditor must be a locally -
licensed auditor or a locally -licensed  audit firm.  
 
584 
 In HR: Auditing services may be provided only by legal persons established in Croatia or by natural 
persons resident in Croatia.  
In IT: Residency is required for the provision of auditing services by natural persons.  
In LT: Establishment in  the EEA is required for the provision of auditing services.  
In SE: Only auditors approved in Sweden and auditing firms registered in Sweden may perform 
statutory auditing services. EEA residency is required. The titles of "approved auditor" and 
"authorised auditor" may only be used by auditors approved or authorised in Sweden. Auditors of 
co-operative economic associations and certain other enterprises who are not certified or approved 
accountants must be resident within the EEA, unless the Government, or a Government authority 
appointed by the Government, in a particula r case allows otherwise.  
Measures:  
BE: Law of July 22nd, 1953 creating an Institute of the Auditors of Firms and organising the public 
supervision of the occupation of auditor of firms, coordinated on April 30th, 2007.  
(Public Accountant Act).  
FI: Tili ntarkastuslaki (Auditing Act) (459/2007), Sectoral laws requiring the use of locally licensed 
auditors.  
HR: Audit Act (OG 146/05, 139/08, 144/12), Article 3.  
IT: Legislative Decree 58/1998, Articles 155, 158 and 161;  
Decree of the President of the Repub lic 99/1998; and Legislative Decree 39/2010, Article 2.  
LT: Law on Audit of 15 June 1999 No. VIII -1227 (a new version of 3 July 2008 No. X1676).  
SE: Revisorslagen (Auditors Act) (2001:883);  
Revisionslag (Auditing Act) (1999:1079);  
Aktiebolagslagen (Co mpanies Act) (2005:551);  
Lag om ekonomiska föreningar (The Co -operative Economic Associations Act) (2018:672); and  
Others, regulating the requirements to make use of approved auditors.  
(e) Taxation advisory services (CPC 863, not including legal advisor y 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:  
In AT: The capital interests and  voting rights of foreign tax advisors, qualified according to the law of 
their home country, in an Austrian enterprise may not exceed 25 per cent. The service supplier must 
have an office or professional seat in the EEA.  
Measures:  
 
585 
 AT: Wirtschaftstreuhan dberufsgesetz (Public Accountant and Auditing Profession Act, BGBl.  
I Nr. 58/1999), § 12, § 65, § 67, § 68 (1) 4.  
With respect to Investment liberalisation – Market access and Cross -border trade in services – Local 
presence:  
In FR: Establishment or residency is required. Provision through any company form except SNC 
(Société en nom collectif) and SCS (Société en commandite simple). Specific conditions apply to SEL 
(sociétés d’exercice libéral), AGC (Association de gestion et compta bilité) and SPE (Société pluri -
professionnelle d’exercice).  
Measures:  
FR: Ordonnance 45 -2138 du 19 septembre 1945.  
With respect to Investment liberalisation – National treatment and Cross -border trade in services – 
National treatment:  
In BG: Nationality of a Member State is required for tax advisors.  
Measures:  
BG: Accountancy Act;  
Independent Financial Audit Act; Income Taxes on Natural Persons Act; and Corporate Income Tax 
Act.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment:  
In CY: Access is restricted to natural persons. Authorisation is required, subject to an economic 
needs test. Main criteria: the employment situation in the sub -sector. Professional associations 
(partnerships) between natural persons are permitted.  
Measures:  
CY: Auditors Law of 2017 (Law 53(I)/2017).  
With respect to Cross -border trade in services – Local presence:  
In HU: EEA residency is required for the supply o f taxation advisory services, insofar as they are 
being supplied by a natural person present in the territory of Hungary.  
In IT: Residency is required.  
Measures:  
HU: Act XCII of 2003 on the Rules of Taxation; and  
Decree of the Ministry of Finance no. 2 6/2008 on the licensing and registration of taxation advisory 
activities.  
 
586 
 IT: Legislative Decree 139/2005; and Law 248/2006.  
(f) Architecture and urban planning services, engineering and integrated engineering services 
(CPC 8671, 8672, 8673, 8674)  
With respect to Investment liberalisation – Market access:  
In FR: An architect may only establish in France in order to provide architectural services using one 
of the following legal forms (on a non -discriminatory basis): SA et SARL (sociétés anonymes, à 
responsabilité limitée), EURL (Entreprise unipersonnelle à respo nsabilité limitée), SCP (en 
commandite par actions), SCOP (Société coopérative et participative), SELARL (société d'exercice 
libéral à responsabilité limitée), SELAFA (société d'exercice libéral à forme anonyme), SELAS (société 
d'exercice libéral ) or SAS (Société par actions simplifiée), or as individual or as a partner in an 
architectural firm (CPC 8671).  
Measures:  
FR: Loi 90 -1258 relative à l'exercice sous forme de société des professions libérales; Décret 95 -129 du 
2 février 1995 relatif à l'exercice en commun de la profession d'architecte sous forme de société en 
participation;  
 Décret 92 -619 du 6 juillet 1992 relatif à l'exercice en commun de la profession d'architecte sous 
forme de société d'exercice libéral à responsabilité limitée SELARL, société  d'exercice libéral à forme 
anonyme SELAFA, société d'exercice libéral en commandite par actions SELCA; and Loi 77 -2 du 3 
janvier 1977.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Mark et access, National treatment:  
In BG: Residency in the EEA or the Swiss Confederation is required for architecture, urban planning 
and engineering services provided by natural persons.  
Measures:  
BG: Spatial Development Act;  
Chamber of Builders Act; and  
Chambers of Architects and Engineers in Project Development Design Act.  
With respect to Investment liberalisation – National treatment and Cross -border trade in services – 
National treatment:  
In HR: A design or project creat ed by a foreign architect, engineer or urban planner must be 
validated by an authorised natural or legal person in Croatia with regard to its compliance with 
Croatian Law (CPC 8671, 8672, 8673, 8674).   
Measures:  
HR: Act on Physical Planning and Building Activities (OG 118/18, 110/19)  
Physical Planning Act (OG 153/13, 39/19).  
 
587 
 With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – National treatme nt, Local presence:  
In CY: Nationality and residency condition applies for the provision of architecture and urban 
planning services, engineering and integrated engineering services (CPC 8671, 8672, 8673, 8674).  
Measures:  
CY: Law 41/1962 as amended; Law 224/1990 as amended; and Law 29(I)2001 as amended.  
With respect to Cross -border trade in services – Local presence:  
In CZ: Residency in the EEA is required.  
In HU: EEA residency is required for the supply of the following services, insofar as they are being 
supplied by a natura l person present in the territory of Hungary: architectural services, engineering 
services (only applicable to graduate trainees), integrated Engineering services and landscape 
architectural services (CPC 8671, 8672, 8673, 8674).  
In IT: residency or profe ssional domicile/business address in Italy is required for enrolment in the 
professional register, which is necessary for the exercise of architectural and engineering services 
(CPC 8671, 8672, 8673, 8674).  
In SK: Residency in the EEA is required for regi stration in the professional chamber, which is 
necessary for the exercise of architectural and engineering services (CPC 8671, 8672, 8673, 8674).  
Measures:  
CZ: Act no. 360/1992 Coll. on practice of profession of authorised architects and authorised engin eers 
and technicians working in the field of building constructions.  
HU: Act LVIII of 1996 on the Professional Chambers of Architects and Engineers.  
IT: Royal Decree 2537/1925 regulation on the profession of architect and engineer; Law  
1395/1923; and  
Decree of the President of the Republic (D.P.R.) 328/2001.  
SK: Act 138/1992 on Architects and Engineers, Articles 3, 15, 15a, 17a and 18a.  
With respect to Cross -border trade in services – Market access, National treatment:  
In BE: the provision of archite ctural services includes control over the execution of the works (CPC 
8671, 8674). Foreign architects authorised in their host countries and wishing to practice their 
profession on an occasional basis in Belgium are required to obtain prior authorisation f rom the 
Council of Order in the geographical area where they intend to practice their activity.  
Measures:  
BE: Law of February 20, 1939 on the protection of the title of the architect's profession; and  
Law of 26th June 1963, which creates the Order of Ar chitects Regulations of December 16th,  
 
588 
 1983 of ethics established by national Council in the Order of Architects (Approved by Article 1st of 
A.R. of April 18th, 1985, M.B., May 8th, 1985).  
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 or thopaedic 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:  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:  
In IT: European Union nationality is required for the services provided  by psychologists, foreign 
professionals may be allowed to practice based on reciprocity (part of CPC 9312).  
Measures:  
IT: Law 56/1989 on the psychologist profession.  
With respect to Investment liberalisation – Market access, National treatment and Cros s-border 
trade in services – Market Access, National treatment, Local presence :  
In CY: Cypriot nationality and residency condition applies for the provision of medical (including 
psychologists), dental, midwives, nurses, physiotherapists and para -medical services.  
Measures:  
CY: Registration of Doctors Law (Chapter 250) as amended;  
Registration of Dentists Law (Chapter 249) as amended;  
Law 75(I)/2013 - Podologists;  
Law 33(I)/2008 as amended - Medical Physics;  
 
589 
 Law 34(I)/2006 as amended - Occupational Therapists;  
Law 9(I)/1996 as amended - Dental Technicians;  
Law 68(I)/1995 as amended - Psychologists;  
Law 16(I)/1992 as amended - Opticians;  
Law 23(I)/2011 as amended - Radiologists/Radiotherapists;  
Law 31(I)/1 996 as amended - Dieticians/Nutritionists;  
Law 140/1989 as amended - Physiotherapists; and  
Law 214/1988 as amended - Nurses.  
With respect to Investment liberalisation – Market Access and Cross -border trade in services – 
Market Access, Local presence:  
In DE (applies also to the regional level of government): Geographical restrictions may be imposed 
on professional registration, which apply to nationals and non -nationals alike.  
Doctors (including psychologists, psychotherapists, and dentists) need to re gister 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 q uantitative 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 manda ted 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:  
Bundesärzteordnung (BÄO; Federal Medical Regulation);  
Gesetz über die Ausübung der Zahnheilkunde (ZHG);  
Gesetz über den Beruf der Psychotherapeutin und des Psychotherapeuten (PsychThG; Act  on the 
Provision of Psychotherapy Services);  
Gesetz über die berufsmäßige Ausübung der Heilkunde ohne Bestallung (Heilpraktikergesetz);  
Gesetz über das Studium und den Beruf von Hebammen(HebG);  
Gesetz über die Pflegeberufe (PflBG);  
 
590 
 Sozialgesetzbuch Fünftes Buch (SGB V; Social Code, Book Five) - Statutory Health Insurance.  
Regional level:  
Heilberufekammergesetz des Landes Baden -Württemberg ;  
Gesetz über die Berufsausübung, die Berufsvertretungen und die Berufsgerichtsbarkeit der  
Ärzte, Zahnärzte, Tier ärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der  
Kinder - und Jugendlichenpsychotherapeuten (Heilberufe -Kammergesetz - HKaG) in Bayern;  
Berliner Heilberufekammergesetz (BlnHKG);  
Heilberufsgesetz Brandenburg (HeilBerG);  
Bremisches Gesetz  über die Berufsvertretung, die Berufsausübung, die Weiterbildung und die 
Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Psychotherapeuten, Tierärzte und Apotheker 
(Heilberufsgesetz - HeilBerG);  
Heilberufsgesetz Mecklenburg -Vorpommern (Heilberufsgesetz M -V – HeilBerG);  
Heilberufsgesetz (HeilBG NRW);  
Heilberufsgesetz (HeilBG Rheinland -Pfalz);  
Gesetz über die öffentliche Berufsvertretung, die Berufspflichten, die Weiterbildung und die 
Berufsgerichtsbarkeit der Ärzte/ Ärztinnen, Zahnärzte/ Zahnärztinnen, psycholo gischen 
Psychotherapeuten/ Psychotherapeutinnen und Kinder - und 
Jugendlichenpsychotherapeuten/psychotherapeutinnen, Tierärzte/Tierärztinnen und 
Apotheker/Apothekerinnen im Saarland (Saarländisches Heilberufekammergesetz - SHKG);  
Gesetz über Berufsausübung , Berufsvertretungen und Berufsgerichtsbarkeit der Ärzte, Zahnärzte, 
Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder und 
Jugendlichenpsychotherapeuten im Freistaat (Sächsisches Heilberufekammergesetz – 
SächsHKaG)and Thüringe r Heilberufegesetz.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market Access, Local presence :  
In FR: While other types of legal form are also available for Union investors, foreign in vestors only 
have access to the legal forms of "société d'exercice liberal"(SEL) and "société civile professionnelle" 
(SCP). For medical, dental and midwives services, French nationality is required. However, access by 
foreigners is possible within annuall y established quotas. For medical, dental and midwives services 
and services by nurses, provision through SEL à forme anonyme, à responsabilité limitée par actions 
simplifiée ou en commandite par actions SCP, société coopérative (for independent general an d 
specialised practitioners only) or société interprofessionnelle de soins ambulatoires (SISA) for 
multidisciplinary health home (MSP) only.  
Measures:  
 
591 
 FR: Loi 90 -1258 relative à l'exercice sous forme de société des professions libérales, Loi n°2011 -940 
du 10 août 2011 modifiant certaines dipositions de la loi n°2009 -879 dite HPST, Loi n°47 -1775 
portant statut de la coopération; and Code de la santé publique.  
With respect to Investment liberalisation – Market access:  
In AT: Cooperation of physicians for the purpose of ambulatory public healthcare, so -called group 
practices, can take place only under the legal form of Offene Gesellschaft/OG or Gesellschaft mit 
beschränkter Haftung/GmbH. Only physicians may act as associates of such a group practice. They 
must be entitled to independent medical practice, registered with the Austrian Medical Chamber 
and actively pursue the medical profession in the practice. Other natural or legal persons may not 
act as associates of the group practice and may not take share in its revenues or profits (part of CPC 
9312).  
Measures:  
AT: Medical Act, BGBl. I Nr. 169/1998, §§ 52a - 52c;  
Federal Act Regulating High Level Allied Health Professions, BGBl. Nr. 460/1992; and Federal Act 
regulating Med ical Masseurs lower and upper level, BGBl. Nr. 169/2002.  
(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, Na tional treatment, Most -
favoured nation treatment:  
In AT: Only nationals of a Member State of the EEA may provide veterinary services. The nationality 
requirement is waived for nationals of a non -Member State of the EEA where there is a Union 
agreement wit h that non -Member State of the EEA providing for national treatment with respect to 
investment and cross -border trade of veterinary services.  
In ES: Membership in the professional association is required for the practice of the profession and 
requires Uni on nationality, which may be waived through a bilateral professional agreement. The 
provision of veterinary services is restricted to natural persons.  
In FR: EEA nationality is required for the supply of veterinary services, but the nationality 
requiremen t may be waived subject to reciprocity. The legal forms available to a company providing 
veterinary services are limited to SCP (Société civile professionnelle) and SEL (Société d'exercice 
liberal).  
Other legal forms of company provided for by French dome stic 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:  
AT: Tierärztegesetz (Veterinary Act), BGBl. Nr.  16/1975, §3 (2) (3).  
ES: Real Decreto 126/2013, de 22 de febrero, por el que se aprueban los Estatutos Generales de la 
Organización Colegial Veterinaria Española; Articles 62 and 64.  
 
592 
 FR: Code rural et de la pêche maritime.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – National treatment, Local presence:  
In CY: Nationality and residency condition applies for the provision of veterinary services.  
In EL: EEA  or Swiss nationality is required for the supply of veterinary services.  
In HR: Only legal and natural persons established in a Member State for the purpose of conducting 
veterinary activities can supply cross border veterinary services in the Republic of  Croatia. Only 
Union nationals can establish a veterinary practice in the Republic of Croatia.  
In HU: EEA nationality is required for membership of the Hungarian Veterinary Chamber, necessary 
for supplying veterinary services. Authorisation for establishm ent is subject to an economic needs 
test. Main criteria: labour market conditions in the sector.  
Measures:  
CY: Law 169/1990 as amended.  
EL: Presidential Degree 38/2010, Ministerial Decision 165261/IA/2010 (Gov. Gazette 2157/B).  
HR: Veterinary Act (OG 8 3/13, 148/13, 115/18), Articles 3 (67), Articles 105 and 121.  
HU: Act CXXVII of 2012 on the Hungarian Veterinary Chamber and on the conditions how to supply 
Veterinary services.  
With respect to Cross -border trade in services – Local presence:  
In CZ: Phy sical presence in the territory is required for the supply of veterinary services.  
In IT and PT: Residency is required for the supply of veterinary services.  
In PL: Physical presence in the territory is required for the supply of veterinary services to p ursue the 
profession of veterinary surgeon present in the territory of Poland, non -European Union nationals 
have to pass an exam in Polish language organized by the Polish Chambers of Veterinary Surgeons.  
In SI: Only legal and natural persons established in a Member State for the purpose of conducting 
veterinary activities can supply cross border veterinary services in to the Republic of Slovenia.  
With respect to Investment liberalisation – Market acces, and Cr oss-border trade in services –
Market Access:  
In SK: Residency in the EEA is required for registration in the professional chamber, which is 
necessary for the exercise of the profession. The provision of veterinary services is restricted to 
natural persons .  
Measures:  
CZ: Act No. 166/1999 Coll. (Veterinary Act), §58 -63, 39; and  
Act No. 381/1991 Coll. (on the Chamber of Veterinary Surgeons of the Czech Republic), paragraph 4.  
 
593 
 IT: Legislative Decree C.P.S. 233/1946, Articles 7 -9; and  
Decree of the Preside nt of the Republic (DPR) 221/1950, paragraph 7.  
PL: Law of 21st December 1990 on the Profession of Veterinary Surgeon and Chambers of Veterinary 
Surgeons.  
PT: Decree -Law 368/91 (Statute of the Veterinary Professional Association)  alterado p/ Lei 125/2015, 
3 set.  
SI: Pravilnik o priznavanju poklicnih kvalifikacij veterinarjev (Rules on recognition of professional 
qualifications for veterinarians), Uradni list RS, št. (Official Gazette No) 71/2008, 7/2011, 59/2014 in 
21/2016, Act on services in the internal market, Official Gazette RS No 21/2010.  
SK: Act 442/2004 on Private Veterinary Doctors and the Chamber of Veterinary Doctors, Article 2.  
With respect to Investment liberalisation – Market access and Cross -border trade in services  – 
Market access:  
In DE (applies also to the regional level of government): The supply of veterinary services is 
restricted to natural persons. Telemedicine may only be provided in the context of a primary 
treatment involving the prior physical presence o f a veterinary.  
In DK and NL: The supply of veterinary services is restricted to natural persons.  
In IE: The supply of veterinary services is restricted to natural persons or partnerships.  
In LV: The supply of veterinary services is restricted to natura l persons.  
Measures:  
DE: Bundes -Tierärzteordnung (BTÄO; Federal Code for the Veterinary Profession).  
Regional level:  
Acts on the Councils for the Medical Profession of the Länder (Heilberufs - und 
Kammergesetze der Länder) and (based on these)  
Baden -Württ emberg, Gesetz über das Berufsrecht und die Kammern der Ärzte, Zahnärzte, Tierärzte 
Apotheker, Psychologischen Psychotherapeuten sowie der Kinder - und 
Jugendlichenpsychotherapeuten (Heilberufe -Kammergesetz - HBKG);  
Bayern, Gesetz über die Berufsausübung, d ie Berufsvertretungen und die Berufsgerichtsbarkeit der 
Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder - 
und Jugendlichenpsychotherapeuten (Heilberufe -Kammergesetz - HKaG);  
Berliner Heilberufekammergesetz ( BlnHKG);  
Brandenburg, Heilberufsgesetz (HeilBerG);  
 
594 
 Bremen, Gesetz über die Berufsvertretung, die Berufsausübung, die Weiterbildung und die 
Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Psychotherapeuten, Tierärzte und Apotheker 
(Heilberufsgesetz - HeilBerG);  
Hamburg, Hamburgisches Kammergesetz für die Heilberufe (HmbKGH);  
Hessen, Gesetz über die Berufsvertretungen, die Berufsausübung, die Weiterbildung und die 
Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker, Psychologischen Psychoth erapeuten 
und Kinder - und Jugendlichenpsychotherapeuten (Heilberufsgesetz);  
Mecklenburg -Vorpommern, Heilberufsgesetz (HeilBerG);  
Niedersachsen, Kammergesetz für die Heilberufe (HKG);  
Nordrhein -Westfalen, Heilberufsgesetz NRW (HeilBerg);  
Rheinland -Pfalz, Heilberufsgesetz (HeilBG);  
Saarland, Gesetz Nr. 1405 über die öffentliche Berufsvertretung, die Berufspflichten, die 
Weiterbildung und die Berufsgerichtsbarkeit der Ärzte/Ärztinnen, Zahnärzte/Zahnärztinnen, 
Tierärzte/Tierärztinnen und Apotheker/Apothekerin nen im Saarland (Saarländisches 
Heilberufekammergesetz - SHKG);  
Sachsen, Gesetz über Berufsausübung, Berufsvertretungen und Berufsgerichtsbarkeit der Ärzte, 
Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder - und 
Jugendlichenpsychotherapeuten im Freistaat Sachsen (Sächsisches Heilberufekammergesetz – 
SächsHKaG);  
Sachsen -Anhalt, Gesetz über die Kammern für Heilberufe Sachsen -Anhalt (KGHB -LSA);  
Schleswig -Holstein, Gesetz über die Kammern und die Berufsgerichtsbarkeit fü r die Heilberufe 
(Heilberufekammergesetz - HBKG);  
Thüringen, Thüringer Heilberufegesetz (ThürHeilBG); and  
Berufsordnungen der Kammern (Codes of Professional Conduct of the Veterinary Practitioners' 
Councils).  
DK: Lovbekendtgørelse nr. 40 af lov om dyrlæger  af 15. januar 2020 (Consolidated act no. 40 of 
January 15th, 2020, on veterinary surgeons).  
IE: Veterinary Practice Act 2005.  
LV: Veterinary Medicine Law.  
NL: Wet op de uitoefening van de diergeneeskunde 1990 (WUD).  
(c)  Retail sales of pharmaceutical s, 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:  
 
595 
 In AT: The retail of pharmaceuticals and spe cific medical goods to the public may only be carried out 
through a pharmacy. Nationality of a Member State of the EEA or the Swiss Confederation is 
required in order to operate a pharmacy. Nationality of a Member State of the EEA or the Swiss 
Confederatio n is required for leaseholders and persons in charge of managing a pharmacy.  
Measures:  
AT: Apothekengesetz (Pharmacy Law), RGBl. Nr. 5/1907 as amended, §§ 3, 4, 12; Arzneimittelgesetz 
(Medication Act), BGBl. Nr. 185/1983 as amended, §§ 57, 59, 59a; and Medizinproduktegesetz 
(Medical Products Law), BGBl. Nr. 657/1996 as amended, § 99.  
With res pect to Investment liberalisation – Market Access, National Treatment:  
In DE: Only natural persons (pharmacists) are permitted to operate a pharmacy. Nationals of other 
countries or persons who have not passed the German pharmacy exam may only obtain a li cence to 
take over a pharmacy which has already existed during the preceding three years. The total number 
of pharmacies per person is restricted to one pharmacy and up to three branch pharmacies.  
In FR: EEA or Swiss nationality is required in order to op erate a pharmacy.  
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 so ciety 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 
commandit e par actions, société en noms collectifs (SNC) or société à responsabilité limitée (SARL) 
unipersonnelle or pluripersonnelle only.  
Measures:  
DE: Gesetz über das Apothekenwesen (ApoG; German Pharmacy Act);  
Gesetz über den Verkehr mit Arzneimitteln (AMG);  
Gesetz über Medizinprodukte (MPG);  
Verordnung zur Regelung der Abgabe von Medizinprodukten (MPAV)  
FR: Code de la santé publique; and  
Loi 90 -1258 du 31 décembre 1990 relative à l'exercice sous forme de société des professions 
libéralesand Loi 2015 -990 du 6 août 2015.  
With respect to Investment liberalisation – National Treatment:  
In EL: European Union nationality is required in order t o operate a pharmacy.  
In HU: EEA nationality is required in order to operate a pharmacy.  
In LV: In order to commence independent practice in a pharmacy, a foreign pharmacist or 
pharmacist's assistant, educated in a state which is not a Member State or a Member State of the 
 
596 
 EEA, must work for at least one year in a pharmacy in a Member State of the EEA under the 
supervision of a pharmacist.  
Measures:  
EL: Law 5607/1932 as amended by Laws 1963/1991 and 3918/2011.  
HU: Act XCVIII of 2006 on the General Provisions Relating to the Reliable and Economically Feasible 
Supply of Medicinal Products and Medic al Aids and on the Distribution of Medicinal Products.  
LV: Pharmaceutical Law, s. 38.  
With respect to Investment liberalisation – Market access:  
In BG: Managers of pharmacies must be qualified pharmacists and may only manage one pharmacy 
in which they t hemselves work. A quota (not more than 4) exists for the number of pharmacies 
which may be owned per person in the Republic of Bulgaria.   
In DK: Only natural persons, who have been granted a pharmacist licence from the Danish Health 
and Medicines Authorit y, are permitted to provide retail services of pharmaceuticals and specific 
medical goods to the public.  
In ES, HR, HU, and PT: Establishment authorisation is subject to an economic needs test.  
Main criteria: population and density conditions in the area . 
In IE: The mail order of pharmaceuticals is prohibited, with the exception of non -prescription 
medicines.  
In MT: Issuance of Pharmacy licences under specific restrictions. No person shall have more than one 
licence in his name in any town or village (Re gulation 5(1) of the Pharmacy Licence Regulations 
(LN279/07)), except in the case where there are no further applications for that town or village 
(Regulation 5(2) of the Pharmacy Licence Regulations (LN279/07)).  
In PT: In commercial companies where the c apital is represented by shares, these shall be 
nominative. A person shall not hold or exercise, at the same time, directly or indirectly, ownership, 
operation or management of more than four pharmacies.  
In SI: The network of pharmacies in Slovenia consis ts of public pharmacy institutions, owned by 
municipalities, and of private pharmacists with concession where the majority owner must be a 
pharmacist by profession. Mail order of pharmaceuticals requiring a prescription is prohibited.  
Measures:  
BG: Law o n Medicinal Products in Human Medicine, arts. 222, 224, 228.  
DK: Apotekerloven (Danish Pharmacy Act) LBK nr. 801 12/06/2018.  
ES: Ley 16/1997, de 25 de abril, de regulación de servicios de las oficinas de farmacia (Law  
16/1997, of 25 April, regulating services in pharmacies), Articles 2, 3.1; and  
 
597 
 Real Decreto Legislativo 1/2015, de 24 de julio por el que se aprueba el Texto refundido de la Ley de 
garantías y uso racional de los medicamentos y productos sanitarios (Ley 2 9/2006).  
HR: Health Care Act (OG 100/18, 125/19).   
HU: Act XCVIII of 2006 on the General Provisions Relating to the Reliable and Economically Feasible 
Supply of Medicinal Products and Medical Aids and on the Distribution of Medicinal Products.  
IE: Irish  Medicines Boards Acts 1995 and 2006 (No. 29 of 1995 and No. 3 of 2006); Medicinal 
Products (Prescription and Control of Supply) Regulations 2003, as amended (S.I. 540 of 2003); 
Medicinal Products (Control of Placing on the Market) Regulations 2007, as ame nded (S.I. 540 of 
2007); Pharmacy Act 2007 (No. 20 of 2007); Regulation of Retail Pharmacy Businesses Regulations 
2008, as amended, (S.I. No 488 of 2008)  
MT: Pharmacy Licence Regulations (LN279/07) issued under the Medicines Act (Cap. 458).  
PT: Decree -Law 307/2007, Articles 9, 14 and 15  Alterado p/ Lei 26/2011, 16 jun., alterada:  
- p/ Acórdão TC 612/2011, 24/01/2012,  
- p/ Decreto -Lei 171/2012, 1 ago.,  
- p/ Lei 16/2013, 8 fev.,  
- p/ Decreto -Lei 128/2013, 5 set.,  
- p/ Decreto -Lei 109/2014, 10 jul.,  
- p/ Lei  51/2014, 25 ago.,  
- p/ Decreto -Lei 75/2016, 8 nov.; and Ordinance 1430/2007revogada p/ Portaria 352/2012, 30 out.  
SI: Pharmacy Services Act (Official Gazette of the RS No. 85/2016); and Medicinal Products Act 
(Official Gazette of the RS, No. 17/2014).  
With respect to Investment liberalisation – Market Access, National treatment, Most -Favoured 
Nation treatment and Cross -border trade in services – Market access, National treatment:  
In IT: The practice of the profession is possible only for natural persons  enrolled in the register, as 
well as for legal persons in the form of partnerships, where every partner of the company must be 
an enrolled pharmacist. Enrolment in the pharmacist professional register requires nationality of a 
Member State of the European  Union or residency and the practice of the profession in Italy. Foreign 
nationals having the necessary qualifications may enrol if they are citizens of a country with whom 
Italy has a special agreement, authorising the exercise of the profession, under co ndition of 
reciprocity (D. Lgsl. CPS 233/1946 Articles 7 -9 and D.P.R. 221/1950 paragraphs 3 and 7). New or 
vacant pharmacies are authorised following a public competition. Only nationals of a Member State 
of the European Union enrolled in the Register of p harmacists ("albo") are able to participate in a 
public competition.  
Establishment authorisation is subject to an economic needs test. Main criteria: population and 
density conditions in the area.  
 
598 
 Measures:  
IT: Law 362/1991, Articles 1, 4, 7 and 9;  
Legislative Decree CPS 233/1946, Articles 7 -9; and  
Decree of the President of the Republic (D.P.R. 221/1950, paragraphs 3 and 7).  
With respect to Investment liberalisation – Market Access, National treatment and Cross -border 
trade in services – Market ac cess, National treatment:  
In CY: Nationality requirement applies for the provision of retail sales of pharmaceuticals, medical 
and orthopaedic goods and other services provided by pharmacists (CPC 63211).  
Measures:  
CY: Pharmacy and Poisons Law ( Chapter 254) as amended .  
With respect to Investment liberalisation – Market Access and Cross -border services – Market 
access:  
In BG: The retail of pharmaceuticals and specific medical goods to the public may only be carried out 
through a pharmacy. The mail order  of pharmaceuticals is prohibited, with the exception of non -
prescription medicines.  
In EE: The retail of pharmaceuticals and specific medical goods to the public may only be carried out 
through a pharmacy. Mail order sale of medicinal products as well as delivery by post or express 
service of medicinal products ordered through the Internet is prohibited. Establishment 
authorisation is subject to an economic needs test. Main criteria: density conditions in the area.  
In EL: Only natural persons, who are lic enced pharmacists, and companies founded by licenced 
pharmacists, are permitted to provide retail services of pharmaceuticals and specific medical goods 
to the public.  
In ES: Only natural persons, who are licenced pharmacists, are permitted to provide ret ail services of 
pharmaceuticals and specific medical goods to the public. Each pharmacist cannot obtain more than 
one licence.  
In LU: Only natural persons are permitted to provide retail services of pharmaceuticals and specific 
medical goods to the public .  
In NL: Mail order of medicine is subject to requirements.  
Measures:  
BG: Law on Medicinal Products in Human Medicine, arts.219, 222, 228, 234(5).  
EE: Ravimiseadus (Medicinal Products Act), RT I 2005, 2, 4; § 29 (2)  and § 41 (3) ; and 
Tervishoiuteenuse korraldamise seadus (Health Services Organisation Act, RT I 2001, 50, 284).  
EL: Law 5607/1932 as amended by Laws 1963/1991 and 3918/2011.  
ES: Ley 16/1997, de 25 de abril, de regulación de servicios de las oficinas de farmacia (Law  
 
599 
 16/1997, of 25 April, regulating services in pharmacies), Articles 2, 3.1; and  
Real Decreto Legislativo 1/2015, de 24 de julio por el que se aprueba el Texto refundido de la Ley de 
garantías y uso racional de los medicamentos y productos sanitarios (Ley 2 9/2006).  
LU: Loi du 4 juillet 1973 concernant le régime de la pharmacie (annex a043);  
Règlement grand -ducal du 27 mai 1997 relatif à l'octroi des concessions de pharmacie (annex a041); 
and  
Règlement grand -ducal du 11 février 2002 modifiant le règlement grand -ducal du 27 mai 1997 relatif 
à l'octroi des concessions de pharmacie (annex a017).  
NL: Geneesmiddelenwet, article 67.  
With respect to Investment liberalisation – National treatment and Cross -border services – Local 
presence:  
In BG: Permanent residen cy is required for pharmacists.  
Measures:  
BG: Law on Medicinal Products in Human Medicine, arts. 146, 161, 195, 222, 228.  
With respect to Cross -border trade in services – Local presence:  
In DE, SK: Residency is required in order to obtain a licence as a  pharmacist or to open a pharmacy 
for the retail of pharmaceuticals and certain medical goods to the public.  
Measures:  
DE: Gesetz über das Apothekenwesen (ApoG; German Pharmacy Act);  
Gesetz über den Verkehr mit Arzneimitteln (AMG);  
Gesetz über Medizinprodukte (MPG);  
Verordnung zur Regelung der Abgabe von Medizinprodukten (MPAV).  
SK: Act 362/2011 on pharmaceuticals and medical devices, Article 6; and  
Act 578/2004 on healthcare  providers, medical employees, professional organisation in healthcare .  
 
600 
 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  
 
Chapter:  Investment liberalisation and Cross -border trade in services  
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 European Union at the European Union level, exclusive rights or authorisations may 
only be granted to nationals of the Member States of the European Unio n and to legal persons of 
the European Union having their registered office, central administration or principal place of 
business in the European Union (CPC 851, 853).  
For publicly funded R&D services benefitting from funding provided by a Member State e xclusive 
rights or authorisations may only be granted to nationals of the Member State of the European 
Union concerned and to legal persons of the Member State concerned having their headquarters in 
that Member State (CPC 851, 853).  
This reservation is wi thout prejudice to Part Five [Participation in Union Programmes, Sound 
Financial Management and Financial Provisions] and to the exclusion of procurement by a Party or 
subsidies, in paragraphs 6 and 7 of Article SERVIN.1.1 [Objective and scope].   
Measures :  
EU: All currently existing and all future Union research or innovation framework programmes, 
including the Horizon 2020 Rules for Participation and regulations pertaining to Joint Technology 
Initiatives (JTIs), Article 185 Decisions, and the European In stitute for Innovation and Technology 
(EIT), as well as existing and future national, regional or local research programmes.  
 
  
 
601 
 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:  
In CY: For the supply of real estate services, nationality and residency condition applies.  
Measures:  
CY: The Real Estate Agents Law 71(1)/2010 as amended.  
With respect to Cross -border trade in services – Local presence:  
In CZ: Residency for natural persons and establishment for legal persons in the Czech Republic are 
required to obtain the licence neces sary for the provision of real estate services.  
In HR: Commercial presence in EEA is required to supply real estate services.  
In PT: EEA residency is required for natural persons. EEA incorporation is required for legal persons.  
Measures:  
CZ: Trade Lic ensing Act.  
HR: Real Estate Brokerage Act (OG 107/07 and 144/12), Article 2.  
PT: Decree -Law 211/2004 (Articles 3 and 25), as amended and republished by Decree -Law 69/2011.  
With respect to Investment liberalisation – National treatment and Cross -border t rade in services – 
Local presence:  
In DK: For the supply of real estate services by a natural person present in the territory of  
Denmark, only authorised real estate agent who are natural persons that have been admitted to the 
Danish Business Authority's  real estate agent register may use the title of "real estate agent". The act 
 
602 
 requires that the applicant be a Danish resident or a resident of the Union, EEA or the Swiss 
Confederation.  
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:  
DK: Lov om formidling af fast ejendom m.v. lov. nr. 526 af 28.05.2014 (The Act on the sale of real 
estate).  
With res pect to Cross -border trade in services – Market access, National treatment, Most -favoured -
nation treatment:  
In SI: In so far as the United Kingdom allows Slovenian nationals and enterprises to supply real estate 
agent services, Slovenia will allow nationa ls of the United Kingdom and enterprises to supply real 
estate agent services under the same conditions, in addition to the fulfilment of the following 
requirements: entitlement to act as a real estate agent in the country of origin, submission of the 
relevant document on impunity in criminal procedures, and inscription into the registry of real 
estate agents at the competent (Slovenian) ministry.  
Measures:  
SI: Real Estate Agencies Act.  
  
 
603 
 Reservation No. 6 - Business services  
Sector – sub-sector:  Busines s 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 ser vices; 
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 g overnment:  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:  
In SE: To fly the Swedish flag, proof of dominating Swedish operating influence must be shown in 
case of foreign ownership interests in ships. Dominating Swedish operating influence means that the 
operation of the ship is located in Sweden and that the ship also has a more than half of t he shares 
of either Swedish ownership or ownership of persons in another EEA country. Other foreign ships 
may under certain conditions be granted an exemption from this rule where they are rented or 
leased by Swedish legal persons through bareboat charter contracts (CPC 83103).  
Measures:  
SE: Sjölagen (Maritime Law) (1994:1009), Chapter 1, § 1.  
With respect to Cross -border trade in services – Local presence:  
In SE: Suppliers of rental or leasing services of cars and certain off -road vehicles 
(terrängmotorfordon) without a driver, rented or leased for a period of less than one year, are 
obliged to appoint someone to be responsible for ensuring, among other things, t hat the business is 
conducted in accordance with applicable rules and regulations and that the road traffic safety rules 
are followed. The responsible person must reside in the EEA (CPC 831).  
Measures:  
SE: Lag (1998: 424) om biluthyrning (Act on renting and leasing cars).  
 
604 
 (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 a ccess, National treatment, Most -favoured -
nation treatment:  
The EU: For rental or leasing of aircraft without crew (dry lease), aircraft used by an air carrier of the 
European Union are subject to applicable aircraft registration requirements. A dry lease agreement 
to which a Union carrier is a party shall be subject to requirements in the Union or national law on 
aviation safety, such as prior approval and other conditions applicable to the use of third countries' 
registered aircraft. To be registered, air craft 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) service s, 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 -
European 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 equiva lent 
discriminatory treatment, respectively, to the non - Union air carriers by the CRS services suppliers 
operating in the Union, or to the non -European Union CRS services suppliers by Union air carriers.  
Measures:  
EU: 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); and Regulation 
(EC) No 80/2009 of the European Parliament and of the Council of 1 4 January 2009 on a Code of 
Conduct for computerised reservation systems and repealing Council Regulation (EEC) No 2299/89.  
With respect to Investment liberalisation - National treatment and Cross -border trade in services - 
Market access, National treatme nt  
In BE: Private (civil) aircraft belonging to natural persons who are not nationals of a member state of 
the EEA may only be registered if they are domiciled or resident in Belgium without interruption for 
at least one year. Private (civil) aircraft bel onging to foreign legal entities not formed in accordance 
with the law of a member state of the EEA may only be registered if they have a seat of operations, 
an agency or an office in Belgium without interruption for at least one year (CPC 83104).  
Authori sation procedures for aerial fire -fighting, flight training, spraying, surveying, mapping, 
photography, and other airborne agricultural, industrial and inspection services.    
Measures:  
BE: Arrêté Royal du 15 mars 1954 réglementant la navigation aérienne.   
(c) Services related to management consulting – arbitration and conciliation services (CPC 
86602)  
With respect to Cross -border trade in services –National treatment, Local presence:  
 
605 
 In BG: For mediation services, permanent or long -term residency in the  republic of Bulgaria is 
required for citizens of countries other than a member state of the EEA or the Swiss Confederation.  
In HU: An authorisation, by means of admission into the register, by the minister in charge of the 
juridical system is required for  the pursuit of mediation (such as arbitration and conciliation) 
activities which may only be granted to legal or natural persons that are established in or resident in 
Hungary.  
Measures:  
BG: Mediation Act, Art. 8.”  
HU: Act LV of 2002 on Mediation.  
(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:  
In CY: The provision of services by chemists and biologists requires nationality of a Member State.  
In FR: The professions of biologist are reserved for natural persons, EEA nationality required.  
Measures:  
CY: Registration of Chemists Law of 1988 (Law 157/19 88), as amended.  
FR: Code de la Santé Publique.  
With respect to Investment liberalisation – Market Access, National treatment and Cross -border 
trade in services – Local presence:  
In BG: Establishment in Bulgaria according to the Bulgarian Commercial Act and registration in the 
Commercial register is required for provision of technical testing and analysis services.  
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 ai r 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:  
BG: Technical Requirements towards Products Act;  
Measurement Act;  
Clean Ambient Ai r Act; and  
Water Act, Ordinance N -32 for the periodical inspection for proof of technical condition of road 
transport vehicles.  
 
606 
 With respect to Investment liberalisation – National treatment, Most -favoured -nation treatment and 
Cross -border trade in servi ces –National treatment, Most -favoured -nation treatment, Local 
presence:  
In IT: For biologists, chemical analysts, agronomists and "periti agrari", residency and enrolment in 
the professional register are required. Third country nationals can enrol under condition of 
reciprocity.  
Measures:  
IT: Biologists, chemical analysts: Law 396/1967 on the profession of biologists; and Royal Decree 
842/1928 on the profession of chemical analysts.  
(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:  
In IT: Residency or professional domicile in Italy is req uired for enrolment in the geologists' register, 
which is necessary for the practice of the professions of surveyor or geologist in order to provide 
services relating to the exploration and the operation of mines, etc. Nationality of a Member State is 
requ ired; however, foreigners may enrol under condition of reciprocity.  
Measures:  
IT: Geologists: Law 112/1963, Articles 2 and 5; D.P.R. 1403/1965, Article 1.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – National treatment, Local presence:  
In BG: For natural persons, nationality and residency of a Member State of the EEA or the Swiss 
Confeder ation is required in order to execute functions pertinent to geodesy, cartography and 
cadastral surveying. For legal entities, trade registration under the legislation of a Member State of 
the EEA or the Swiss Confederation is required.  
Measures:  
BG: Cad astre and Property Register Act; and Geodesy and Cartography Act.  
With respect to Investment liberalisation – National Treatment and Cross -border trade in services – 
National treatment:  
In CY: Nationality requirement applies for the provision of relevant  services.  
Measures:  
CY: Law 224/1990 as amended.  
With respect to Investment liberalisation – Market Access, National Treatment and Cross -border 
trade in services – Market Access:  
 
607 
 In FR: For surveying, access through SEL (anonyme, à responsabilité limit ée ou en commandite par 
actions), SCP (Société civile professionnelle), SA and SARL (sociétés anonymes, à responsabilité 
limitée) only. For exploration and prospecting services establishment is required. This requirement 
may be waived for scientific resear chers, by decision of the Minister of scientific research, in 
agreement with the Minister of Foreign affairs.  
Measures:  
FR: Loi 46 -942 du 7 mai 1946 and décret n°71 -360 du 6 mai 1971.  
With respect to Investment liberalisation – Market Access, National Treatment and Cross -border 
trade in services –National Treatment, Local presence:  
In HR: Services of basic geological, geodetic and mining consulting as well as related environmental 
protection consulting services in the territory of Croatia can be carried out only jointly with or 
through domestic legal persons.  
Measures:  
HR: Ordinance on requirements for issuing approvals to legal persons for performing professional 
environmental protection activities (OG No.57/10), Arts. 32 -35.  
(f) Services incidental to agriculture (part of CPC 88)  
With respect to Investment liberalisation –National Tr eatment and Cross -border trade in services – 
National treatment, Most -favoured -nation treatment, Local presence:  
In IT: For biologists, chemical analysts, agronomists and "periti agrari", residency and enrolment in 
the professional register are required. Third country nationals can enrol under condition of 
reciprocity.  
Measures:  
IT: Biologists, chemical analysts: Law 396/1967 on the profession of biologists; and Royal Decree 
842/1928 on the profession of chemical analysts.  
With respect to Investment lib eralisation – Market Access, Most -favoured -nation treatment and 
Cross -border trade in services – Market access Most -favoured -nation treatment:  
In PT: The professions of biologist, chemical analyst and agronomist are reserved for natural 
persons. For third -country nationals, reciprocity regime applies in the case of engineers and 
technical engineers (and not a citizenship requirement). For biologists, there is not a citizenship 
requirement nor a reciprocity requirement.   
Measures:  
PT: Decree Law 119/92 al terado p/ Lei 123/2015, 2 set. (Ordem Engenheiros);  
Law 47/2011 alterado p/ Lei 157/2015, 17 set. (Ordem dos Engenheiros Técnicos); and  
Decree Law 183/98 alterado p/ Lei 159/2015, 18 set. (Ordem dos Biólogos).  
(g) Security Services (CPC 87302, 87303, 87 304, 87305, 87309)  
 
608 
 With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment, Local presence:  
In IT: Nationality of a Member State of the European Union and reside ncy is required in order to 
obtain the necessary authorisation to supply security guard services and the transport of valuables.  
In PT: The provision of security services by a foreign supplier on a cross -border basis is not allowed.  
A nationality requirement exists for specialised personnel.  
Measures:  
IT: Law on public security (TULPS) 773/1931, Articles 133 -141; Royal Decree 635/1940, Article 257.  
PT: Law 34/2013  alterada p/ Lei 46/2019, 16 maio; and Ordinance 273/2013  alterada p/  Portaria 
106/2015, 13 abril.  
With respect to Investment liberalisation – National treatment, Most -Favoured Nation treatment 
and Cross -border trade in services – Local presence:  
In DK: Residence requirement for individuals applying for an authorisation t o provide security 
services.  
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 req uired to the extent it follows from international agreements or orders 
issued by the Minister for Justice.  
Measures:  
DK: Lovbekendtgørelse 2016 -01-11 nr. 112 om vagtvirksomhed.  
With respect to Cross -border trade in services – Local presence:  
In EE: Residency is required for security guards.  
Measures:  
EE: Turvaseadus (Security Act) § 21, § 22.  
(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):  
In BE: In all Regions in Belgium, a company having its head  office outside the EEA has to demonstrate 
that it supplies placement services in its country of origin. In the Walloon Region, a specific type of 
legal entity (régulièrement constituée sous la forme d'une personne morale ayant une forme 
commerciale, soit au sens du droit belge, soit en vertu du droit d'un Etat membre ou régie par celui -
ci, quelle que soit sa forme juridique) is required to supply placement services. A company having its 
head office outside the EEA has to demonstrate that it fulfils the con ditions as set out in the Decree 
(for instance on the type of legal entity). In the German -speaking community, a company having its 
 
609 
 head office outside the EEA has to fulfil the admission criteria established by the mentioned Decree 
(CPC 87202).  
Measures:  
BE: Flemish Region: Article 8, § 3, Besluit van de Vlaamse Regering van 10 december 2010 tot 
uitvoering van het decreet betreffende de private arbeidsbemiddeling.  
Walloon Region: Décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agenc es 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 placemen t (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 pri vaten 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:  
In DE: Nationality of a Member State of the European Union or a commercial presence in the 
European Union is required in order to obtain a licence to operate as a temporary employment 
agency (pursuant to s . 3 paragraphs 3 to 5 of this Act on temporary agency work  
(Arbeitnehmerüberlassungsgesetz). The Federal Ministry of Labour and Social Affairs may issue a 
regulation concerning the placement and recruitment of non -EEA personnel for specified professions 
e.g. for health and care related professions. The licence or its extension shall be refused if 
establishments, parts of establishments or ancillary establishments which are not located in the EEA 
are intended to execute the temporary employment (pursuant to  Sec. 3 paragraph 2 of the Act on 
temporary agency work (Arbeitnehmerüberlassungsgesetz).  
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:  
In ES: Prior to the start of the activity, placement agencies are required to submit a sworn statement 
certifying the fulfilment of the requirements stated by the current legislation (CPC 87201, 87202).  
Measures:  
ES: Real Decreto -ley 8/2014, de 4 de julio, de aprobación de medidas urgentes para el crecimiento, la 
competitividad  y la eficiencia (tramitado como Ley 18/2014, de 15 de octubre).  
 
610 
 (i)  Translation and interpretation services (CPC 87905)  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access:  
In BG: To carry out official translation activities foreign natural persons are required to hold a permit 
for long -term or permanent residency in the Republic of Bulgaria.  
Measures:  
BG: Regulation for the legalisation, certification and translation of doc uments.  
With respect to Investment liberalisation – Market access and Cross -border trade in services – 
Market access:  
In HU: Official translations, official certifications of translations, and certified copies of official 
documents in foreign languages may only be provided by the Hungarian Office for Translation and 
Attestation (OFFI).  
In PL: Only natural persons may be sworn  translators.  
Measures:  
HU: Decree of the Council of Ministers No. 24/1986 on Official translation and interpretation.  
PL: Act of 25 November 2004 on the profession of sworn translator or interpreter (Journal of Laws 
from 2019 item 1326).  
With respect to Cross -border trade in services –Market Access:  
In FI: Residency in the EEA is required for certified translators.  
Measures:  
FI: Laki auktorisoiduista kääntäjistä (Act on Authorised Translators) (1231/2007), s. 2(1)).  
With respect to Inv estment liberalisation – National treatment and Cross -border trade in services – 
National treatment:  
In CY: Registration to registry of translators is necessary for the provision of official translation and 
certification services. Nationality requirement applies.  
In HR: EEA nationality is required for certified translators.  
Measures:  
CY: The Establishment, Registration and Regulation of the Certified Translator Services in the 
Republic of Cyprus Law.  
HR: Ordinance on permanent court interpreters (OG 88 /2008), Article 2.  
(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)  
 
611 
 With respect to Investment liberalisation – Market access:  
In SE: Pawn -shops must be established as a limited liability company or as a branch (part of CPC 
87909).  
With respect to Investment liberalisation – Market Access, and Cross -border trade in services – Local 
presence:  
In CZ: Only an authorised package company is allowed to supply services rel ating to packaging take -
back and recovery and must be a legal person established as a joint -stock company (CPC 88493, ISIC 
37).  
With respect to Investment liberalisation – Market Access, and Cross -border trade in services – 
Market Access:  
In NL: To provi de hallmarking services, commercial presence in the Netherlands is required. The 
hallmarking of precious metal Articles is currently exclusively granted to two Dutch public 
monopolies (part of CPC 893).  
Measures:  
CZ: Act. 477/2001 Coll. (Packaging Act) p aragraph 16.  
SE: Pawn shop act (1995:1000).  
NL: Waarborgwet 1986.  
With respect to Investment liberalisation – Market Access, National Treatment:  
In PT: Nationality of a Member State is required for the provision of collection agency services and 
credit reporting services (CPC 87901, 87902).  
Measures:  
PT: Law 49/2004.  
With respect to Investment liberalisation – Market Access, National Treatment and Cross -border 
trade in services – Local presence:  
In CZ: Auction services are subject to licence. To obtain a licence (for the supply of voluntary public 
auctions), a company  must be incorporated in the Czech Republic and a natural person is required to 
obtain a residency permit, and the company, or natural person must be registered in the 
Commercial Register of the Czech Republic (part of CPC 612, part of 621, part of 625, pa rt of 85990).  
Measures:  
CZ: Act no.455/1991 Coll.;  
Trade Licence Act; and  
Act no. 26/2000 Coll., on public auctions.  
With respect to Cross -border trade in services –Market access:  
 
612 
 In SE: The economic plan for a building society must be certified by t wo persons. These persons must 
be publicly approved by authorities in the EEA (CPC 87909).  
Measures:  
SE: Cooperative building societies law (1991:614).  
  
 
613 
 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:  
The EU: The organisation of the siting of letter boxes on the public highway, the issuing of postage 
stamps and the pro vision of the registered mail service used in the course of judicial or 
administrative procedures may be restricted in accordance with national legislation. Licensing 
systems may be established for those services for which a general universal service oblig ation exists. 
These licences may be subject to particular universal service obligations or a financial contribution to 
a compensation fund.  
Measures:  
EU: 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.  
 
  
 
614 
 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:  
The Registration and Control of Contractors of Building and Technical Works Law of 2001 (29 (I) / 
2001), Articles 15 and 52.   
  
 
615 
 Reservation No. 9 - Distribution services  
Sector – sub-sector:  Distribution services – general, distribution of tobacco  
Industry classification:  C 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 (unl ess otherwise specified)  
 
Description:  
(a)  Distribution services (CPC 3546, 631, 632 except 63211, 63297, 62276, part of 621)  
With respect to Investment liberalisation – Market access:  
In PT: A specific authorisation scheme exists for the installation  of certain retail establishments and 
shopping centres. This relates to shopping centres that have a gross leasable area equal or greater 
than 8,000m2, and retail establishments having a sales area equal or exceeding 2,000m2, when 
located outside shopping centres. Main criteria: Contribution to a multiplicity of commercial offers; 
assessment of services to consumer; quality of employment and corporate social responsibility; 
integration in urban environment; contribution to eco -efficiency (CPC 631, 632 excep t 63211, 
63297).  
Measures:  
PT: Decree -Law No. 10/2015, 16 January.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment:  
In CY: Nationality requirement exists for distribution services provided by pharmaceutical 
representatives (CPC 62117).  
Measures:  
CY: Law 74(I) 2020 as amended.  
With respect to Investment liberalisation – Market Access and Cross -border trade in services – Local 
presence:  
In LT: The distribution of pyrotechnics is subject to licensing. Only legal persons of the Union may 
obtain a licence (CPC 3546).  
Measures:  
LT: Law on Supervision of Civil Pyrotechnics Circulation (23 March 2004. No. IX -2074).  
 
616 
 (b)  Distri bution 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:   
In ES: There is a state monopoly on re tail sales of tobacco. Establishment is subject to a Member 
State nationality requirement. Only natural persons may operate as a tobacconist. Each tobacconist 
cannot obtain more than one license (CPC 63108).  
In FR: State monopoly on wholesale and retail s ales of tobacco. Nationality requirement for 
tobacconists (buraliste) (part of CPC 6222, part of 6310).  
Measures:  
ES: Law 14/2013 of 27 September 2014.  
FR: Code général des impôts.  
With respect to Investment liberalisation – Market access, National tre atment 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:  
AT: Tobacco Monopoly Act 1996, § 5 and § 27.  
With respect to Investment liberalisation – Market Access and Cross -border trade in services – 
Market access, National treatment:  
In IT: In order to distribute and sell tobacco, a licence is needed. The licence is granted through 
public procedures. The granting of licences is subject to an economic needs test. Main criteria: 
population and geographical density of existing selling points ( part of CPC 6222, part of 6310).  
Measures:  
IT: Legislative Decree 184/2003;  
Law 165/1962;  
Law 3/2003;  
Law 1293/1957;  
Law 907/1942; and  
Decree of the President of the Republic (D.P.R.) 1074/1958.  
 
  
 
617 
 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:  
In CY: Nationality of a Member State is required for owners and majority shareholders in a privately 
funded school. Nationals of the United Kingdom may obtain authorisation from the Minister (of 
Education) in accordance with the specified form and conditions.  
Measures:  
CY: Private Schools Law of 2019 (N. 147(I)/2019)  
With respe ct to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market Access, National Treatment:  
In BG: Privately funded primary and secondary education services may only be supplied by 
authorised Bulgarian enter prises (commercial presence is required). Bulgarian kindergartens and 
schools having foreign participation may be established or transformed at the request of 
associations, or corporations, or enterprises of Bulgarian and foreign natural or legal entities,  duly 
registered in Bulgaria, by decision of the Council of Ministers on a motion by the Minister of 
Educationand Science. Foreign owned kindergartens and schools may be established or transformed 
at the request of foreign legal entities in accordance with  international agreements and conventions 
and under the provisions above. Foreign higher education institutions cannot establish subsidiaries 
in the territory of Bulgaria. Foreign higher education institutions may open faculties, departments, 
institutes an d colleges in Bulgaria only within the structure of Bulgarian high schools and in 
cooperation with them (CPC 921, 922).  
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  
 
618 
 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 branch office (CPC 921 ).  
Measures:  
SI: Organisation and Financing of Education Act (Official Gazette of Republic of Slovenia, no.  
12/1996) and its revisions, Article 40.  
With respect to Cross -border services – Local presence:  
In CZ and SK: Establishment in a Member State i s required to apply for state approval to operate as a 
privately funded higher education institution. This reservation does not apply to post -secondary 
technical and vocational education services (CPC 92310).  
Measures:  
CZ: Act No. 111/1998, Coll. (Higher  Education Act), § 39; and  
Act No. 561/2004 Coll. on Pre -school, Basic, Secondary, Tertiary Professional and Other Education 
(the Education Act).  
SK: Law No. 131 of 21 February 2002 on Universities.  
With respect to Investment liberalisation – Market Acc ess and Cross -border services: Market access:  
In ES and IT: An authorisation is required in order to open a privately funded university which issues 
recognised diplomas or degrees. An economic needs test is applied. Main criteria: population and 
density o f existing establishments.  
In ES: The procedure involves obtaining the advice of the Parliament.  
In IT: This is based on a three -year programme and only Italian legal persons may be authorised to 
issue state -recognised diplomas (CPC 923).  
Measures:  
ES: Ley Orgánica 6/2001, de 21 de Diciembre, de Universidades (Law 6 / 2001 of 21 December, on 
Universities), Article 4.  
IT: Royal Decree 1592/1933 (Law on secondary education);  
Law 243/1991 (Occasional public contribution for private universities);  
Resolution 20/2003 of CNVSU (Comitato nazionale per la valutazione del sistema universitario); and  
Decree of the President of the Republic (DPR) 25/1998.  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors and Cross -border trade in services – Market access:  
In EL: Nationality of a Member State is required for owners and a majority of the members of the 
board of directors in privately funded primary and secondary schools, and for teacher s in privately 
 
619 
 funded primary and secondary education (CPC 921, 922). Education at university level shall be 
provided exclusively by institutions which are fully self -governed public law legal persons. However, 
Law 3696/2008 permits the establishment by Un ion residents (natural or legal persons) of private 
tertiary education institutions granting certificates which are not recognised as being equivalent to 
university degrees (CPC 923).  
Measures:  
EL: Laws 682/1977, 284/1968, 2545/1940, Presidential Degree 211/1994 as amended by  
Presidential Degree 394/1997, Constitution of Hellas, Article 16, paragraph 5 and Law 3549/2007.  
With respect to Investment liberalisation – Market access and Cross -border trade in services – 
Market access:  
In AT: The provision of  privately funded university level education services in the area of applied 
sciences requires an authorisation from the competent authority, the AQ Austria (Agency for Quality 
Assurance and Accreditation Austria). An investor seeking to provide an applied  science study 
programme must have his primary business being the supply of such programmes, and must submit 
a needs assessment and a market survey for the acceptance of the proposed study programme. The 
competent Ministry may deny an authorisation where t he programme is determined to be 
incompatible with national educational interests. The applicant for a private university requires an 
authorisation from the competent authority (AQ Austria - Agency for Quality Assurance and 
Accreditation Austria). The comp etent Ministry may deny the approval if the decision of the 
accreditation authority does not comply with national educational interests (CPC 923).  
Measures:  
AT: University of Applied Sciences Studies Act, BGBl. I Nr. 340/1993 as amended, § 2; Private  
University Act, BGBl. I Nr. 74/2011 as amended, § 2; and  
Act on Quality Assurance in Higher Education, BGBl. Nr. 74/2011 as amended, § 25 (3).  
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation treatment and  Cross -border trade in services – Market access, National treatment:  
In FR: Nationality of a Member State is required in order to teach in a privately funded educational 
institution (CPC 921, 922, 923). However, nationals of the United Kingdom may obtain an 
authorisation from the relevant competent authorities in order to teach in primary, secondary and 
higher level educational institutions. Nationals of the United Kingdom may also obtain an 
authorisation from the relevant competent authorities in order to  establish and operate or manage 
primary, secondary or higher level educational institutions. Such authorisation is granted on a 
discretionary basis.  
Measures:  
FR: Code de l'éducation.  
With respect to Investment – Market access, National treatment and C ross-border trade in services – 
Market access, National treatment:  
 
620 
 In MT: Service suppliers seeking to provide privately funded higher or adult education services must 
obtain a licence from the Ministry of Education and Employment. The decision on whether  to issue a 
licence may be discretionary (CPC 923, 924).  
Measures:  
MT: Legal Notice 296 of 2012.  
 
621 
 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:  
SE: The Ve hicles Act (2002:574).  
SK: Act 79/2015 on Waste.  
  
 
622 
 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:  
In IT: Access to the actuarial profession through natural persons only. Professional associations (no 
incorporation) among natural persons permitted. European Union nationality is required for the 
practice of the actuarial profession, except for foreign profess ionals who may be allowed to practice 
based on reciprocity.  
Measures:  
IT: Article 29 of the code of private insurance (Legislative decree no. 209 of 7 September 2005); and 
Law 194/1942, Article 4, Law 4/1999 on the register.  
With respect to Investment li beralisation – Market access, National treatment and Cross -border 
trade in services – Local presence:  
In BG: Pension insurance shall be carried out as a joint -stock company licensed in accordance with 
the Code of Social Insurance and registered under the C ommerce Act or under the legislation of 
another Member State of the EU (no branches).  
In BG, ES, PL  and PT: Direct branching is not permitted for insurance intermediation, which is 
reserved to companies formed in accordance with the law of a Member State (local incorporation is 
required). For PL, residency requirement for insurance intermediaries  
Measures:  
BG: Insurance Code, articles 12, 56 -63, 65, 66 and 80 paragraph 4, Social Insurance Code Art . 120a –
162, Art. 209 –253, Art. 260 –310 
 
623 
 ES: Reglamento de Ordenación, Supervisión y Solvencia de Entidades Aseguradoras y Reaseguradoras 
(RD 1060/2015, de 20 de noviembre de 2015), article 36.  
PL: Act on insurance and reinsurance activity of September 11, 2015 (Journal of Laws of 2020, item 
895 and 1180); Act on insurance distribution of December 15, 2017 (Journal of Laws 2019, item 
1881); Act on the organization and operation of pension funds of August 28, 1997 (Journal of Laws of 
2020, item 105); Act of 6 March 2018 on rules regarding economic activity of foreig n entrepreneurs 
and other foreign persons in the territory of the Republic of Poland  
PT: Article 7 of Decree -Law 94 -B/98  revoked by Decree -Law 2/2009, January 5th; and chapter I, 
Section VI of Decree -Law 94 -B/98, articles 34, nr. 6, 7, and article 7 of Dec ree-Law 144/2006, revoked 
by Law 7/2019, January 16th. Article 8 of the legal regime governing the business of insurance and 
reinsurance distribution, approved by Law 7/2019, of January 16th. 
With respect to Investment liberalisation – National treatment:  
In AT: The management of a branch office must consist of at least two natural persons resident in 
AT. 
In BG: Residency requirement for the members of managing and supervisory body of (re)insurance 
undertakings and every person authorised to manage or repre sent the (re)insurance undertaking.  
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:  
AT: Insurance Supe rvision Act 2016, Article 14 para. 1 no. 3, Federal Law Gazette I No. 34/2015 
(Versicherungsaufsichtsgesetz 2016, § 14 Abs. 1 Z 3, BGBl. I Nr. 34/2015)  
BG: Insurance Code, articles 12, 56 -63, 65, 66 and 80  paragraph 4,  
Social Insurance Code, Art. 120a –162, Art. 209 –253, Art. 260 –310 
With respect to Investment liberalisation – Market access, National treatment:  
In BG: Before establishing a branch or agency to provide insurance, a foreign insurer or reinsurer  
must have been authorised to operate in its country of origin in the same classes of insurance as 
those it wishes to provide in BG.  
The income of the supplementary voluntary pension funds, as well as similar income directly 
connected with voluntary pensi on 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 o f origin for at least five years.  
 
624 
 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 year s. 
Measures:  
BG: Insurance Code, articles 12, 56 -63, 65, 66 and 80 paragraph 4,  
Social Insurance Code, Art. 120a –162, Art. 209 –253, Art. 260 –310 
ES: Reglamento de Ordenación, Supervisión y Solvencia de Entidades Aseguradoras y Reaseguradoras 
(RD 1060/2015,  de 20 de noviembre de 2015), article 36.  
PT: Article 7 of Decree -Law 94 -B/98 and chapter I, Section VI of Decree -Law 94 -B/98, articles 34, nr. 
6, 7, and article 7 of Decree -Law 144/2006; Article 215 of legal regime governing the taking up and 
pursuit of the business of insurance and reinsurance, approved by Law 147/2005, of September 9th.  
With respect to Investment liberalisation – Market access:  
In AT: In order to obtain a licence to open a branch office, foreign insurers must have a legal form 
correspo nding or comparable to a joint stock company or a mutual insurance association in their 
home country.  
In EL: Insurance and reinsurance undertakings with head offices in third countries may operate in 
Greece via establishing a subsidiary or a branch, where  branch in this case does not take any specific 
legal form, as it means a permanent presence in the territory of a Member State (ie. Greece) of an 
undertaking with head office outside EU, which receives authorisation in that Member State 
(Greece) and which  pursues insurance business.  
Measures:  
AT: Insurance Supervision Act 2016, Article 14 para. 1 no. 1, Federal Law Gazette I No. 34/2015 
(Versicherungsaufsichtsgesetz 2016, § 14 Abs. 1 Z 1, BGBl. I Nr. 34/2015)  
EL: Art. 130 of the Law 4364/ 2016 (Gov. Gazette 13/ A/ 05.02.2016)  
With respect to Cross -border trade in services – National treatment, Local presence:  
In AT: Promotional activity and intermediation on behalf of a subsidiary not established in the Union 
or of a branch not established in AT (exce pt for reinsurance and retrocession) are prohibited.  
In DK: No persons or companies (including insurance companies) may, for business purposes, assist 
in effecting direct insurance for persons resident in DK, for Danish ships or for property in DK, other 
than insurance companies licensed by Danish law or by Danish competent authorities.  
In SE: The supply of direct insurance by a foreign insurer is allowed only through the mediation of an 
insurance service supplier authorised in Sweden, provided that the f oreign insurer and the Swedish 
insurance company belong to the same group of companies or have an agreement of cooperation 
between them.  
With respect to Cross -border trade in services – Local presence:  
 
625 
 In DE, HU  and LT: The supply of direct insurance servi ces by insurance companies not incorporated 
in the European Union requires the setting up and authorisation of a branch.  
In SE: The provision of insurance intermediation services by undertakings not incorporated in the 
EEA requires the establishment of a commercial presence (local presence requirement).  
In SK : Air and maritime transport insurance, covering the aircraft/vessel and responsibility, can be 
underwritten only by insurance companies established in the Union or by the branch office of the 
insuranc e companies not established in the Union authorised in the Slovak Republic.  
Measures  
AT: Insurance Supervision Act 2016, Article 13 para. 1 and 2, Federal Law Gazette I No. 34/2015 
(Versicherungsaufsichtsgesetz 2016, § 13 Abs. 1 und 2, BGBl. I Nr. 34/2015 ) DE: §§67 -69 
Versicherungsaufsichtsgesetz (VAG)  for all insurance services - implements Solvency 2; in connection 
with  §105 Luftverkehrs -Zulassungs -Ordnung (LuftVZO) only for compulsory air liability insurance.  
DE: Versicherungsaufsichtsgesetz (VAG) for al l insurance services; in connection with Luftverkehrs -
Zulassungs -Ordnung (LuftVZO) only for compulsory air liability insurance  
DK: Lov om finansiel virksomhed jf. lovbekendtgørelse 182 af 18. februar 2015.  
HU: Act LX of 2003 LT: Law on Insurance, 18 of September, 2003 m. Nr. IX -1737, last amendment 13 
of June 2019 Nr. XIII -2232.  
SE: Lag om försäkringsförmedling (Insurance Distribution Mediation Act) (Chapter 3, section 3, 
2018:12192005:405); and Foreign Insurers Business in Sweden Act (Chapter 4, section  1 and 10, 
1998:293).  
SK: Act 39/2015 on insurance  
(b) Banking and other financial services  
With respect to Investment liberalisation – Market Access, National treatment, and Cross -border 
trade in services – Local presence:  
In BG: For pursuing the activi ties of lending with funds which are not raised through taking of 
deposits or other repayable funds, acquiring holdings in a credit institution or another financial 
institution, financial leasing, guarantee transactions, acquisition of claims on loans and other forms 
of financing (factoring, forfeiting, etc.), non -bank financial institutions are subject to registration 
regime with the Bulgarian National Bank. The financial institution shall have its main business in the 
territory of Bulgaria.  
In BG: Non -EEA banks may pursue banking activity in Bulgaria after obtaining a license from BNB for 
taking up and pursuing of business activities in the Republic of Bulgaria through a branch.  
In IT: In order to be authorised to operate the securities settlement system or to provide central 
securities depository services with an establishment in Italy, a company is required to be 
incorporated in Italy (no branches).  
 
626 
 In the case of collective investment schemes other than undertakings for collective investment in 
transfe rable securities ("UCITS") harmonised under EU 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 legis lation are also 
required to be incorporated in Italy (no branches).  
Only banks, insurance enterprises, investment firms and enterprises managing UCITS harmonised 
under EU 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 mana gement.  
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 inc orporated 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 c ountries is not permitted.  
Measures:  
BG: Law on Credit Institutions, article 2, paragraph 5, article 3a and article 17  
Code Of Social Insurance, articles 121, 121b, 121f; and  
Currency Law, article 3.  
IT: Legislative Decree 58/1998, articles 1, 19, 28, 30 -33, 38, 69 and 80;  
Joint Regulation of Bank of Italy and Consob 22.2.1998, articles 3 and 41;  
Regulation of Bank of Italy 25.1.2005;  
Title V, Chapter VII, Section II, Consob Regulation 16190 of 29.10.200 7, articles 17 -21, 78 -81, 91 -111; 
and subject to:  
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  
PT: Decree -Law 12/2006, as amended by Decr ee-Law 180/2007 Decree -Law 357 -A/2007, Regulation 
7/2007 -R, as amended by Regulation 2/2008 -R, Regulation 19/2008 -R, Regulation 8/2009. Article 3 
of the legal regime governing the establishment and functioning of pension funds and their 
management entities  approved by Law 27/2020, of July 23rd.  
With respect to Investment liberalisation – Market Access, National treatment:  
 
627 
 In HU: Branches of non -EEA investment fund management companies may not engage in the 
management of European investment funds and may no t provide asset management services to 
private pension funds.  
Measures:  
HU: Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises;  
Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises; and  
Act CXX of 2001 on the Capital Ma rket.  
With respect to Investment liberalisation – National Treatment and Cross -border trade in services – 
Market Access:  
In BG: А bank shall be managed and represented jointly by at least two persons. The persons who 
manage and represent the bank shall be personally present at its management address. Legal 
persons may not be elected members of the managing board or the board of directors of a bank.  
In SE: A founder of a savings bank shall be a natural person.  
Measures:  
BG: Law on Credit Institutions, articl e 10;  
Code Of Social Insurance, article 121e; and  
Currency Law, article 3.  
SE: Sparbankslagen (Savings Bank Act) (1987:619), Chapter 2, § 1.  
With respect to Investment liberalisation – National treatment:  
In HU: The board of directors of a credit institution shall have at least two members recognised as 
resident according to foreign exchange regulations and having had prior permanent residence in HU 
for at least one year.  
Measures:  
HU: Act CCXXXVII of 2013 on Credit Institutions and Financial Enter prises;  
Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises; and  
Act CXX of 2001 on the Capital Market.  
With respect to Investment liberalisation – Market Access:  
In RO: Market operators are legal persons set up as joint stock companies  according to the 
provisions of the Company law. Alternative trading systems (Multilateral trading facility (MTF) 
pursuant to MiFID II Directive) can be managed by a system operator set up under the conditions 
described above or by an investment firm autho rised by ASF (Autoritatea de Supraveghere 
Financiară – Financial Supervisory Authority).  
 
628 
 In SI: A pension scheme may be provided by a mutual pension fund (which is not a legal entity and is 
therefore managed by an insurance company, a bank or a pension com pany), a pension company or 
an insurance company. Additionally, a pension scheme can also be offered by pension scheme 
providers established in accordance with the regulations applicable in a Member State of the EU.  
Measures:  
RO: Law no. 126 of 11 June 201 8 regarding financial instruments and Regulation no. 1/2017 for the 
amendment and supplement of Regulation no. 2/2006 on regulated markets and alternative trading 
systems, approved by Order of NSC no. 15/2006 - ASF – Autoritatea de Supraveghere Financiară – 
Financial Supervisory Authority. SI: Pension and Disability Insurance Act, (Official Gazette no. 
102/2015 (as last amended No 28/19).  
With respect to Cross -border trade in services – Local presence:  
In HU: Non -EEA companies may provide financial services  or engage in activities auxiliary to financial 
services solely through a branch in HU.  
Measures:  
HU: Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises;  
Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises; and  
Act CXX of 2001 on the Capital Market.  
  
 
629 
 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; Cross -border trade in services  
Level of government:  EU/ Member State (unless otherwise specified)  
 
Description:  
With respect to Investment liberalisation – Market access:  
In DE (applies also to the regional level of governmen t): Rescue services and "qualified ambulance 
services" are organised and regulated by the Länder. Most Länder delegate competences in the field 
of rescue services to municipalities. Municipalities are allowed to give priority to not -for-profit 
operators. T his applies equally to foreign as well as domestic service suppliers (CPC 931, 933). 
Ambulance services are subject to planning, permission and accreditation. Regarding telemedicine, 
the number of ICT (information and communications technology) service sup pliers may be limited to 
guarantee interoperability, compatibility and necessary safety standards. This is applied in a non -
discriminatory way.  
In HR: Establishment of some privately funded social care facilities may be subject to needs based 
limits in pa rticular geographical areas (CPC 9311, 93192, 93193, 933).  
In SI: a state monopoly is reserved for the following services: Supply of blood, blood preparations, 
removal and preservation of human organs for transplant, socio -medical, hygiene, epidemiologica l 
and health -ecological services, patho -anatomical services, and biomedically -assisted procreation 
(CPC 931).  
Measures:  
DE: Bundesärzteordnung (BÄO; Federal Medical Regulation):  
Gesetz über die Ausübung der Zahnheilkunde (ZHG);  
Gesetz über den Beruf der Psychotherapeutin und des Psychotherapeuten (PsychThG; Act on the 
Provision of Psychotherapy Services);  
Gesetz über die berufsmäßige Ausübung der Heilkunde ohne Bestallung (Heilpraktikergesetz);  
Gesetz über das Studium und den Beruf der Hebammen (HebG);  
Gesetz über den Beruf der Notfallsanitäterin und des Notfallsanitäters (NotSanG);  
Gesetz über die Pflegeberufe (PflBG);  
 
630 
 Gesetz über die Berufe in der Physiotherapie (MPhG);  
Gesetz über den Beruf des Logopäden (LogopG);  
Gesetz über den Beruf des Orthoptiste n und der Orthoptistin (OrthoptG);  
Gesetz über den Beruf der Podologin und des Podologen (PodG);  
Gesetz über den Beruf der Diätassistentin und des Diätassistenten (DiätAssG);  
Gesetz über den Beruf der Ergotherapeutin und des Ergotherapeuten (ErgThg); 
Bunde sapothekerordnung (BapO);  
Gesetz über den Beruf des pharmazeutisch -technischen Assistenten (PTAG);  
Gesetz über technische Assistenten in der Medizin (MTAG);  
Gesetz zur wirtschaftlichen Sicherung der Krankenhäuser und zur Regelung der 
Krankenhauspflegesätze  (Krankenhausfinanzierungsgesetz - KHG);  
Gewerbeordnung (German Trade, Commerce and Industry Regulation Act);  
Sozialgesetzbuch Fünftes Buch (SGB V; Social Code, Book Five) - Statutory Health Insurance;  
Sozialgesetzbuch Sechstes Buch (SGB VI; Social Code, B ook Six) - Statutory Pension Insurance;  
Sozialgesetzbuch Siebtes Buch (SGB VII; Social Code, Book Seven) - Statutory Accident Insurance;  
Sozialgesetzbuch Neuntes Buch (SGB IX; Social Code, Book Nine) - Rehabilitation and Participation of 
Persons with Disab ilities;  
Sozialgesetzbuch Elftes Buch (SGB XI; Social Code, Book Eleven) - Social Assistance.  
Personenbeförderungsgesetz (PBefG; Act on Public Transport).  
Regional level:  
Gesetz über den Rettungsdienst (Rettungsdienstgesetz - RDG) in Baden -Württemberg;  
Bayerisches Rettungsdienstgesetz (BayRDG);  
Gesetz über den Rettungsdienst für das Land Berlin (Rettungsdienstgesetz);  
Gesetz über den Rettungsdienst im Land Brandenburg (BbgRettG);  
Bremisches Hilfeleistungsgesetz (BremHilfeG);  
Hamburgisches Rettungsdienstgese tz (HmbRDG);  
Gesetz über den Rettungsdienst für das Land Mecklenburg -Vorpommern (RDGM -V); 
Niedersächsisches Rettungsdienstgesetz (NRettDG);  
 
631 
 Gesetz über den Rettungsdienst sowie die Notfallrettung und den Krankentransport durch  
Unternehmer (RettG NRW);  
Landesgesetz über den Rettungsdienst sowie den Notfall - und Krankentransport (RettDG);  
Saarländisches Rettungsdienstgesetz (SRettG);  
Sächsisches Gesetz über den Brandschutz, Rettungsdienst und Katastrophenschutz (SächsBRKG);  
Rettungsdienstgesetz des Landes  Sachsen -Anhalt (RettDG LSA);  
Schleswig -Holsteinisches Rettungsdienstgesetz (SHRDG);  
Thüringer Rettungsdienstgesetz (ThüRettG).  
Landespflegegesetze:  
Gesetz zur Umsetzung der Pflegeversicherung in Baden -Württemberg (Landespflegegesetz - 
LPflG);  
Gesetz zur Ausführung der Sozialgesetze (AGSG);  
Gesetz zur Planung und Finanzierung von Pflegeeinrichtungen (Landespflegeeinrichtungsgesetz - 
LPflegEG);  
Gesetz über die pflegerische Versorgung im Land Brandenburg (Landespflegegesetz - LPflegeG);  
Gesetz zur Ausführung des Pflege -Versicherungsgesetzes im Lande Bremen und zur Änderung  
des Bremischen Ausführungsgesetzes zum Bundessozialhilfegesetz (BremAGPflegeVG);  
Hamburgisches Landespflegegesetz (HmbLPG);  
Hessisches Ausführungsgesetz zum Pflege -Versicherungsgesetz;  
Lande spflegegesetz (LPflegeG M -V); 
Gesetz zur Planung und Förderung von Pflegeeinrichtungen nach dem Elften Buch  
Sozialgesetzbuch (Niedersächsisches Pflegegesetz - NPflegeG);  
Gesetz zur Weiterentwicklung des Landespflegerechts und Sicherung einer unterstützende n 
Infrastruktur für ältere Menschen, pflegebedürftige Menschen und deren Angehörige (Alten - und 
Pflegegesetz Nordrhein -Westfalen – APG NRW);  
Landesgesetz zur Sicherstellung und Weiterentwicklung der pflegerischen Angebotsstruktur  
(LPflegeASG) (Rheinland -Pfalz);  
 
632 
 Gesetz Nr. 1694 zur Planung und Förderung von Angeboten für hilfe -, betreuungs - oder 
pflegebedürftige Menschen im Saarland (Saarländisches Pflegegesetz);  
Sächsisches Pflegegesetz (SächsPflegeG);  
Schleswig -Holstein: Ausführungsgesetz zum Pflege -Versicherungsgesetz (Landespflegegesetz - 
LPflegeG);  
Thüringer Gesetz zur Ausführung des Pflege -Versicherungsgesetzes (ThürAGPflegeVG).  
Landeskrankenhausgesetz Baden -Württemberg;  
Bayerisches Krankenhausgesetz (BayKrG);  
Berliner Gesetz zur Neuregelun g des Krankenhausrechts;  
Krankenhausentwicklungsgesetz Brandenburg (BbgKHEG);  
Bremisches Krankenhausgesetz (BrmKrHG);  
Hamburgisches Krankenhausgesetz (HmbKHG);  
Hessisches Krankenhausgesetz 2011 (HKHG 2011);  
Krankenhausgesetz für das Land Mecklenburg -Vorpom mern (LKHG M -V); 
Niedersächsisches Krankenhausgesetz (NKHG);  
Krankenhausgestaltungsgesetz des Landes Nordrhein -Westfalen (KHGG NRW);  
Landeskrankenhausgesetz Rheinland -Pfalz (LKG Rh -Pf); 
Saarländisches Krankenhausgesetz (SKHG);  
Gesetz zur Neuordnung des Kra nkenhauswesens (Sächsisches Krankenhausgesetz - SächsKHG);  
Krankenhausgesetz Sachsen -Anhalt (KHG LSA);  
Gesetz zur Ausführung des Krankenhausfinanzierungsgesetzes (AG -KHG) in Schleswig -Holstein;  
Thüringisches Krankenhausgesetz (Thür KHG).  
HR: Health Care Ac t (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 A ct (ZPKrv -1), Official Gazette of RS, no. 104/06, Articles 5 and 8.  
With respect to Investment liberalisation – Market access, National treatment:  
 
633 
 In FR: For hospital and ambulance services, residential health facilities (other than hospital services) 
and social services, an authorisation is necessary in order to exercise management functions. The 
authorisation process takes into account the availability of local managers. Companies can take any 
legal forms, except those reserved to liberal professions . 
Measures:  
FR: Loi 90 -1258 relative à l'exercice sous forme de société des professions libérales, Loi n°2011 -940 
du 10 août 2011 modifiant certaines dipositions de la loi n°2009 -879 dite HPST, Loi n°47 -1775 
portant statut de la coopération; and Code de la s anté publique.  
  
 
634 
 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 Inv estment liberalisation – Market Access, National Treatment, Senior Management 
and Boards of Directors and Cross -border trade in services – Market Access, National Treatment:  
In BG: Incorporation (no branches) is required. Tour operation or travel agency s ervices may be 
provided by a person established in the EEA if, upon establishment in the territory of Bulgaria, the 
said person presents a copy of a document certifying the right thereof to practice that activity and a 
certificate or another document issue d by a credit institution or an insurer containing data of the 
existence of insurance covering the liability of the said person for damage which may ensue as a 
result of a culpable non -fulfilment of professional duties. The number of foreign managers may n ot 
exceed the number of managers who are Bulgarian nationals, in cases where the public (state or 
municipal) share in the equity capital of a Bulgarian company exceeds 50 per cent. EEA nationality 
requirement for tourist guides (CPC 641, 642, 643, 7471, 74 72).  
Measures:  
BG: Law for Tourism, Articles 61, 113 and 146.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment, Local presence:  
In CY: A licence to establish and operate a tourism and travel company or agency, as well as the 
renewal of an operating licence of an existing company or agency, shall be granted only to European 
Union natural or legal persons. No non -resident company except t hose established in another 
Member State, can provide in the Republic of Cyprus, on an organised or permanent basis, the 
activities referred to under Article 3 of the abovementioned Law, unless represented by a resident 
company. The provision of tourist gu ide services and travel agencies and tour operators services 
requires nationality of a Member State (CPC 7471, 7472).  
Measures:  
CY: The Tourism and Travel Offices and Tourist Guides Law 1995 (Law 41(I)/1995) as amended).  
 
635 
 With respect to Investment liber alisation – Market Access, National Treatment, Most -Favoured 
Nation Treatment and Cross -border trade in services – Market Access, National Treatment, Most -
Favoured Nation Treatment:  
In EL: Third -country nationals have to obtain a diploma from the Tourist Guide Schools of the Greek 
Ministry of Tourism, in order to be entitled to the right of practicing the profession. By exception, 
the right of practicing the profession can be temporarily (up to one year) accorded to third -country 
nationals under certain ex plicitly defined conditions, by way of derogation of the above mentioned 
provisions, in the event of the confirmed absence of a tourist guide for a specific language.  
With respect to Investment liberalisation – Market Access, National Treatment and Cross -border 
trade in services – Market Access, National Treatment,:  
In ES (for ES applies also to the regional level of government): Nationality of a Member State is 
required for the provision of tourist guide services (CPC 7472).  
In HR: EEA nationality is re quired for hospitality and catering services in households and rural 
homesteads (CPC 641, 642, 643, 7471, 7472).  
Measures:  
EL: Presidential Degree 38/2010, Ministerial Decision 165261/IA/2010 (Gov. Gazette 2157/B), Article 
50 of the law 4403/2016, Article 47 of the law 4582/2018 (Gov. Gazette 208/A). ES: Andalucía: 
Decreto 8/2015, de 20 de enero, Regulador de guías de turismo de  Andalucía;  
Aragón: Decreto 21/2015, de 24 de febrero, Reglamento de Guías de turismo de Aragón;  
Cantabria: Decreto 51/2001, de 24 de julio, Article 4, por el que se modifica el Decreto 32/1997, de 
25 de abril, por el que se aprueba el reglamento para el  ejercicio de actividades turísticoinformativas 
privadas;  
Castilla y León: Decreto 25/2000, de 10 de febrero, por el que se modifica el Decreto 101/1995, de 25 
de mayo, por el que se regula la profesión de guía de turismo de la Comunidad Autónoma de Casti lla 
y León;  
Castilla la Mancha: Decreto 86/2006, de 17 de julio, de Ordenación de las Profesiones Turísticas;  
Cataluña: Decreto Legislativo 3/2010, de 5 de octubre, para la adecuación de normas con rango de 
ley a la Directiva 2006/123/CE, del Parlamento y del Consejo, de 12 de diciembre de 2006, relativa a 
los servicios en el mercado interior, Article 88;  
Comunidad de Madrid: Decreto 84/2006, de 26 de octubre del Consejo de Gobierno, por el que se 
modifica el Decreto 47/1996, de 28 de marzo;  
Comunidad V alenciana: Decreto 90/2010, de 21 de mayo, del Consell, por el que se modifica el 
reglamento regulador de la profesión de guía de turismo en el ámbito territorial de la Comunitat 
Valenciana, aprobado por el Decreto 62/1996, de 25 de marzo, del Consell;  
Extremadura: Decreto 37/2015, de 17 de marzo;  
Galicia: Decreto 42/2001, de 1 de febrero, de Refundición en materia de agencias de viajes, guias de 
turismo y turismo activo;  
 
636 
 Illes Balears: Decreto 136/2000, de 22 de septiembre, por el cual se modifica el De creto 112/1996, de 
21 de junio, por el que se regula la habilitación de guía turístico en las Islas Baleares; Islas Canarias: 
Decreto 13/2010, de 11 de febrero, por el que se regula el acceso y ejercicio de la profesión de guía 
de turismo en la Comunidad A utónoma de Canarias, Article 5;  
La Rioja: Decreto 14/2001, de 4 de marzo, Reglamento de desarrollo de la Ley de Turismo de La Rioja;  
Navarra: Decreto Foral 288/2004, de 23 de agosto. Reglamento para actividad de empresas de 
turismo activo y cultural de N avarra.  
Principado de Asturias: Decreto 59/2007, de 24 de mayo, por el que se aprueba el Reglamento 
regulador de la profesión de Guía de Turismo en el Principado de Asturias; and  
Región de Murcia: Decreto n.º 37/2011, de 8 de abril, por el que se modific an diversos decretos en 
materia de turismo para su adaptación a la ley 11/1997, de 12 de diciembre, de turismo de la Región 
de Murcia tras su modificación por la ley 12/2009, de 11 de diciembre, por la que se modifican 
diversas leyes para su adaptación a l a directiva 2006/123/CE, del Parlamento Europeo y del Consejo 
de 12 de diciembre de 2006, relativa a los servicios en el mercado interior.  
HR: Hospitality and Catering Industry Act (OG 138/06, 152/08, 43/09, 88/10 i 50/12); and Act on 
Provision of Tourism  Services (OG No. 68/07 and 88/10).  
With respect to Investment liberalisation – National Treatment and Cross -border trade in services – 
Market Access, National Treatment:  
In HU: The supply of travel agent and tour operator services, and tourist guide ser vices on a cross -
border basis is subject to a licence issued by the Hungarian Trade Licensing Office. Licences are 
reserved to EEA nationals and legal persons having their seats in the EEA (CPC 7471, 7472).  
In IT (applies also to the regional level of gov ernment): tourist guides from non -European Union 
countries need to obtain a specific licence from the region in order to act as a professional tourist 
guide. Tourist guides from Member States can work freely without the requirement for such a 
licence. The licence is granted to tourist guides demonstrating adequate competence and knowledge 
(CPC 7472).  
Measures:  
HU: Act CLXIV of 2005 on Trade, Government Decree No. 213/1996 (XII.23.) on Travel Organisation 
and Agency Activities.  
IT: Law 135/2001 Articles 7.5 and 6; and Law 40/2007 (DL 7/2007).  
  
 
637 
 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:  
In AT (applies to the regional level of government): The opera tion of ski schools and mountain guide 
services is governed by the laws of the Bundesländer. The provision of these services may require 
nationality of a Member State of the EEA. Enterprises may be required to appoint a managing 
director who is a national of a Member State of the EEA.  
With respect to Investment liberalisation – National treatment and Cross -border trade in services –
National treatment:  
In CY: Nationality requirement for the establishment of a dance school and nationality requirement 
for ph ysical instructors.  
Measures:  
AT: Kärntner Schischulgesetz, LGBL. Nr. 53/97;  
Kärntner Berg - und Schiführergesetz, LGBL. Nr. 25/98;  
NÖ- Sportgesetz, LGBL. Nr. 5710;  
OÖ- Sportgesetz, LGBl. Nr. 93/1997;  
Salzburger Schischul - und Snowboardschulgesetz, LGBL. Nr. 83/89;  
Salzburger Bergführergesetz, LGBL. Nr. 76/81;  
Steiermärkisches Schischulgesetz, LGBL. Nr.58/97;  
Steiermärkisches Berg - und Schiführergesetz, LGBL. Nr. 53/76;  
Tiroler Schischulgesetz. LGBL . Nr. 15/95;  
 
638 
 Tiroler Bergsportführergesetz, LGBL. Nr. 7/98;  
Vorarlberger Schischulgesetz, LGBL. Nr. 55/02 §4 (2)a;  
Vorarlberger Bergführergesetz, LGBL. Nr. 54/02; and  
Wien: Gesetz über die Unterweisung in Wintersportarten, LGBL. Nr. 37/02.  
CY: Law 65( I)/1997 as amended; and  
Law 17(I) /1995 as amended.  
  
 
639 
 Reservation No. 16 - Transport services and services auxiliary to transport services  
Sector – sub-sector:  Transport services - fishing and water transportation – any other 
commercial activity underta ken 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 a nd 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:  
In EU: For port services, the managing body of a port, or the competent authority, may limit the 
number of providers of port services for a given port service.  
Measures:  
EU: Regulation (EU) 201 7/352 of 15 February 2017 establishing a framework for the provision of port 
services and common rules on the financial transparency of ports, Article 6.  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors; Cross -border trade in services – Market access, National treatment:  
In BG: The carriage and any activities related to hydraulic -engin eering and underwater technical 
works, prospecting and extraction of mineral and other inorganic resources, pilotage, bunkering, 
receipt of waste, water -and-oil mixtures and other such, performed by vessels in the internal waters, 
and the territorial sea o f Bulgaria, may only be performed by vessels flying the Bulgarian flag or 
vessels flying the flag of another Member State.  
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.  
 
640 
 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:  
BG: Merchant Shipping Code; Law For the Sea Water, Inland Waterways and Ports of the Republic of 
Bulgaria; Ordinance for the conditi on and order for selection of Bulgarian carriers for carriage of 
passengers and cargoes under international treaties; and Ordinance 3 for servicing of unmanned 
vessels.  
With respect to Investment liberalisation – Market Access and Cross -border trade in se rvices – 
Market Access:  
In BG: Regarding supporting services for public transport carried out in Bulgarian ports, in ports 
having national significance, the right to perform supporting activities is granted through a 
concession contract. In ports having r egional significance, this right is granted by a contract with the 
owner of the port (CPC 74520, 74540, 74590).  
Measures:  
BG: Merchant Shipping Code; Law For the Sea Water, Inland Waterways and Ports of the Republic of 
Bulgaria.  
With respect to Cross -border trade in services – Local presence:  
In DK: Pilotage -providers may only conduct pilotage service in Denmark, if they are domiciled in the 
EEA and registered and approved by the Danish Authorities in accordance with the Danish Act on 
Pilotage (CPC 7452 0).  
Measures:  
DK: Danish Pilotage Act, §18.  
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 treatm ent:  
In DE (applies also to the regional level of government): A vessel that does not belong to a national 
of a Member State may only be used for activities other than transport and auxiliary services in the 
German federal waterways after specific authorisation. Wai vers for non - European Union vessels 
may only be granted if no European Union vessels are available or if they are available under very 
unfavourable conditions, or on the basis of reciprocity. Waivers for vessels flying under the United 
Kingdom flag may be  granted on the basis of reciprocity (§ 2 paragraph 3 KüSchVO). All activities 
falling within the scope of the pilot law are regulated and accreditation is restricted to nationals of 
the EEA or the Swiss Confederation. Provision and Operation of facilities  for pilotage is restricted to 
public authorities or companies, which are designated by them.  
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 contrac ts 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.  
 
641 
 Transactions between residents and non -residents concerning:  
(i) rental of inland waterway transport vessels, which are not registered in the 
economic area;  
(ii) transport of freight with such inland waterway transport vessels; or  
(iii) towing services by such inland waterway transport vessels,  
within the e conomic 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:  
DE: Gesetz über das Flaggenrecht der Seeschiffe u nd die Flaggenführung der Binnenschiffe 
(Flaggenrechtsgesetz; Flag Protection Act);  
Verordnung über die Küstenschifffahrt (KüSchV);  
Gesetz über die Aufgaben des Bundes auf dem Gebiet der Binnenschiffahrt 
(Binnenschiffahrtsaufgabengesetz - BinSchAufgG);  
Verordnung über Befähigungszeugnisse in der Binnenschiffahrt (Binnenschifferpatentverordnung - 
BinSchPatentV);  
Gesetz über das Seelotswesen (Seelotsgesetz - SeeLG);  
Gesetz über die Aufgaben des Bundes auf dem Gebiet der Seeschiffahrt (Seeaufgabengesetz - 
SeeAufgG); and  
Verordnung zur Eigensicherung von Seeschiffen zur Abwehr äußerer Gefahren (See -
Eigensicherungsverordnung - SeeEigensichV). r  
With respect to Investment liberalisation - Market access, National Treatment and Cross -border 
trade in services - Market access, National treatment:  
In FI: supporting services for maritime transport when provided in Finnish maritime waters are 
reserved to fleets operating under the national, Union or Norwegian flag (CPC 745).  
Measures:  
FI: Merilaki (Maritime Act) (67 4/1994); and  
Laki elinkeinon harjoittamisen oikeudesta (Act on the Right to Carry on a Trade) (122/1919), s. 4.  
With respect to Investment liberalisation - Market access:  
In EL: Public monopoly imposed in port areas for cargo handling services (CPC 741).  
In IT: An economic needs test is applied for maritime cargo -handling services. Main criteria: number 
of and impact on existing establishments, population density, geographic sp read and creation of new 
employment (CPC 741).  
 
642 
 Measures:  
EL: Code of Public Maritime Law (Legislative Decree 187/1973).  
IT: Shipping Code;  
Law 84/1994; and  
Ministerial decree 585/1995.  
(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:  
In BG: Only nationals of a Member State may provide rail transport or supporting services for  rail 
transport in Bulgaria. A licence to carry out passenger or freight transportation by rail is issued by 
the Minister of Transport to railway operators registered as traders (CPC 711, 743).  
Measures:  
BG: Law for Railway Transport, Articles. 37, 48.  
With respect to Investment liberalisation - Market access:  
In LT: The exclusive rights for the provision of transit services are granted to railway undertakings 
which are owned, or whose stock is 100 per cent owned, by the state (CPC 711).  
Measures:  
LT: Railway transport Code of the Republic of Lithuania of 22 April 2004 No. IX -2152 as amended by 8 
June 2006 No. X -653.  
(c) Road transport and services auxiliary to road transport (CPC 712, 7121, 7122, 71222, 7123)  
For road transport services not covered by Titles I [Transport of goods by road] and II [Transport of 
passengers by Road] of Heading Three [Road Transport] of Part Two [Trade, transport and fisheries] 
and Annex ROAD -1[Transport of goods by road].  
With respect to Investment liberalisation - Marke t access, National treatment, and Cross -border 
trade in services - Market access, National treatment:  
In AT: (With respect also to Most -favoured -nation treatment) For passenger and freight 
transportation, exclusive rights or authorisations may only be gra nted to nationals of the Contracting 
Parties of the EEA and to legal persons of the Union having their headquarters in Austria. Licences 
are granted on non – discriminatory terms, under condition of reciprocity (CPC 712).  
Measures:  
AT: Güterbeförderungsgesetz (Goods Transportation Act), BGBl. Nr. 593/1995; § 5;  
Gelegenheitsverkehrsgesetz (Occasional Traffic Act), BGBl. Nr. 112/1996; § 6; and  
 
643 
 Kraftfahrliniengesetz (Law on Scheduled Transport), BGBl. I Nr. 203/1999 as amended, §§ 7 and  8.  
With respect to Investment liberalisation - National treatment, Most -favoured -nation treatment:  
In EL: For operators of road freight transport services. In order to engage in the occupation of road 
freight transport operator a Hellenic licence is needed. Licences are granted on non – discriminatory 
terms, under condition of reciprocity (CPC 7123).  
Measure s:  
EL: Licensing of road freight transport operators: Greek law 3887/2010 (Government Gazette  
A' 174), as amended by Article 5 of law 4038/2012 (Government Gazette A' 14)  
With respect to Investment liberalisation - Market access:  
In IE: Economic needs test for 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 (CPC 7121, CPC 7122).  
In MT: Taxis - numerical restri ctions on the number of licences apply.  
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:  
IE: Public Transport Regulation Act 2009.  
MT: Taxi Services Regulations (SL499.59).  
PT: Decree -Law 41/80, August 21.  
With respe ct to Investment liberalisation – Market access and Cross -border trade in services - Local 
presence:  
In CZ: Incorporation in the Czech Republic is required (no branches).  
Measures:  
CZ: Act no. 111/1994. Coll. on Road Transport.  
With respect to Investme nt liberalisation - Market access, National treatment and Cross -border 
trade in services - Market access, National treatment, Most -favoured -nation treatment:  
In SE: In order to engage in the occupation of road transport operator, a Swedish licence is need ed. 
Criteria for receiving a taxi licence include that the company has appointed a natural person to act as 
the transport manager (a de facto  residency requirement – see the Swedish reservation on types of 
establishment).  
 
644 
 Measures:  
SE: Yrkestrafiklag (20 12:210) (Act on professional traffic);  
Yrkestrafikförordning (2012:237) (Government regulation on professional traffic);  
Taxitrafiklag (2012:211) (Act on Taxis); and  
Taxitrafikförordning (2012:238) (Government regulation on taxis).  
With respect to Cros s-border trade in services – Local presence:  
In SK: A taxi service concession and a permit for the operation of taxi dispatching can be granted to a 
person who has a residence or place of establishment in the territory of the Slovak Republic or in 
another  EEA Member State.  
Measures:  
Act 56/2012 Coll. on Road Transport  
(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:  
In EU: For groundhandling services, establishment within the European Union territory may be 
required. The level of openness of groundhandling services depends on the size of airport. The 
number of suppliers in each airport may be limited. For "big airports", this limit may not be less than 
two suppliers.  
Measures:  
EU: Directive 1996/67/EC of 15 October 1996 on access to the groundhandling market at Community 
airports.  
In BE (applies also to the regional level of government): For groundhandli ng services, reciprocity is 
required.  
Measures:  
BE: Arrêté Royal du 6 novembre 2010 réglementant l'accès au marché de l'assistance en escale à 
l'aéroport de Bruxelles -National (Article 18);  
Besluit van de Vlaamse Regering betreffende de toegang tot de g rondafhandelingsmarkt op de 
Vlaamse regionale luchthavens (Article 14); and  
Arrêté du Gouvernement wallon réglementant l'accès au marché de l'assistance en escale aux 
aéroports relevant de la Région wallonne (Article14).  
(e)  Supporting services for all modes of transport (part of CPC 748)  
With respect to Cross -border trade in services – Local presence:  
 
645 
 The EU (applies also to the regional level of government): Customs clearance services may only be 
provided by Union residents or legal persons establish ed in the Union.  
Measures:  
EU: Regulation (EU) No 952/2013 of 9 October 2013 of the European Parliament and of the Council 
establishing the Union Customs Code.  
  
 
646 
 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 I nvestment liberalisation – Market access:  
In NL: The exploration for and exploitation of hydrocarbons in the Netherlands is always performed 
jointly by a private company and the public (limited) company designated by the Minister of 
Economic Affairs. Arti cles 81 and 82 of the Mining Act stipulate that all shares in this designated 
company must be directly or indirectly held by the Dutch State (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 
13, 3.1 14).  
In BE: The exploration for and exploitation of mineral resourc es and other non -living resources in 
territorial waters and the continental shelf are subject to concession. The concessionaire must have 
an address for service in Belgium (ISIC Rev. 3.1:14).  
In IT (applies also to the regional level of government for exp loration): Mines belonging to the State 
have specific exploration and mining rules. Prior to any exploitation activity, a permit for exploration 
is needed ("permesso di ricerca", Article 4 Royal Decree 1447/1927). This permit has a duration, 
defines exactl y the borders of the ground under exploration and more than one exploration permit 
may be granted for the same area to different persons or companies (this type of licence is not 
necessarily exclusive). In order to cultivate and exploit minerals, an author isation ("concessione", 
Article 14) from the regional authority is required (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14, CPC 
8675, 883).  
Measures    
BE: Arrêté Royal du 1er septembre 2004 relatif aux conditions, à la délimitation géographique et à la 
procédure d'octroi des concessions d'exploration et d'exploitation des ressources minérales et autres 
ressources non vivantes de la mer territoriale et du p lateau continental.  
 
647 
 IT: Exploration services: Royal Decree 1447/1927; and Legislative Decree 112/1998, Article 34.  
NL: Mijnbouwwet (Mining Act).  
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation treatmen t:  
In BG: The activities of prospecting or exploration of underground natural resources on the territory 
of the Republic of Bulgaria, in the continental shelf and in the exclusive economic zone in the Black 
Sea are subject to permission, while the activit ies of extraction and exploitation are subject to 
concession granted under the Underground Natural Resources Act.  
It is forbidden for companies registered in preferential tax treatment jurisdictions (that is, offshore 
zones) or related, directly or indirec tly, 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.  
Explo ration and extraction of shale gas is forbidden (ISIC Rev. 3.1 10, 3.1 11, 3.112, 3.1 13,3.1 14).  
Measures:  
BG: Underground Natural Resources Act;  
Concessions Act;  
Law on Privatisation and Post -Privatisation Control;  
Safe Use of Nuclear Energy Act; Dec ision of the National Assembly of the Republic of Bulgaria of 18 
Jan 2012; Economic and Financial Relations with Companies Registered in Preferential Tax Treatment 
Jurisdictions, the Persons Controlled Thereby and Their Beneficial Owners Act;; and Subsurfa ce 
Resources Act.  
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation treatment:  
In CY: The Council of Ministers may refuse to allow the activities of prospecting, exploration and 
exploitation of hydrocarbo ns to be carried out by any entity which is effectively controlled by the 
United Kingdom or by nationals of the United Kingdom. After the granting of an authorisation, no 
entity may come under the direct or indirect control of the United Kingdom or a natio nal of the 
United Kingdom without the prior approval of the Council of Ministers. The Council of Ministers may 
 
648 
 refuse to grant an authorisation to an entity which is effectively controlled by the United Kingdom or 
by a national of the United Kingdom, if th e United Kingdom does not grant entities of the Republic or 
entities of Member States as regards access to and exercise of the activities of prospecting, exploring 
for and exploiting hydrocarbons, treatment comparable to that which the Republic or Member S tate 
grants entities from the United Kingdom (ISIC Rev 3.1 1110).  
Measures:  
CY: The Hydrocarbons (Prospecting, Exploration and Exploitation Law) of 2007, (Law 4(I)/2007) as 
amended.  
With respect to Investment liberalisation – Market Access National trea tment and Cross -border 
services – Local presence:  
In SK: For mining, activities related to mining and geological activity, incorporation in the EEA is 
required (no branching). Mining and prospecting activities covered by Act of the Slovak Republic 
44/1988  on protection and exploitation of natural resources are regulated on a non -discriminatory 
basis, including through public policy measures seeking to ensure the conservation and protection of 
natural resources and the environment such as the authorisation or prohibition of certain mining 
technologies. For greater certainty, such measures include the prohibition of the use of cyanide 
leaching in the treatment or refining of minerals, the requirement of a specific authorisation in the 
case of fracking for act ivities of prospecting, exploration or extraction of oil and gas, as well as prior 
approval by local referendum in the case of nuclear/radioactive mineral resources. This does not 
increase the non -conforming aspects of the existing measure for which the re servation is taken. (ISIC 
Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14, CPC 5115, 7131, 8675 and 883).  
Measures  
SK: Act 51/1988 on Mining, Explosives and State Mining Administration; and Act 569/2007 on 
Geological Activity, Act 44/1988 on protection and exploitation of natural resources.   
With respect to Investment liberalisation – Market access and Cross -border trad e in services – Local 
presence:  
In FI: The exploration for and exploitation of mineral resources are subject to a licensing 
requirement, which is granted by the Government in relation to the mining of nuclear material. A 
permit of redemption for a mining area is required from the Government. Permission may be 
granted to a natural person resident in the EEA or a legal person established in the EEA. An economic 
needs test may apply (ISIC Rev. 3.1 120, CPC 5115, 883, 8675).  
In IE: Exploration and mining comp anies operating in Ireland are required to have a presence there. 
In the case of minerals exploration, there is a requirement that companies (Irish and foreign) employ 
either the services of an agent or a resident exploration manager in Ireland while work is being 
undertaken. In the case of mining, it is a requirement that a State Mining Lease or License be held by 
a company incorporated in Ireland. There are no restrictions as to ownership of such a company (ISIC 
Rev. 3.1 10, 3.1 13, 3.1 14, CPC 883).  
Mea sures  
FI: Kaivoslaki (Mining Act) (621/2011); and  
Ydinenergialaki (Nuclear Energy Act) (990/1987).  
 
649 
 IE: Minerals Development Acts 1940 – 2017; and Planning Acts and Environmental Regulations.  
With respect only to Investment – Market access, National treatment and Cross -border trade in 
services – Local presence:  
In SI: The exploration for and exploitation of mineral resources, including regulated mining services, 
are subject to establishment in  or citizenship of the EEA, the Swiss Confederation or an OECD 
Member (ISIC Rev. 3.1 10, ISIC Rev. 3.1 11, ISIC Rev. 3.1 12, ISIC Rev. 3.1 13, ISIC Rev. 3.1 14, CPC 883, 
CPC 8675).  
Measures   
SI: Mining Act 2014.  
(b) Production, transmission and distribut ion 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:  
In DK: The owner or user intending to establish gas infrastructure or a pipeline for the transport of 
crude or refined petroleum and petroleum products and of natural gas must obtain  a permit from 
the local authority before commencing work. The number of such permits which are issued may be 
limited (CPC 7131).  
In MT: EneMalta plc has a monopoly for the provision of electricity (ISIC Rev. 3.1 401; CPC 887).  
In NL: the ownership of th e electricity network and the gas pipeline network are exclusively granted 
to the Dutch government (transmission systems) and other public authorities (distribution systems) 
(ISIC Rev. 3.1 040, CPC 71310).  
Measures:  
DK: Lov om naturgasforsyning, LBK 1127 05/09/2018, lov om varmeforsyning, LBK 64 21/01/2019, 
lov om Energinet, LBK 997 27/06/2018. Bekendtgørelse nr. 1257 af 27. november 2019 om 
indretning, etablering og drift af olietanke, rørsystemer og pipelines (Order n o. 1257 of November 
27th, 2019, on the arrangement, establishment and operation of oil tanks, piping systems and 
pipelines)  
MT: EneMalta Act Cap. 272 and EneMalta (Transfer of Assets, Rights, Liabilities & Obligations) Act 
Cap. 536.  
NL: Elektriciteitswet  1998; Gaswet.  
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:  
In AT: With regard to the transportation of g as authorisation is only granted to nationals of a 
Member State of the EEA domiciled in the EEA. Enterprises and partnerships must have their seat in 
the EEA. The operator of the network must appoint a Managing Director and a Technical Director 
 
650 
 who is resp onsible for the technical control of the operation of the network, both of whom must be 
nationals of a member state of the EEA.  
The competent authority may waive the nationality and domiciliation requirements where the 
operation of the network is consider ed to be in the public interest.  
For the transportation of goods other than gas and water, the following applies:  
(i) with regard to natural persons, authorisation is only granted to EEA -nationals who must 
have a seat in Austria; and  
(ii) enterprises and partner ships 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:  
AT: Rohrleit ungsgesetz (Law on Pipeline Transport), BGBl. Nr. 411/1975, § 5(1) and (2), §§ 5 (1) and 
(3), 15, 16; and  
Gaswirtschaftsgesetz 2011(Gas Act), BGBl. I Nr. 107/2011, Articles 43 and 44, Articles 90 and 93.  
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:  
In AT: With regard to transmission and distribution of electr icity, authorisation is only granted to 
nationals of a Member State of the EEA domiciled in the EEA. If the operator appoints a managing 
director or a leaseholder, the domicile requirement is waived.  
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 operatio n 
of the network is considered to be in the public interest (ISIC Rev. 3.1 40, CPC 887).  
Measures:  
AT: Burgenländisches Elektrizitätswesengesetz 2006, LGBl. Nr. 59/2006 as amended;  
Niederösterreichisches Elektrizitätswesengesetz, LGBl. Nr. 7800/2005 as amended; Landesgesetz, mit 
dem das Oberösterreichische Elektrizitätswirtschafts - und - 
organisationsgesetz 2006 erlassen wird (Oö. ElWOG 2006), LGBl. Nr. 1/2006 as amended; Salzburger 
Landeselektrizitätsgesetz 1999 (LEG), LGBl. Nr. 75/1999 as amended;  
Gesetz vom 16. November 2011 über die Regelung des Elektrizitätswesens in Tirol (Tiroler  
 
651 
 Elektrizitätsgesetz 2012 – TEG 2012), LGBl. Nr. 134/2011;  
Gesetz über die Erzeugung, Übertragung und Verteilung von elektrischer Energie  
(Vorarlberger Elektrizitätswir tschaftsgesetz), LGBl. Nr. 59/2003 as amended;  
Gesetz über die Neuregelung der Elektrizitätswirtschaft (Wiener Elektrizitätswirtschaftsgesetz  
2005 – WElWG 2005), LGBl. Nr. 46/2005;  
Steiermärkisches Elektrizitätswirtschafts - und Organisationsgesetz(ELWOG ), LGBl. Nr.  
70/2005; and  
Kärntner Elektrizitätswirtschafts -und Organisationsgesetz(ELWOG), LGBl. Nr. 24/2006.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Local presence:  
In CZ: For  electricity generation, transmission, distribution, trading, and other electricity market 
operator activities, as well as gas generation, transmission, distribution, storage and trading, as well 
as heat generation and distribution, authorisation is requir ed. Such authorisation may only be 
granted to a natural person with a residence permit or a legal person established in the Union. 
Exclusive rights exist with regard to electricity and gas transmission and market operator licences 
(ISIC Rev. 3.1 40, CPC 71 31, 63297, 742, 887).  
In LT: The licences for transmission, distribution, public supply and organizing of trade of electricity 
may only be issued to legal persons established in the Republic of Lithuania or branches of foreign 
legal persons or other organ isations of another Member State established in the Republic Lithuania. 
The permits to generate electricity, develop electricity generation capacities and build a direct line 
may be issued to individuals with residency in the Republic of Lithuania or to le gal persons 
established in the Republic of Lithuania, or to branches of legal persons or other organizations of 
another Member States established in the Republic of Lithuania. This reservation does not apply to 
consultancy services related to the transmiss ion and distribution on a fee or contract basis of 
electricity (ISIC Rev. 3.1 401, CPC 887).  
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 t o 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 t he 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:  
(i) 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;  
 
652 
 (ii)  storage of gaseous fuels in storage installations, liquefaction of natural gas and 
regasification of liquefied natural gas at LNG installations, as well as the stor age 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;  
(iii) transmission or distribution of fuels or energy, except for: the distribution o f 
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;  
(iv) 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 author ity 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:  
CZ: Act No. 458/2000 Coll on Business conditions and public administration in the energy sectors (The 
Energy Act).  
LT: Law on Natural Gas of the Republic of Lithuania of 10 October 2000 No VIII -1973; and Law on 
electricity of the Republic of Lithuania of 20  July 2000 No VIII -1881.  
PL: Energy Law Act of 10 April 1997, Articles 32 and 33.  
With respect to Cross -border trade in services – Local presence:  
In SI: The production, trading, supply to final customers, transmission and distribution of electricity 
and natural gas is subject to establishment in the Union (ISIC Rev. 3.1 4010, 4020, CPC 7131, CPC 
887).  
Measures:  
SI: Energetski zakon (Energy Act) 2014, O fficial Gazette RS, nr. 17/2014; and Mining Act 2014.  
  
 
653 
 Reservation No. 18 - Agriculture, fishing and manufacturing  
Sector – sub-sector:  Agriculture, hunting, forestry; animal and reindeer husbandry, fishing 
and aquaculture; publishing, printing and repr oduction 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 req uirements  
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:  
In IE: Establishment by foreign residents in flour milling activities is subject to authorisation (ISIC Rev. 
3.1 1531).  
Measures:  
IE: Agriculture Produce (Cereals) Act, 1933.  
With respect to Investment liberalisation – Market Access, National Treatment:  
In FI: Only nationals of a Member State of the EEA resident in the reindeer herding area may own 
reindeer and practice reindeer husbandry. Exclusive rights may be granted.  
In FR: Prior authorisation is required in order to become a member or act as a director of an 
agricultural cooperative (ISIC Rev. 3.1 011, 012, 013, 014, 015).  
In SE: Only Sami people may own and pract ice reindeer husbandry.  
Measures:  
FI: Poronhoitolaki (Reindeer Husbandry Act) (848/1990), Chapter 1, s. 4, Protocol 3 to the Accession 
Treaty of Finland.  
FR: Code rural et de la pêche maritime.  
SE: Reindeer Husbandry Act (1971:437), section 1.  
 
654 
 (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:  
In FR: A French vessel flying the French flag may be issued a fishing a uthorisation or may be allowed 
to fish on the basis of national quotas only when a real economic link on the territory of France is 
established and the vessel is directed and controlled from a permanent establishment located on the 
territory of France (ISI C Rev. 3.1 050, CPC 882).  
Measures:  
FR: Code rural et de la pêche maritime.  
(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:  
In LV: Only legal persons incorporated in Latvia, and natural persons of Latvia have the right to found 
and publish mass media. Branches are not allowed (CPC 88442).  
Measures:  
LV: Law on the Press and Other Mass Media, s. 8.  
With respect to Investment libera lisation – National treatment and Cross -border trade in services – 
Local presence:  
In DE (applies also to the regional level of government): Each publicly distributed or printed 
newspaper, journal, or periodical must clearly indicate a "responsible editor " (the full name and 
address of a natural person). The responsible editor may be required to be a permanent resident of 
Germany, the Union or an EEA Member State. Exceptions may be allowed by the Federal Minister of 
the Interior (ISIC Rev. 3.1 223, 224).  
Measures:  
DE:  
Regional level:  
Gesetz über die Presse Baden -Württemberg (LPG BW);  
Bayerisches Pressegesetz (BayPrG);  
Berliner Pressegesetz (BlnPrG);  
Brandenburgisches Landespressegesetz (BbgPG);  
Gesetz über die Presse Bremen (BrPrG);  
Hamburgisches Presseg esetz;  
 
655 
 Hessisches Pressegesetz (HPresseG);  
Landespressegesetz für das Land Mecklenburg -Vorpommern (LPrG M -V); 
Niedersächsisches Pressegesetz (NPresseG);  
Pressegesetz für das Land Nordrhein -Westfalen (Landespressegesetz NRW);  
Landesmediengesetz (LMG) Rheinl and-Pfalz;  
Saarländisches Mediengesetz (SMG);  
Sächsisches Gesetz über die Presse (SächsPresseG);  
Pressegesetz für das Land Sachsen -Anhalt (Landespressegesetz);  
Gesetz über die Presse Schleswig -Holstein (PressG SH);  
Thüringer Pressegesetz (TPG).  
With respect to Investment liberalisation – Market Access, National Treatment:  
In IT: In so far as the United Kingdom allow Italian investors to own more than 49 per cent of the 
capital and voting rights in a publishing company of the United Kingdom, then  Italy will allow 
investors of the United Kingdom to own more than 49 per cent of the capital and voting rights in an 
Italian publishing company under the same conditions (ISIC Rev. 3.1 221, 222).  
Measures:  
IT: Law 416/1981, Article 1 (and subsequent ame ndments).  
With respect to Investment liberalisation – Senior management and boards of directors:  
In PL: Nationality is required for the editor -in-chief of newspapers and journals (ISIC Rev.  
3.1 221, 222).  
Measures:  
PL: Act of 26 January 1984 on Press law, Journal of Laws, No. 5, item 24, with subsequent 
amendments.  
With respect to Investment liberalisation – National treatment and Cross -border trade in services –
National treatment, Local presence:  
In SE: Natural pers ons who are owners of periodicals that are printed and published in Sweden must 
reside in Sweden or be nationals of a Member State of the EEA. Owners of such periodicals who are 
legal persons must be established in the EEA. Periodicals that are printed and  published in Sweden 
and technical recordings must have a responsible editor, who must be domiciled in Sweden (ISIC 
Rev. 3.1 22, CPC 88442).  
Measures:  
 
656 
 SE: Freedom of the press act (1949:105);  
Fundamental law on Freedom of Expression (1991:1469); and  
Act on ordinances for the Freedom of the Press Act and the Fundamental law on Freedom of 
Expression (1991:1559).   
  
 
657 
 Schedule of the United Kingdom  
Reservation No. 1 – All sectors  
Reservation No. 2 – Professional services (all professions except health -related)  
Reservation No. 3 – Professional services (veterinary services)  
Reservation No. 4 – Research and development services  
Reservation No. 5 – Business services  
Reservation No . 6 – Communication services  
Reservation No. 7 – Transport services and services auxiliary to transport services  
Reservation No. 8 – Energy related activities  
  
 
658 
 Reservation No. 1 – All sectors  
Sector:  All sectors  
Type of reservation:  Market access  
National treatment  
Senior management and boards of directors  
Performance resuirements  
 
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 take overs or mergers,  where the commitment 
or undertaking is not imposed or required as a condition of approval of the takeover or merger.  
Measures:  
The City Code on Takeovers and Mergers  
Companies Act 2006   
Law of Property (Miscellaneous Provisions) Act 1989 as regards enforcement of Deeds of 
Undertaking in relation to takeovers or mergers  
With respect to Investment Liberalisation – Market access, National treatment and Senior 
management and boards of directors  
This reservation applies only to health, social o r education services : 
The UK, 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 on the 
ability of owners of such interests and assets to control any resulting  enterprise, by investors of the 
Union or their enterprises. With respect to such a sale or other disposition, the UK may adopt or 
maintain any measure relating to the nationality of senior management or members of the boards of 
directors, as well as any m easure limiting the number of suppliers.  
For the purposes of this reservation:  
(i) 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 
ownershi p of equity interests or assets or imposes nationality requirements or 
 
659 
 imposes limitations on the numbers of suppliers as described in this reservation shall 
be deemed to be an existing measure; and  
(ii) ‘state enterprise’ means an enterprise owned or controll ed 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:  
As set out in the Description element as indicated above.  
  
 
660 
 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 
requiremen ts for obtaining authorisation or a licence, or registration, are non -discriminatory and 
conform with commitments imposed by Article SERVIN 5.49, 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:  
Residency (commercial presence) may be required by the relevant professional or regulatory body 
for the provision of some UK domestic legal services. Non -discriminatory legal form requireme nts 
apply.  
Residency may be required by the relevant professional or regulatory body for the provision of 
certain UK domestic legal services in relation to immigration.  
Measures:  
For England and Wales, the Solicitors Act 1974, the Administration of Justice Act 1985 and the Legal 
Services Act 2007. For Scotland, the Solicitors (Scotland) Act 1980 and the Legal Services (Scotland) 
Act 2010. For Northern Ireland, the Solicitors (North ern Ireland) Order 1976. For all jurisdictions, the 
Immigration and Asylum Act 1999. In addition, the measures applicable in each jurisdiction include 
any requirements set by professional and regulatory bodies.  
(b) Auditing services (CPC 86211, 86212 other th an accounting and bookkeeping services)  
With respect to Investment Liberalisation – National treatment and Cross -Border Trade in Services – 
National treatment:  
 
661 
 The competent authorities of the UK may recognise the equivalence of the qualifications of an 
auditor who is a national of the Union or of any third country in order to approve them to act as a 
statutory auditor in the UK subject to reciprocity (CPC 8621).  
Measures:  
The Companies Act 2006   
 
662 
 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:  
Veterinary Surgeons Act 1966  
  
 
663 
 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 liberalis ation anc 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 ad ministration or principal place of business 
in the UK (CPC 851, 853).  
This reservation is without prejudice to [Part Five] [Participation in Union Programmes, Sound 
Financial Management and Financial Provisions] and to the exclusion of procurement by a Pa rty or 
subsidies or grants in paragraph 6 and 7 of Article SERVIN 1.1 [Objective and scope].   
Measures:  
All currently existing and all future research or innovation programmes.  
  
 
664 
 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 Cro ss-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 th e 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 crit eria 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 th e 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 dis criminatory 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.  
Meas ures:  Regulation (EC) No 1008/2008 of the European Parliament and of the Cou ncil 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).  
 
665 
 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 w ith national legislation. For greater certainty, postal 
operators may be subject to particular universal service obligations or a financial contribution to a 
compensation fund.  
Measures:  
Postal Services Act 2011  
  
 
666 
 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  
Industr y 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:  
The level of openness of groundhandling services depends on the size of airport. The number of 
suppliers in each airport may be limited. For ‘big airports’, this limit may not be less than two 
suppliers.  
Measures:  
The Airports (Groundhandling) Regulation s 1997 (S.I. 1997/2389)  
(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:  
Customs services, including customs clearance services and services relating to use of temporary 
storage facilities or customs warehouses, may only be provided by persons established in the UK. 
For the avoidance of doubt, this includes UK residents, person s with a permanent place of business 
in the UK or a registered office in the UK .  
Measures:  
Taxation (Cross -Border Trade Act) 2018; the Customs and Excise Management Act 1979; the 
Customs (Export) (EU Exit) Regulations 2019; the Customs (Import Duty) (EU Exit) Regulations 2018; 
the Customs (Special Procedures and Outward Processing) (EU Exit) Regulations 2018; the Customs 
and Excise (Miscellaneous Provisions and Amendments) (EU Exit) Regulations 2019/1215.  
(c) Auxiliary services for water transport  
 
667 
 With respe ct to Investment Liberalisation – Market Access, and Cross -Border Trade in Services – 
Market Access:  
For port services, the managing body of a port, or the competent authority, may limit the number of 
providers of port services for a given port service.  
Measures:  
Regulation (EU) 2017/352 of 15 February 2017 establishing a framework for the provision of port 
services and common rules on the financial transparency of ports, Article 6 as retained in UK law by 
the European Union (Withdrawal) Act 2018 and as ame nded by the Pilotage and Port Services 
(Amendment) (EU Exit) Regulations 2020 (S.I. 2020/671)  
Port Services Regulations 2019  
  
 
668 
 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)  
 
Description:  
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:  
(i) a staffed presence in the UK;  
(ii) registration of a UK company at Com panies House; or  
(iii) 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 define d in section 148 of the Finance Act 2003 (which normally requires a 
staffed presence) (ISIC Rev. 3.1 11, CPC 883, 8675).  
Measures:  
Petroleum Act 1998  
  
 
669 
 ANNEX SERVIN -2: FUTURE MEASURES  
Headnotes  
1.  The Schedules of the Uni ted Kingdom and the Union set out, under Article SERVIN 2.7 [Non -
conforming measures – Investment liberalisation], Article SERVIN.3.6 [Non -conforming measures – 
Cross -border trade in services] and Article SERVIN.5.50 [Non -conforming measures – Legal servic es], 
the reservations taken by the United Kingdom and the Union with respect to existing measures that 
do not conform with obligations imposed by:  
(a) Articles SERVIN.2.2 [Market access – Investment liberalisation] or SERVIN.3.2 [Market 
access - Cross -border tr ade in services];  
(b) Article SERVIN.3.3 [Local presence – Cross -border trade in services];  
(c) Articles SERVIN.2.3 [National treatment – Investment liberalisation] or SERVIN .3.4 
[National treatment - Cross -border trade in services];  
(d) Articles SERVIN.2.4 [Most -favoured -nation treatment – Investment liberalisation], or 
SERVIN .3.5 [Most -favoured -nation treatment - Cross -border trade in services];  
(e) Article SERVIN.2.5 [Senior management and boards of directors];  
(f) Article SERVIN.2.6 [Performance requirements]; or  
(g) Article SERVIN.5.49 [Obligations – Legal services].  
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:  
(a) “sector”  refers to the general sector  in which the reservation is taken;  
(b) “sub -sector”  refers to the specific sector in which the reservation is taken;  
(c) “industry classification”  refers, where applicable, to the activity covered by the 
reservation according to the CPC, ISIC rev 3.1, or as exp ressly otherwise described in a 
Party's reservation;  
(d) “type of reservation”  specifies the obligation referred to in paragraph 1 for which a 
reservation is taken;  
(e) “description”  sets out the scope of the sector, sub -sector or activities covered by the 
reserv ation; and  
(f) “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 co nsidered. 
The “description” element shall prevail over all other elements.  
5. For the purposes of the Schedules of the United Kingdom and the European Union:  
 
670 
 (a) ‘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;  
(b)‘CPC’ means the Provisional Central Product Classification (Statistical Papers, Series M No. 
77, Department of Interntional Economi c 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 SERVIN 3.3 [Local presence], and not against Article SERVIN 3.2 [Market access] or 
SERVIN 3.4 [National treatment]. Furthermore, such a requirement is not taken as a reservation 
against Article SERVIN 2.3 [National treatmen t].   
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 reservat ion 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 govern ments 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 a t 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 limitation within the meaning of Article SERVIN.2.2  [Market Access – 
Investment liberalisation], Article SERVIN.2.3 [National Treatment – Investment liberalisation], 
Article SERVIN.3.2 [Market access – Cross -border trade in services], Article SERVIN.3.3 [Local 
presence – Cross -Border Trade in Services], Ar ticle SERVIN.3.4 [National treatment – Cross -sorder 
trade in services] or Article SERVIN 5.49 [Obligations – Legal services]. These measures may include, 
in particular the need to obtain a licence, to satisfy universal service obligations, to have recognis ed 
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 European 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 ado pted pursuant to that Treaty, including their implementation in the 
Member States, to:  
(i) natural persons or residents of another Member State; or  
(ii) legal persons constituted or organised under the law of another Member State or of the 
Union and havi ng their registered office, central administration or principal place of business 
in the Union.  
 
671 
 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 [Investment 
Liberalisation] of Tit le II [Services and Investment] of Heading One [Trade] of Part Two [Trade, 
transport and fisheries], 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 o nly to the territories of the United Kingdom and the European Union in 
accordance with Article FINPROV.1 [Territorial Scope] and Article OTH.9.2 [Geographical Scope] and 
are only relevant in the context of trade relations between the Union and its Member S tates 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 Articles SERVIN.  2.2 [Market access – Investment liberalisation], or 
SERVIN.3.2 [Market access – Cross -border trade in services]  or Article SERVIN.5.49 [Obligations – 
Legal services] for any measure:  
(a) requiring the separation of the ownership of infrastructure from the ow nership of the 
goods or services provided through that infrastructure to ensure fair competition, for 
example in the fields of energy, transportation and telecommunications;  
(b) restricting the concentration of ownership to ensure fair competition;  
(c) 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;  
(d) limiting the number of authorisations granted  because of technical or physical 
constraints, for example telecommunications spectra and frequencies; or  
(e) requiring that a certain percentage of the shareholders, owners, partners, or directors of 
an enterprise be qualified or practice a certain professio n 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 prud ential 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 authorisati on 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 banki ng 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:  
 
 
672 
 UK United Kingdom  
EU European Union, including all its Member States   
AT Austria  
BE Belgium   
BG Bulgaria  
CY Cyprus  
CZ Czech Republic  
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  
 
 
  
 
673 
 Schedule of the Union  
Reservation No. 1 - All sectors  
Reservation No. 2 - Professional services – other than health related services   
Reservation No. 3 - Professional services – health related and retail of pharmaceuticals  
Reservation No. 4 - Business Services - Research and development services  
Reservation No. 5 - Business Services - Real estate services  
Reservation No. 6 - Business services - Rental or leasing services  
Reservation No. 7 - Business Services - Collection agency services and Credit reporting services  
Reservation No. 8 - Business Services - Placement services  
Reservation No. 9 - Business Services - Security and investigation services  
Reservation No. 10 - Business Services - Other business services  
Reservation No. 11 - Telecommunication  
Reservation No. 12 - Construction  
Reservation No. 13 - Distribution service s 
Reservation No. 14 - Education services  
Reservation No. 15 - Environmental services  
Reservation No. 16 – Financial Services  
Reservation No. 17 - Health services and social services  
Reservation No. 18 - Tourism and travel related services  
Reservation No.  19 - Recreational, cultural and sporting services  
Reservation No. 20 - Transport services and auxiliary transport services  
Reservation No. 21 - Agriculture, fishing and water  
Reservation No. 22 - Energy related activities  
Reservation No. 23 - Other servic es not included elsewhere  
 
 
  
 
674 
 Reservation No. 1 - All sectors  
Sector:  All sectors  
Type of reservation:  Market access  
National treatment  
Most favoured nation treatment  
Senior management and board 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 followi ng:  
(a) Establishment   
With respect to Investment liberalisation – Market access:   
The EU: Services considered as public utilities at a national or local level may be subject to public 
monopolies or to exclusive rights granted to private operators.  
Publi c 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, transpor t 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 publ ic 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 :  
In FI: Restrictions on the right for natural persons, who do not enjoy region al citizenship in Åland, 
and for legal persons, to acquire and hold real property on the Åland Islands without obtaining 
permission from the competent authorities of the Åland Islands. Restrictions on the right of 
establishment and right to carry out econo mic activities by natural persons, who do not enjoy 
regional citizenship in Åland, or by any enterprise, without obtaining permission from the competent 
authorities of the Åland Islands.  
Existing measures:  
FI: Ahvenanmaan maanhankintalaki (Act on land ac quisition in Åland) (3/1975), s. 2; and 
Ahvenanmaan itsehallintolaki (Act on the Autonomy of Åland) (1144/1991), s. 11.  
 
675 
 With respect to Investment liberalisation – Market access, National treatment, Performance  
requirements, Senior management and boards of directors; Regulatory Framework for Legal Services 
– Obligations :  
In FR: Pursuant to articles L151 -1 and 151 -1 et seq of the financial and monetary code, foreign 
investments in France in sectors listed in art icle R.151 -3 of the financial and monetary code are 
subject to prior approval from the Minister for the Economy.   
Existing measures:  
FR: As set out in the description element as indicated above.  
With respect to Investment liberalisation – National treatm ent, Senior management and boards of 
directors :  
In FR: Limiting foreign participation in newly privatised companies to a variable amount, determined 
by the government of France on a case by case basis, of the equity offered to the public. For 
establishing  in certain commercial, industrial or artisanal activities, a specific authorisation is needed 
if the managing director is not a holder of a permanent residence permit.  
With respect to Investment liberalisation – Market access and Regulatory framework for  Legal 
services – Obligations :  
In HU: Establishment should take a form of limited liability company, joint -stock company or 
representative office. Initial entry as a branch is not permitted except for financial services.  
With respect to Investment liberalisation – Market access, National treatment:   
In BG: Certain economic activities related to the exploitation or use of State or public property are 
subject to concessions granted under the provisions of the Concessions Act.  
In commercial corporatio ns 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, cre dit, 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 reserva tion does not apply to mining and quarrying, which are 
subject to a separate reservation in the schedule of the European Union in ANNEX  SERVIN -1.   
In IT: The Government may exercise certain special powers in enterprises operating in the areas of 
defence a nd 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 natio nal 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:  
(a) to impose specific conditions in the purchase of share s;  
(b) to veto the adoption of resolutions relating to special operations such as transfers, mergers, 
splitting up and changes of activity; or  
 
676 
 (c) 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 Prim e Minister may exercise the following special powers:  
(a) 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;  
(b) to impose sp ecific conditions in order to guarantee the public interest; or  
(c) 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 procedure s for 
the exercise of the special powers are laid down in the law.  
Existing measures:  
IT: Law 56/2012 on special powers in companies operating in the field of defence and national 
security, energy, transport and communications; and  
Decree of the Prime M inister DPCM 253 of 30.11.2012 defining the activities of strategic importance 
in the field of defence and national security.  
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation  treatment, Performance  requirements, Senior management and boards of directors:   
In LT: Enterprises, sectors and facilities of strategic importance to national security.  
Existing measures:  
LT: Law on the Protection of Objects of Importance to Ensuring National Security of the Republic of 
Lithuania of 10 October 2002 No. IX -1132 (as last amended on 12 of January 2018 No XIII -992).  
With respect to Investment liberalisation – National treatment and Senior management and boards 
of directors:   
In SE: Discriminatory requirements for founders, senior management and boards of directors when 
new forms of legal association are incorporated into Swedish law.  
(b) Acquisition of real estate  
With respect to Investment liberalisation – Market access, Nationa l treatment, Senior management 
and boards of directors:   
In HU: The acquisition of state -owned properties.  
With respect to Investment liberalisation – Market access, National treatment:   
 
677 
 In HU: The acquisition of arable land by foreign legal persons and non -resident natural persons.  
Existing measures:  
HU: Act CXXII of 2013 on the circulation of agricultural and forestry land (Chapter II  
(Paragraph 6 -36) and Chapter IV (Paragraph 38 -59)); and  
Act CCXII of 2013 on the transitional measures and certain provisions related to Act CXXII of 2013 on 
the circulation of agricultural and forestry land (Chapter IV (Paragraph 8 -20)).  
In LV: The acquisition of rural land by nationals of the United Kingdom  or of a third country.   
Existing measures:  
LV: Law on land privatisation in rural areas, ss. 28, 29, 30.  
In SK: Foreign companies or natural persons may not acquire agricultural and forest land outside the 
borders of the built -up area of a municipality and some other land (e.g. natural resources, lakes, 
rivers, public roads etc.).  
Existing measures:  
SK: Act No 44/1988 on protection and exploitation of natural resources;  
Act No 229/1991 on regulation of the ownership of land and other agricultural property;   
Act No 460/1992 Constitution of the Slovak Republic;  
Act No 180/1995 on some measures for land ownership arrangements;  
Act No 202/1995 on Foreign Exchange;  
Act No 503/2003 on restitution of ownership to land;  
Act No 326/2005 on Forests; and  
Act No 1 40/2014 on the acquisition of ownership of agricultural land.  
With respect to Investment liberalisation – National treatment  and Cross -border trade in services – 
Local presence:  
In BG: Foreign natural and legal persons cannot acquire land. Legal persons of Bulgaria with foreign 
participation cannot acquire agricultural land. Foreign legal persons and foreign natural persons with 
permanent residence abroad can acquire buildings and real  estate property rights (right to use, right 
to build, right to raise a superstructure and servitudes). Foreign natural persons with permanent 
residence abroad, foreign legal persons in which foreign participation ensures a majority in adopting 
decisions o r blocks the adoption of decisions, can acquire real estate property rights in specific 
geographic regions designated by the Council of Ministers subject to permission.   
BG: Constitution of the Republic of Bulgaria, article 22; Law on Ownership and Use of  Agricultural 
Land, article 3; and Law on Forests, article 10.  
 
678 
 In EE: Foreign natural or legal persons that are not from the EEA or from members of the 
Organisation for Economic Co -operation and Development can acquire an immovable asset which 
contains ag ricultural and/or forest land only with the authorisation of the county governor and of 
the municipal council, and must prove as prescribed by law that the immovable asset will, according 
to its intended purpose, be used efficiently, sustainably and purpos efully.  
Existing measures:  
EE: Kinnisasja omandamise kitsendamise seadus (Restrictions on Acquisition of Immovables Act) 
Chapters 2 and 3.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade  in services  - Market access, National treatment:   
In LT: Any measure which is consistent with the commitments taken by the European Union and 
which are applicable in Lithuania in GATS with respect to land acquisition. The land plot acquisition 
procedure, terms and co nditions, as well as restrictions shall be established by the Constitutional 
Law, the Law on Land and the Law on the Acquisition of Agricultural Land.  
However, local governments (municipalities) and other national entities of Members of the 
Organisation f or 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 Lithuan ia 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:  
LT: Constitution of the Republ ic of Lithuania;  
The Constitutional Law of the Republic of Lithuania on the Implementation of Paragraph 3 of Article 
47 of the Constitution of the Republic of Lithuania of 20 June 1996, No. I -1392 as last amended 20 
March 2003, No. IX -1381;  
Law on land, of 27 January 2004, No. IX -1983; and  
Law on acquisition of agricultural land of 24 April 2014, No. XII -854.  
(c) Recognition   
With respect to Investment liberalisation –National treatment and Cross -border trade in services – 
National treatment:  
In EU: The European Union directives on mutual recognition of diplomas and other professional 
qualification only apply to the citizens of the Union. The right to practise a regulated professional 
service in one Member State does not grant the right to practise in another Member State.  
(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 – 
Oblig ations :  
 
679 
 The EU: According differential treatment to a third country pursuant to any international investment 
treaties or other trade agreement in force or signed prior to the date of entry into force of this 
Agreement.  
The EU: According differential trea tment to a third country pursuant to any existing or future 
bilateral or multilateral agreement which:  
(i) creates an internal market in services and investment;  
(ii) grants the right of establishment; or  
(iii) 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 ba rriers 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:  
(i) the alignment of the legislation of one or more of the parties to the bi lateral or multilateral 
agreement with the legislation of the other Party or parties to that agreement; or  
(ii) 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:  
EU: Agreement on the E uropean Economic Area;  
Stabilisation Agreements;  
EU-Swiss Confederation bilateral agreements; and  
Deep and Comprehensive Free Trade Agreements.  
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 co untries 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:  
(a) financial support to research and development (R&D) projec ts (the Nordic Industrial Fund);  
 
680 
 (b) funding of feasibility studies for international projects (the Nordic Fund for Project Exports); and  
(c) 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 
paragraphs 6 and 7 of Article SERVIN.1.1 [Objective and scope] .  
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 reservati ons 
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 t he 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:  
In EU: Production or distribution of, or trade in, arms, munitions and war material. War material is 
limited to any product which is solely intended and made for military use in connection with the 
conduct of war or defence activities.  
  
  
 
681 
 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 pl anning 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 board 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:  
The EU, with the exception of SE: The supply of legal advisory  and legal authorisation, 
documentation, and certification services provided by legal professionals entrusted with public 
functions, such as notaries, "huissiers de justice " or other "officiers publics et ministériels ", and with 
respect to services provide d by bailiffs who are appointed by an official act of government (part of 
CPC 861, part of 87902).  
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:   
In HU: Cross -border activities for accounting and bookkeeping.  
 
682 
 Existing measures :  
HU: Act C of 2000; and Act LXXV of 2007.  
(c)  Auditing services (CPC – 86211, 86212 other than accounting and bookkeeping  services)   
With respect to Cross -border trade  in services  - National treatment:   
In BG: An independent financial audit shall be implemented by registered auditors who are members 
of the Institute of the Certified Public Accountants. Subject to reciprocity, the Institute of the 
Certified Public Accountants shall register an audit entity of t he United Kingdom or of a third country 
upon the latter furnishing proof that:  
(a) 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 Bulga rian auditors and 
have passed successfully the examinations for it;  
(b) the audit entity carries out independent financial audit in accordance with the requirements for 
independence and objectivity; and  
(c) the audit entity publishes on its website an an nual transparency report or performs other 
equivalent requirements for disclosure in case it audits public -interest entities.  
Existing Measures:  
BG: Independent Financial Audit Act.  
With respect to Investment liberalisation – Market access, National trea tment, Senior management 
and boards of directors:   
In CZ: Only a legal person in which at least 60 per cent of capital interests or voting rights are 
reserved to nationals of the Czech Republic or of the Member States of the European Union is 
authorised to  carry out audits in the Czech Republic.  
Existing Measures:  
CZ: Law of 14 April 2009 no. 93/2009 Coll., on Auditors.  
With respect to Cross -border trade in services – Market access:   
In HU: Cross -border supply of auditing services.  
Existing Measures:  
Act C of 2000; and Act LXXV of 2007.  
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:  
In HR: The cross -border supply of urban planning.   
 
683 
 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 board of directors  
Performance requirements  
Local presence  
 
Chapter:  Investment Lib eralisation 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:  
In FI: The supply of all health -related professional services, whether publicly or privately funded, 
including medical and dental services, services provided by midwives, physiotherapists and 
paramedical personnel and services provide d by psychologists, excluding services provided by nurses 
(CPC 9312, 93191).  
Existing measures:  
FI: Laki yksityisestä terveydenhuollosta (Act on Private Health Care) (152/1990).  
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 (C PC 9312, part of 9319).  
Existing Measures:  
BG: Law for Medical Establishment, Professional Organisation of Medical Nurses, Midwives and 
Associated Medical Specialists Guild Act.  
With respect to  Investment liberalisation – Market access , National treatment and Cross -border 
trade in services – Market access and National treatment:   
In CZ, MT: The supply of all health -related professional services, whether publicly or privately 
funded, including the services provided by professionals such as medical doctors, dentists, midwives, 
 
684 
 nurses, physiotherapists, paramedics, psychologists, as well as other related services (CPC 9312, part 
of 9319).  
Existing Measures:  
CZ: Act No 296/2008 Coll., on Safeguarding the Quality and Safety of Human Tissues and   
Cells Intended for Use in Man ("Act on Human Tissues and Cells");  
Act No 378/2007 Coll., on Pharmaceuticals and on Amendments to Some Related Acts (Act on 
Pharmaceuticals);  
Act No. 268/2014 Coll. on medical devices and amending Act No 634/2004 Coll. on  administrative 
fees, as subsequently amended;  
Act No. 285/2002 Coll., on the Donating, Taking and Transplanting of Tissues and Organs and on 
Amendment to Certain Acts (Transplantation Act).  
Act No. 372/2011 Coll., on health services and on conditions of t heir provision  
Act No. 373/2011 Coll., on specific health services).  
With respect to Cross -border trade in services – Market access, National treatment, Local presence:  
The EU, with the exception of NL and SE: The supply of all health -related profession al services, 
whether publicly or privately funded, including the services provided by professionals such as 
medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists,  
requires residency. These services may only be provide d by natural persons physically present in the 
territory of the European Union (CPC 9312, part of 93191).  
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 
physiotherapi sts, 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 se rvices –National treatment, Local presence:  
In BG: A veterinary medical establishment may be established by a natural or a legal person.  
The practice of veterinary medicine is only allowed for nationals of the EEA and for permanent 
residents (physical pre sence is required for permanent residents).  
With respect to Cross -border trade in services – Market access, National treatment:  
In BE, LV: Cross -border supply of veterinary services.  
 
685 
 (c) Retail sales of pharmaceutical, medical and orthopaedic goods, othe r services provided by 
pharmacists (CPC 63211)   
With respect to  Investment liberalisation – Market access and Cross -border trade in services – Local 
presence :  
The EU, with the exception of EL, IE, LU, LT and  NL: For restricting the number of suppliers entitled 
to provide a particular service in a specific local zone or area on a non -discriminatory basis. An 
economic needs test may therefore be applied, taking into account such factors as the number of 
and impact  on existing establishments, transport infrastructure, population density or geographic 
spread.  
The EU, with the exception of BE, BG, EE,  ES, IE and IT:  Mail order is only possible from Member 
States of the EEA, thus establishment in any of those countrie s is required for the retail of 
pharmaceuticals and specific medical goods to the general public in the Union. 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 manag ement 
and boards of directors, Performance requirements and Cross -border trade in services – Market 
access, National treatment:  
In FI: Retail sales  of pharmaceutical products and of medical and  orthopaedic goods.  
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:  
In SE : Retail sales of pharmaceutical goods and the supply of pharmaceutical goods to the general 
public .  
Existing measures:   
AT: Arzneimittelgesetz (Medication Act), BGBl. Nr. 185/1983 as amended, §§ 57, 59, 59a; and  
Medizinproduktegesetz (Medical Products Law), BGBl. Nr. 657/1996 as amended, § 99.  
BE: Arrêté royal du 21 janvier 2009 portant instructions  pour les pharmaciens; and Arrêté royal du 
10 novembre 1967 relatif à l'exercice des professions des soins de santé.  
CZ : Act No. 378/2007 Coll., on Pharmaceuticals, as amended; and Act No. 372/2011 Coll., on Health 
services, as amended.  
FI: Lääkelaki (Me dicine Act) (395/1987).  
 
686 
 PL: Pharmaceutical Law, art. 73a (Journal of Laws of 2020, item 944, 1493).  
SE: Law on trade with pharmaceuticals (2009:336);  
Regulation on trade with pharmaceuticals (2009:659); and  
The Swedish Medical Products Agency has adopted further regulations, the details can be found at 
(LVFS 2009:9).   
  
 
687 
 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:  
In RO: Cross -borde r supply of research and development services.  
Existing measures:  
RO: Governmental Ordinance no. 6 / 2011;  
Order of Minister of Education and Research no. 3548 / 2006; and Governmental Decision no. 134 / 
2011.  
  
  
 
688 
 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 m easure with respect to the following:  
In CZ and HU: Cross -border supply of real estate services.  
 
  
 
689 
 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:  
In BE and FR: Cross -border supply of leasing or rental services without operator concerning personal 
and household goods.  
  
  
 
690 
 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:  
The EU, with the exception of  ES, LV and SE, with regard to the supply of collection agency services 
and credit reporting services.  
  
 
691 
 Reservation No. 8 - Business Service s - 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 board 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:  
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:   
In the EU, with the exception of HU and SE: Supply services of domestic help personnel, other 
commercial or industrial workers, nursing and other personnel (CPC 87204, 87205, 87206, 87209).  
In BG, CY, CZ, DE, EE, FI, MT, LT, LV , PL, PT, RO, SI  and SK: Executive search  services (87201).  
In AT, BG, CY, CZ, EE, FI, LT, LV MT, PL, PT, RO, SI  and SK: The establishment of placement services of 
office support personnel and other workers (CPC 87202).  
In AT, BG, CY, CZ, DE, EE, FI , MT, LT, LV , PL, PT, RO, SI  and SK: Supply services of office support 
personnel (CPC 87203).  
With respect to Cross -border trade in services – Market access, National treatment, Local presence:  
In the EU with the exception of BE, HU and SE: The cross -border supply of placement services of 
office support personnel and other workers (CPC 87202).  
In IE: The cross -border supply of executive search services (87201).  
In FR, IE, IT  and NL: The cross -border supply of services of office personnel (CPC 87203).  
With respect to Investment liberalisation – Market access and Cross -border trade in services – 
Market access  
In DE: To restrict the number of suppliers of placement services.  
In ES: To restrict the number of suppliers of executive search services and placement services (CPC 
87201, 87202).  
In FR: These services can be subject to a state monopoly CPC 8 7202).  
 
692 
 In IT: To restrict the number of suppliers of supply services of office personnel (87203).  
With respect to Investment liberalisation –Market access, National treatment:  
In DE: The Federal Ministry of Labour and Social Affairs may issue a regulatio n concerning the 
placement and recruitment of non -European Union and non -EEA personnel for specified professions 
(CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209).  
Existing measures:   
AT: §§97 and 135 of the Austrian Trade Act (Gewerbeordnung), Federal Law Gazette Nr. 194/1994 as 
amended; and  
Temporary Employment Act (Arbeitskräfteüberlassungsgesetz/AÜG), Federal Law Gazette Nr.  
196/1988 as amended.  
BG: Employment Promotion Act, articl es 26, 27, 27a and 28.  
CY: Private Employment Agency Law N. 126(I)/2012 as amended.   
CZ: Act on Employment (435/2004).  
DE: Gesetz zur Regelung der Arbeitnehmerüberlassung (AÜG);  
Sozialgesetzbuch Drittes Buch (SGB III; Social Code, Book Three) - Employme nt Promotion;  
Verordnung über die Beschäftigung von Ausländerinnen und Ausländern (BeschV; Ordinance on the 
Employment of Foreigners).  
DK: §§ 8a – 8f in law decree no. 73 of 17th of January 2014 and specified in decree no. 228 of 7th of 
March 2013 (employm ent of seafarers); and Employment Permits Act 2006. S1(2) and (3).  
EL: Law 4052/2012 (Official Government Gazette 41 Α) as amended to some of its provision by the 
law Ν.4093/2012 (Official Government Gazette 222 Α).  
ES: Real Decreto -ley 8/2014, de 4 de julio, de aprobación de medidas urgentes para el crecimiento, 
la competitividad y la eficiencia, artículo 117 (tramitado como Ley 18/2014, de 15 de octubre).  
FI: Laki  julkisesta työvoima -ja yrityspalvelusta (Act on Public Employment and Enterprise Service) 
(916/2012).  
HR: Labour Market Act (OG 118/18, 32/20)  
Labour Act (OG 93/14, 127/17, 98/19)  
Aliens Act (OG 130/11m 74/13, 67/17, 46/18, 53/20)  
IE: Employment Permits Act 2006. S1(2) and (3).  
IT: Legislative Decree 276/2003 articles 4, 5.  
 
693 
 LT: Lithuanian Labour Code of the Republic of Lithuania approved by Law No XII -2603 of 14 
September 2016 of the Republic of Lithuania,  
The Law on the Legal Status of Aliens of the Re public of Lithuania of 29 April 2004 No. IX -2206 as last 
amended 03 -12-2019 No. XIII-2582  
LU: Loi du 18 janvier 2012 portant création de l'Ag ence pour le développement de l'emploi (Law of 
18 January 2012 concerning the creation of an agency for employment development – ADEM).  
MT: Employment and Training Services Act, (Cap 343) (Articles 23 to 25); and Employment Agencies 
Regulations (S.L. 343. 24).  
PL: Article 18 of the Act of 20 April 2004 on the promotion of employment and labour market 
institutions (Dz. U. of 2015, Item. 149, as amended).  
PT: Decree -Law No 260/2009 of 25 September, as amended by Law No. 5/2014 of 12 February 
(access and pro vision of services by placement agencies).  
RO: Law no. 156/2000 on the protection of Romanian citizens working abroad, republished, and 
Government Decision no. 384/2001 for approving the methodological norms for applying the Law 
no. 156/2000, with subsequ ent amendments;   
Ordinance of the Government no. 277/2002, as modified by Government Ordinance No. 790/2004 
and Government Ordinance No. 1122/2010; and  
Law no.53/2003 - Labour Code, republished, with subsequent amendments and supplement and the 
Governmen t Decision no 1256/2011 on the operating conditions and authorization procedure for 
temporary work agency.  
SI: Labour market regulation act (Official Gazette of RS, No. 80/2010, 21/2013, 63/2013, 55/2017); 
and Employment, Self -employment and Work of Alien s Act – ZZSDT (Official Gazette of RS, No.  
47/2015), ZZSDT -UPB2 (Official Gazette of RS, No. 1 /2018).  
SK: Act No 5/2004 on Employment Services; and Act No 455/1991on Trade Licensing.  
  
 
694 
 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 board 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, 873 03, 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:  
In BG, CY, CZ, EE, ES, LT , LV, MT, PL, RO, SI  and SK: The supply of security services.  
In DK, HR and HU: The supply of the following subsectors: guard services (87305) in HR and HU, 
security consultation services (87302) in HR, airport guard services (part of 8730 5) in DK and 
armoured car services (87304) in HU.  
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:  
In BE: Nationality of a Member State is required for boards of directors of enterprises legal persons 
supplying guard and security services (87305) as well as consultancy and training relating to security 
services (87302). The senior management of companies provi ding guard and security consultancy 
services required to be resident nationals of a Member State.  
In FI: Licences to supply security services may be granted only to natural persons resident in the EEA 
or legal persons established in the EEA.  
In ES: The cross border supply of security services. Nationality requirements exist for private security 
personnel.  
With respect to Cross -border trade in services – Market access, National treatment:  
In BE, FI, FR  and PT: The supply of security services by a foreign  provider on a cross -border basis is 
not allowed. Nationality requirements exist for specialised personnel in PT and for managing 
directors and directors in FR.  
 
695 
 Existing measures:   
BE: Loi réglementant la sécurité privée et particulière, 2 Octobre 2017  
BG: Private Security Business Act.  
CZ: Trade Licensing Act.  
DK: Regulation on aviation security.  
FI: Laki yksityisistä turvallisuuspalveluista 282/2002 (Private Security Services Act).  
LT: Law on security of Persons and Assets 8 July 2004 No. IX -2327.  
LV: Security Guard Activities Law (Sections 6, 7, 14).  
PL: Act of 22 August 1997 on the protection of persons and property (Journal of Laws of 2016, item 
1432 as amended).  
PT: Law 34/2013 alterada p/ Lei 46/2019, 16 maio; and Ordinance 273/2013 alterada p/ Portaria 
106/2015, 13 abril.  
SI: Zakon o zasebnem varovanju (Law on private security).  
(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:  
The EU, with the exception of AT and SE : The supply of investig ation services.  
With respect to Investment liberalisation - Market access and Cross -border trade in services – 
Market access:  
In LT and PT: Investigation services are a monopoly reserved to the State.  
   
 
696 
 Reservation No. 10 - Business Services - Other bu siness 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 board 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 treatmen t:  
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:  
In HU: Cross -border supply of  duplicating services.  
(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:  
In HU: Services incidental to energy distribut ion, and cross -border supply of services incidental to 
manufacturing, with the exception of advisory and consulting services relating to these sectors.  
(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 :  
In EU, with the exception of DE, EE  and HU: The cross -border supply of maintenance and repair 
services of rail transport equipment.  
 
697 
 In EU, with the exception of CZ, EE, HU, LU  and SK: Cross -border supply of maintenance and repair 
services of inland waterway transport vessels.  
In EU, with the exception of EE, HU  and LV: The cross -border supply of maintenance and repair 
serv ices of maritime vessels.  
In EU, with the exception of AT, EE, HU, LV , and PL: The cross -border supply of maintenance and 
repair services of aircraft and parts thereof (part of CPC 86764, CPC 86769, CPC 8868).  
In EU: The cross -border supply of services of statutory surveys and certification of ships.   
Existing measures:  
EU: Regulation (EC) 391/2009 of the European Parliament and the Council of 23 April 2009 on 
common rules and standards for ship inspection and survey organisations.  
(e) Other business s ervices related to aviation  
With respect to Investment liberalisation – Most -favoured -nation treatment and Cross -border trade  
in services  – Most -favoured -nation treatment:  
The EU: According differential treatment to a third country pursuant to existing or  future bilateral 
agreements relating to the following services:  
(a) the selling and marketing of air transport services;  
(b) computer reservation system (CRS) services;  
(c) maintenance and repair of aircrafts and parts,  
(d) rental or leasing of aircra ft 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:   
In DE, FR:  Aerial fire -fighting, flight training, spraying, surveying, mapping, photography, and other 
airborne agricultural, industrial and inspection services.    
In FI, SE : Aerial fire -fighting  
  
 
698 
 Reservation No. 11 – Telecommunication  
Sector:  Satellite broadcast transmission 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  
 
Chapter:  Investment Liberalisation and Cross -Border Trade in Se rvices  
 
Description:   
The EU reserves the right to adopt or maintain any measure with respect to the following:  
In BE: Satellite broadcast transmission services.  
  
 
699 
 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:  
In LT: The righ t to prepare design documentation for construction works of exceptional significance 
is only given to a design enterprise registered in Lithuania or a foreign design enterprise which has 
been approved by an institution authorised by the Government for thos e activities. The right to 
perform technical activities in the main areas of construction may be granted to a non -Lithuanian 
person who has been approved by an institution authorised by the Government of Lithuania.  
   
 
700 
 Reservation No. 13 - Distribution ser vices  
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 board 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:   
In BG: Cross -border wholesale distribution  of pharmaceuticals  (CPC 62251) .  
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:   
In FI: Distribution of pharmaceutical products (CPC 62117, 62251, 8929).  
Existing measures:   
BG: Law on Medicinal Products in Human Medicine; Law on Medical Devices.  
FI: Lääkelaki (Medicine Act) (395/1987).  
(b)  Distribution of alcoholic beverages   
In FI: Distribution of alcoholic beverages (part of CPC 62112, 62226, 63107, 8929).  
Existing measures :  
FI: Alkoholilaki (Alcohol Act) (1102/2017).  
With respect to Investment liberalisation – Market access and Cross -border trade in services – 
Market access:  
In SE: Imposing a monopoly on retail sales of liquor, wine and beer (except non -alcoholic beer). 
Currently Systembolaget AB has such governmental monopoly on retail sales of liquor, wine and 
beer (except non -alcoholic beer). Alcoholic beverages are beverages wi th an alcohol content over 
2.25 per cent per volume. For beer, the limit is an alcohol content over 3.5 per cent per volume (part 
of CPC 631).  
 
701 
 Existing measures:   
SE: The Alcohol Act (2010:1622).  
(c)  Other  distribution (part  of CPC 621, CPC 62228, CPC 6 2251, 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:  
In BG: Wholesale distribution of chemical products, precious metals and stones, medical substa nces 
and products and objects for medical use; tobacco and tobacco products and alcoholic beverages.  
Bulgaria reserves the right to adopt or maintain any measure with respect to the services provided 
by commodity brokers.  
Existing measures:   
In BG: Law o n Medicinal Products in Human Medicine;  
Law on Medical Devices;  
Law of Veterinary Activity;  
Law for Prohibition of Chemical Weapons and for Control over Toxic Chemical Substances and Their 
Precursors;  
Law for Tobacco and Tobacco Products. Law on excise duties and tax warehouses and Law on wine 
and spirits.  
    
 
702 
 Reservation No. 14 - Education services  
Sector:  Education services  
Industry classification:  CPC 92  
Type of reservation:  Market access  
National treatment  
Senior management and board 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 publ ic 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 b asis.  
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 ser vices 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 
suppo rt, inter alia educational service suppliers recognised by the State, educational services 
suppliers under State supervision or education which entitles to study support (CPC 92).  
 
703 
 In SK: EEA residency is required for suppliers of all privately funded educ ation 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 mea sures:  
BG: Public Education Act, article 12;  
Law for the Higher Education, paragraph 4 of the additional provisions; and Vocational Education 
and Training Act, article 22.  
FI: Perusopetuslaki (Basic Education Act) (628/1998);  
Lukiolaki (General Upper S econdary Schools Act) (629/1998);  
Laki ammatillisesta koulutuksesta (Vocational Training and Education Act) (630/1998);  
Laki ammatillisesta aikuiskoulutuksesta (Vocational Adult Education Act) (631/1998);  
Ammattikorkeakoululaki (Polytechnics Act) (351/2 003); and Yliopistolaki (Universities Act) 
(558/2009).  
IT: Royal Decree 1592/1933 (Law on secondary education);  
Law 243/1991 (Occasional public contribution for private universities);  
Resolution 20/2003 of CNVSU (Comitato nazionale per la valutazione de l sistema universitario); and  
Decree of the President of the Republic (DPR) 25/1998.   
SK: Act 245/2008 on education;  
Act 131/2002 on Universities; and  
Act 596/2003 on State Administration in Education and School Self - Administration.  
  
 
704 
 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:  
In DE: The supply of waste management services other than advisory services, and with respect to 
services relating to the protection of soil and the management of contamin ated soils, other than 
advisory services.  
  
 
705 
 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 board 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 – Most favoured nation treatment and Cross -border trade 
in services – Most favoured nation treatment:  
The EU: According differential treatment to an investor or a financial services supplier of a third 
country pur suant to any bilateral or multilateral international investment treaty or other trade 
agreement.  
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:  
In EU (except for BE, CY, EE, LT, LV, MT, PL, RO, SI):  
(i) direct insurance services (including co -insurance) and direct insurance intermediation for the 
insurance of risks relating to:   
a. 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 therefr om; and  
b. goods in international transit;   
(ii) reinsurance and retrocession;  
 
706 
 (iii) services auxiliary to insurance;  
(iv) the provision and transfer of financial information, and financial data processing and related 
software by suppliers of other financial services; and  
(v) advisory and other auxiliary financial services relating to banking and other financial services 
as described in point (a)(ii)(L) of the definition of banking and other financial services 
(excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described in that point.  
In BE:  
(i) direct insurance services (including co -insurance) and direct insurance intermediation for the 
insurance of risks relating to:   
a. 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  
b. goods in international transit;   
(ii) reinsurance and retrocession;  
(iii) services auxiliary to insurance;  
(iv) for the supply of banking and other financial services as described in point (a)(ii)(L) of the 
definition of banking and other financial services (excluding insurance) in Article SERVIN.5.38 
[Definitions] except for the provis ion and transfer of financial information, and financial data 
processing and related software by suppliers of other financial services;  
In CY:  
(i) direct insurance services (including co -insurance) for the insurance of risks relating to:  
a. 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  
b. goods in in ternational transit;  
(ii) Insurance intermediation;  
(iii) Reinsurance and retrocession;  
(iv) Services auxiliary to insurance;  
(v) 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;  
(vi) the provision and transfer of financial information, and financial data processing and related 
software by suppliers of other financial services; and  
 
707 
 (vii) advisory and other auxiliary financial services, relating to banking and other financial 
servi ces as described in point (a)(ii)(L) of the definition of banking and other financial 
services (excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described in that point.  
In EE:  
(i) Direct insurance (including co -insurance) ; 
(ii) Reinsurance and retrocession;  
(iii) Insurance intermediation;  
(iv) Services auxiliary to insurance  
(v) Acceptance of deposits;  
(vi)  Lending of all types;  
(vii) Financial leasing;  
(viii) All payment and money transmission services; guarantees and commitments;  
(ix) Trading for own account or for account of customers, whether on an exchange, in an over -
the-counter market;  
(x)  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;  
(xi) Money broking;  
(xii) Asset management, such as cash or portfolio management, all forms of collective 
investment management, custodial, depository and trust services;  
(xiii)  Settlement and clearing services for financial assets, inc luding securities, derivative 
products, and other negotiable instruments;  
(xiv)  Provision and transfer of financial information, and financial data processing and 
related software; and  
(xv) Advisory and other auxiliary financial services relating to banking and ot her financial 
services as described in point (a)(ii)(L) of the definition of banking and other financial 
services (excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described in that point.  
In LT:  
(i) direct insurance servi ces (including co -insurance) for the insurance of risks relating to:  
a. 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  
 
708 
 b. goods in international transit;  
(ii) reinsurance and retrocession;  
(iii) services auxiliary to insurance;  
(iv) acceptance of deposits;  
(v)  lending of all types;  
(vi)  financial leasing;  
(vii)  all payment and money transmission services; guarantees and commitments;  
(viii) trading for own account or for account of customers, whether on an exchange, in an 
over -the-counter market;  
(ix)  participation in issues of all kinds of securities, including underwrit ing and placement as 
agent (whether publicly or privately) and provision of services related to such issues;  
(x) money broking;  
(xi) asset management, such as cash or portfolio management, all forms of collective investment 
management, custodial, depository and t rust services;  
(xii)  settlement and clearing services for financial assets, including securities, derivative 
products, and other negotiable instruments;  
(xiii)  provision and transfer of financial information, and financial data processing and 
related software; and  
(xiv) advisory and other auxiliary financial services relating to banking and other financial 
services as described in point (a)(ii)(L) of the definition of banking and other financial 
services (excluding insurance) in Article SERVIN.5.38 [Definitions], but not  intermediation as 
described in that point.  
In LV:  
(i) direct insurance services (including co -insurance) for the insurance of risks relating to:  
a. maritime transport and commercial aviation and space launching and freight 
(including satellites), with such in surance to cover any or all of the following: the 
goods being transported, the vehicle transporting the goods, and any liability 
deriving therefrom; and  
b. goods in international transit;  
(ii) reinsurance and retrocession; and  
(iii) services auxiliary to insurance  
(iv) parti cipation 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;  
 
709 
 (v)  the provision and transfer of financial information, and financial data process ing and related 
software by suppliers of other financial services; and  
(vi) advisory and other auxiliary financial services relating to banking and other financial services 
as described in point (a)(ii)(L) of the definition of banking and other financial servi ces 
(excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described in that point.  
In MT:  
(i) direct insurance services (including co -insurance) for the insurance of risks relating to:  
a. maritime transport and commercial aviati on 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  
b. goods in international transit;  
(ii) reinsurance and retrocession;  
(iii) services auxiliary to insurance;  
(iv) the acceptance of deposits;  
(v)  lending of all types;   
(vi) the provision and transfer of financial information, and financial data processing and related 
software by suppliers of other financial services; and   
(vii) advisory and other auxiliary financial services relating to banking and other financial services 
as desc ribed in point (a)(ii)(L) of the definition of banking and other financial services 
(excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described in that point.  
In PL:  
(i) direct insurance services (including co -insurance) f or the insurance of risks relating to goods 
in international trade;  
(ii) reinsurance and retrocession of risks relating to goods in international trade;  
(iii) direct insurance services (including co -insurance and retrocession) and direct insurance 
intermediation for  the insurance of risks relating to:  
a. 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 goo ds, and any liability 
deriving therefrom; and  
b. goods in international transit;  
 
710 
 (iv) the provision and transfer of financial information, and financial data processing and related 
software by suppliers of other financial services; and  
(v)  advisory and other auxiliar y financial services relating to banking and other financial 
services as described in point (a)(ii)(L) of the definition of banking and other financial 
services (excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described  in that point.  
In RO:  
(i) direct insurance services (including co -insurance) and direct insurance intermediation for the 
insurance of risks relating to:   
a. 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  
b. goods in international transit;   
(ii) reinsurance and retrocession; and  
(iii)  services auxiliary to in surance  
(iv) acceptance of deposits;   
(v) lending of all types;   
(vi)  guarantees and commitments;   
(vii) money broking;   
(viii) the provision and transfer of financial information, and financial data processing and 
related software; and   
(ix) advisory and other auxiliary financial services relating to banking and other financial services 
as described in point (a)(ii)(L) of the definition of banking and other financial services 
(excluding insurance) in Article SERVIN.5.38 [Definitions], but not intermediation as 
described in that poi nt.  
In SI:  
(i) direct insurance services (including co -insurance) and direct insurance intermediation for the 
insurance of risks relating to:   
(ii) 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 therefr om; and  
(iii) goods in international transit;   
(iv) reinsurance and retrocession;  
 
711 
 (v) services auxiliary to insurance;  
(vi) lending of all types;   
(vii) the acceptance of guarantees and commitments from foreign credit institutions by domestic 
legal entities and sole proprietors;    
(viii) the provision and transfer of financial information, and financial data processing and 
related software by suppliers of other financial services; and   
(ix) advisory and other auxiliary financial services relating to banking and other financial services 
as d escribed in point(a)(ii)(L) of the definition of banking and other financial services 
(excluding insurance) in Article SERVIN.5.38 [Definitions], 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:   
In BG: Transport insurance, covering goods, insurance of vehicles as such and liability insurance 
regarding risks located in the Bulgaria may not be underwritten by foreig n insurance companies 
directly.  
In DE: If a foreign insurance company has established a branch in Germany, it may conclude 
insurance contracts in Germany relating to international transport only through the branch 
established in Germany.  
Existing measures : 
DE: Luftverkehrsgesetz (LuftVG); and  
Luftverkehrszulassungsordnung (LuftVZO).  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment:  
In ES: Residence is requi red, or alternatively to have two years of experience, for the actuarial 
profession.  
With respect to Cross -border trade in services – Local presence:   
In FI: The supply of insurance broker services is subject to a permanent place of business in the EU.  
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:  
FI: Laki ulkomaisista vakuutusyhtiöistä (Act on Foreign Insurance Companies) (398 /1995);  
Vakuutusyhtiölaki (Insurance Companies Act) (521/2008);  
Laki vakuutusten tarjoamisesta (Act on Insurance Distribution) (234/2018).  
 
712 
 In FR: Insurance of risks relating to ground transport may be underwritten only by insurance firms 
established in th e European Union.  
Existing measures:  
FR: Code des assurances.  
In HU: Only legal persons of the EU and branches registered in Hungary may supply direct insurance 
services.  
Existing measures:  
HU: Act LX of 2003.  
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 Ital y.  
Cross -border supply of actuarial services.  
Existing measures:  
IT: Article 29 of the code of private insurance (Legislative decree no. 209 of 7 September 2005), Law 
194/1942 on the actuarial profession.  
In PT: Air and maritime transport insurance, cov ering 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 Portu gal.  
Existing measure:  
PT: Article 3 of Law 147/2015, Article 8 of Law 7/2019.  
With respect to Investment liberalisation – Market access, National treatment  
In SK: Foreign nationals may establish an insurance company in the form of a joint stock company or 
may conduct insurance business through their branches having a registered office in the Slovak 
Republic. The authorisation in both cases is subject to the evaluation of the supervisory authority.  
Existing measures:  
SK: Act 39/2015 on Insurance.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access  
In FI: At least one half of the members of the board of directors and the supervisory board, and the 
managing director of an insuran ce company providing statutory pension insurance shall have their 
place of residence in the EEA, unless the competent authorities have granted an exemption. Foreign 
insurers cannot obtain a licence in Finland as a branch to carry out statutory pension insu rance. At 
least one auditor shall have his permanent residence in the EEA.  
 
713 
 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 audi tor 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:  
FI: Laki ulkoma isista vakuutusyhtiöistä (Act on Foreign Insurance Companies) (398/1995); 
Vakuutusyhtiölaki (Insurance Companies Act) (521/2008);  
Laki vakuutusedustuksesta (Act on Insurance Mediation) (570/2005);  
Laki vakuutusten tarjoamisesta (Act on Insurance Distribu tion) (234/2018) and  
Laki työeläkevakuutusyhtiöistä (Act on Companies providing statutory pension insurance) 
(354/1997).  
(c) Banking and other Financial Services   
With respect to Investment liberalisation – Market access and Cross -border trade  in services  – Local 
presence:   
The EU: Only legal persons having their registered office in the European Union can act as 
depositories of the assets of investment funds. The establishment of a specialised management 
company, having its head office and registered offi ce in the same Member State, is required to 
perform the activities of management of common funds, including unit trusts, and where allowed 
under national law, investment companies.  
Existing measures :  
EU: 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); and  
Directive  2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative 
Investment Fund Managers (AIFM),.  
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:  
EE: Krediidiasutuste seadus (Credit Institutions Act) § 206 and §21.  
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:  
SK: Act 566/2001 on Securities and Investment Services; and Act 483/2001 on Banks.  
 
714 
 With respect to Investment liberalisation –National treatment, Senior Management and Boards 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 p roviders 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:  
FI: Laki liikepankeista ja muista osakeyhtiömuotoisista luottolaitoksista (Act on Commercial  
Banks and Other Credit Institutions in the Form of a Limited Company) (1501/2001);  
Säästöpankkilaki (1502/2001) (Savings Bank Act);  
Laki osuuspankeista ja muista osu uskuntamuotoisista luottolaitoksista (1504/2001) (Act on  
Cooperative Banks and Other Credit Institutions in the Form of a Cooperative Bank);  
Laki hypoteekkiyhdistyksistä (936/1978) (Act on Mortgage Societies);  
Maksulaitoslaki (297/2010) (Act on Payment In stitutions);  
Laki ulkomaisen maksulaitoksen toiminnasta Suomessa (298/2010) (Act on the Operation of  
Foreign Payment Institution in Finland); and  
Laki luottolaitostoiminnasta (Act on Credit Institutions) (121/2007).  
With respect to Investment liberalisat ion – Market access, National treatment and Cross -border 
trade in services - Local presence:  
In IT: Services of "consulenti finanziari" (financial consultant). In providing the activity of door -to-
door selling, intermediaries must utilise authorised finan cial salesmen resident within the territory 
of a Member State.  
Existing measures:  
IT: Articles 91 -111 of Consob Regulation on Intermediaries (no. 16190 of 29 October 2007).  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors and Cross -border trade  in services  – Local presence:   
In LT: Only banks having their registered office or branch in Lithuania and authorised to provide 
investment services in the EEA may act as the depositories of the assets of pension funds. At least 
one head of a bank's administration must speak the Lithuanian language.   
Existing measures:  
LT: Law on Banks of the Republic of Lithuania of 30 March 2004 No IX -2085,  as amended by the Law 
No XIII -729 of 16 November 2017;  
 
715 
 Law on Collective Investment Undertakings of the Republic of Lithuania of 4 July 2003 No IX -1709,  as 
amended by the Law No XIII -1872 of 20 December 2018;  
Law on Supplementary Voluntary Pension Accumulation of the Republic of Lithuania of 3 June 199 9 
No VIII -1212  (as revised in Law No XII -70 of 20 December 2012);  
Law on Payments of the Republic of Lithuania of 5 June 2003 No. IX -1596, last amendment 17 of 
October 2019 Nr. XIII -2488  
Law on Payment Institutions of the Republic of Lithuania of 10 December 2009 No. XI -549 (new 
version of the Law: No XIII -1093 of 17 April 2018)  
With respect to Cross -border trade in services – Market access:  
In FI: For payment services, residency or domicile in Finland may be required.  
 
  
 
716 
 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 board 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 fu nded 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 t o 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 93 1 
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).  
 
717 
 Existing measures:  
CZ: Act No. 372/2011 Sb. on Health Care Services and Conditions of Their Provision.  
FI: Laki yksityisestä terveydenhuol losta (Act on Private Health Care) (152/1990).  
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation  treatment, Senior management and boards of directors , Performance requirements:  
In DE: The supply of the Social Security System of Germany, where services may be provided by 
different companies or entities involving competitive elements which are thus not "Services carried 
out exclusively in the exercise of governmental authority" . To acco rd better treatment in the context 
of a bilateral trade agreement with regard to the supply of health and social services (CPC 93).  
With respect to Investment liberalisation – Market access, National treatment:  
In DE: The ownership of privately funded ho spitals run by the German Forces.  
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, Nationa l treatment:   
In FR: The supply of privately funded laboratory analysis and testing services (part of CPC 9311).  
Existing measures:  
FR: Code de la Santé Publique  
(b) Health and social services, including pension insurance  
With respect to Cross -border trade  in services  – Market access, National treatment, Local presence:   
The EU, with the exception of HU: The cross -border supply of health services, social services and 
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 psychologi sts, which are covered by other reservations (CPC 931 
other than 9312, part of 93191).  
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:  
The EU: The supply of all social services which receive public funding or State support in any form 
and activities or services forming part of a public retirement plan or statutory system of social 
security. The participation of private operators in the privatel y funded social network may be subject 
to concession on a non -discriminatory basis. An economic needs test may apply. Main criteria: 
 
718 
 number of and impact on existing establishments, transport infrastructure, population density, 
geographic spread, and creat ion of new employment.  
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 ex clusively in the exercise of governmental authority".  
Existing measures:  
FI: Laki yksityisistä sosiaalipalveluista (Private Social Services Act) (922/2011).  
IE: Health Act 2004 (S. 39); and  
Health Act 1970 (as amended –S.61A).  
IT: Law 833/1978 Institution of the public health system;  
Legislative Decree 502/1992 Organisation and discipline of the health field; and Law 328/2000 
Reform of social services.  
 
  
 
719 
 Reservation No. 18 - Tourism and travel related services  
Sector:  Tourist gui des 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:  
In FR: To require nationality of a Member State for the supply of tourist guide services.  
With respect to Investment liberalisation – Most -favoured -nation treatment  and Cross -border trade 
in services – Most -favoured -nation treatment:  
In LT: In so far as the U nited Kingdom allows nationals of Lithuania to provide tourist guide services, 
Lithuania will allow nationals of the United Kingdom to provide tourist guide services under the 
same conditions.  
 
  
 
720 
 Reservation No. 19 - Recreational, cultural and sporting se rvices  
Sector:  Recreational, cultural and sporting services  
Industry classification:  CPC 962, 963, 9619, 964  
Type of reservation:  Market access  
National treatment  
Senior management and board 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:   
The EU, with the exception of AT and, for investment liberalisation, in  LT: The supply of library, 
archive, museum and other cultural services.  
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:   
The EU, with the exception of AT and SE: The cross -border supply of entertainment services, 
including theatre, live bands, circus and discotheque services.  
With respect to Investment liberalisation - Market access, National treatment, Performance  
requirements, Senior management and boards of d irector, and Cross -border trade in services – 
Market access, National treatment, Local presence:   
In CY, CZ, FI, MT, PL, RO, SI  and SK: With respect to the supply of entertainment services, including 
theatre, live bands, circus and discotheque services.  
In BG: The supply of the following entertainment services: circus, amusement park and similar 
attraction services, ballroom, discotheque and dance instructor services, and other entertainment 
services.  
In EE: The supply of other entertainment services exce pt for cinema theatre services.  
In LT and LV: The supply of all entertainment services other than cinema theatre operation services.  
 
721 
 In CY, CZ, LV, PL, RO  and SK: The cross -border supply of sporting and other recreational services.  
(c) News and press agencies (CPC 962)   
With respect to Investment liberalisation – Market access, National treatment:  
In FR: Foreign participation in existing companies publishing publications in the French language may 
not exceed 20 per cent of the capital or of voting rig hts in the company. The establishment of press 
agencies of the United Kingdom is subject to conditions set out in domestic regulation. The 
establishment of press agencies by foreign investors is subject to reciprocity.  
Existing measures:  
FR: Ordonnance n ° 45-2646 du 2 novembre 1945 portant règlementation provisoire des agences de 
presse; and Loi n° 86 -897 du 1 août 1986 portant réforme du régime juridique de la presse.  
With respect to Cross -border trade  in services – Market access:   
In HU: For supply of news and press agencies services.  
(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:   
The EU: The supply of gambling activities, which involve wagering a stake with pecuniary value in 
games of cha nce, 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 org anisations.  
  
 
722 
 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 board 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, Nation al treatment:   
The EU: The nationality of the crew on a seagoing or non -seagoing vessel.   
With respect to Investment liberalisation – Market access, National treatment, Most -favoured 
nation  treatment, Senior management and boards of directors:  
The EU, exc ept LV and MT: Only EU natural or legal persons may register a vessel and operate a fleet 
under the national flag of the state of establishment (applies to 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).  
With respect to Investment liberalisation – Market access and Cross -border trade  in services  – 
Market access:   
In MT: Exclusive rights exist for the maritime link to mainland Europe through Italy with Malta (CPC 
7213, 7214, part of 742, 745, part of 749).  
With respect to Cross -border trade  in services  – Market access, National treatment, Local presence:   
In SK: Foreign investors must have their principal office in the Slovak Republic in order to apply for a 
licence enabling them to provide a service (CPC 722).  
(b) Auxiliary services to maritime transport  
With respect to Investment liberalisation – Market acce ss, National treatment, Senior management 
and boards of directors and Cross -border trade  in services  – Market access, National treatment, 
Local presence:   
 
723 
 The EU: The supply of pilotage and berthing services. For greater certainty, regardless of the criter ia 
which may apply to the registration of ships in a Member State of the European Union, the European 
Union reserves the right to require that only ships registered on the national registers of Member 
States of the European Union may provide pilotage and b erthing services (CPC 7452).  
The EU, with the exception of LT and LV: Only vessels carrying the flag of a Member State of the 
European Union may provide pushing and towing services (CPC 7214).  
With respect to Investment liberalisation – Market access and Cross -border trade in services –
National treatment, Local presence:  
In LT: Only juridical persons of Lithuania or juridical persons of a Member State of the  
European Union with branches in Lit huania that have a Certificate issued by the Lithuanian Maritime 
Safety Administration may provide pilotage and berthing, pushing and towing services (CPC 7214, 
7452).  
With respect to Investment liberalisation – Market access and Cross -border trade  in services  – 
Market access, National treatment, Local presence:   
In BE: Cargo handling services can only be operated by accredited workers, eligible to work in port 
areas designated by royal decree (CPC 741).  
Existing measures:  
BE: Loi du 8 juin 1972 organisa nt le travail portuaire;  
Arrêté royal du 12 janvier 1973 instituant une Commission paritaire des ports et fixant sa 
dénomination et sa compétence;  
Arrêté royal du 4 septembre 1985 portant agrément d'une organisation d'employeur (Anvers);  
Arrêté royal du 29 janvier 1986 portant agrément d'une organisation d'employeur (Gand);  
Arrêté royal du 10 juillet 1986 portant agrément d'une organisation d'employeur (Zeebrugge); 
Arrêté royal du 1er mars 1989 portant agrément d'une organisation d'employ eur (Ostende); and  
Arrêté royal du 5 juillet 2004 relatif à la reconnaissance des ouvriers portuaires dans les zones 
portuaires tombant dans le champ d'application de la loi du 8 juin 1972 organisant le travail 
portuaire, tel que modifié.  
(c) Auxiliary s ervices 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:   
The EU: Services auxiliary to inland waterways transportation.  
(d) Rail transport and auxiliary services to rail transport  
 
724 
 With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment, Local presence:  
In EU: Railway passenger transportation (CPC 7111).  
With respect to Investment liberalisation – Market access, and Cross -border trade  in services – 
Market access, Local Presence:  
In EU: Railway freight transportation (CPC 7112).  
In LT: Maintenance and repair services of rail transport equipment are subject to a state monopoly 
(CPC 86764, 86769, part of 8868).  
In SE (with respect only to Market access): Maintenance and repair services of rail transport 
equipment are subject to an economic needs test when an investor intends to establish its own 
terminal infrastructure facilities. Main criteria: space and capacity constraints (CPC 86764,  86769, 
part of 8868).   
Existing measures:  
EU: Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 
establishing a single European railway area.  
SE: Planning and Building Act (2010:900).  
(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:   
The EU: For road transport servic es covered by Titles I [Transport of goods by road] and II [Transport 
of passengers by Road] of Heading Three [Road Transport] of Part Two [Trade, transport and 
fisheries] and Annex ROAD -1[Transport of goods by road] .  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors:   
The EU: For road transport services covered by Titles I [Transport of goods by road] and II [Transport 
of passengers by Road] of Heading Three [Road Transport] of Part Two [Trade, transport and 
fisheries] and Annex ROAD -1 [Transport of goods by road] :  
To limit the supply of cabotage within a Member State of the European Union by foreign investors 
established in another Member State of the European Union (CPC 712 ).  
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:  
The EU: For road transport services not cov ered by Titles I [Transport of goods by road] and II 
[Transport of passengers by Road] of Heading Three [Road Transport] of Part Two [Trade, transport 
and fisheries] and Annex ROAD -1 [Transport of goods by road ]:  
 
725 
 i) to require establishment and to limit the cross -border supply of road 
transport services (CPC 712).  
ii) to limit the supply of cabotage within a Member State of the European 
Union by foreign investors established in another Member State of the 
European Union (CPC 712).  
iii) an economic needs test may app ly to taxi services in the European 
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:  
In BE: A maximum number of li cences can be fixed by law (CPC 71221).  
In IT: An economic needs test is applied to limousine services. Main criteria: number of and impact 
on existing establishments, population density, geographical spread, impact on traffic conditions and 
creation of n ew employment.  
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 econo mic 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 (suc h 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:   
In FR: The supply of intercity bussing services (CPC 712).  
With respect to Investment liberalisation – Market access:   
In ES: For passenger transportation, an economic needs test applies to services provided under CPC 
7122. Main criteria: local demand. An economic needs test applies for 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.  
 
726 
 In SE: Maintenance and repair services of road transport equipment are subject to an economic 
needs test when a supplier intends to establish its own terminal infrastructure facilities. Main 
criteria: sp ace and capacity constraints (CPC 6112, 6122, 86764, 86769, part of 8867).  
In SK: For freight transportation, an economic needs test is applied. Main criteria: local demand (CPC 
712).  
With respect to Cross -border trade  in services  – Market access :  
In BG: To require establishment for supporting services to road transport (CPC 744).  
Existing measures:  
EU: 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 ; 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 ; and  
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 .  
FI: Laki kaupallisista tavarankuljetuksista tiellä (Act on Commercial Road Transport)  
693/2006; Laki liikenteen palveluista (Act on Transport Services) 320/2017;  
Ajoneuvolaki (Vehicles Act) 1090/2002  
IT: Legislative decree 285/1992 (Road Code and subsequent  amendments) article 85;  
Legislative Decree 395/2000 article  8 (road transport of passengers );  
Law 21/1992 (Framework law on non -scheduled public road transport of passengers);  
Law 218/2003 article 1 (transport of passenger through rented buses with dri ver); and Law 151/1981 
(framework law on public local transport).  
SE: Planning and Building Act (2010:900).  
(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:   
The EU: The supply of space transport services and the supply of rental of space craft services (CPC 
733, part  of 734).  
(g) Most -favoured -nation   
 
727 
 With respect to Investment liberalisation – Most -favoured -nation treatment, and Cross -border trade  
in services  – Most -favoured -nation treatment:   
- Transport (cabotage)  other than maritime transport   
In FI: According diff erential treatment to a country pursuant to existing or future bilateral 
agreements exempting vessels registered under the foreign flag of a specified other country or 
foreign registered vehicles from the general prohibition from providing cabotage transpo rt 
(including combined transport, road and rail) in Finland on the basis of reciprocity (part of CPC 711, 
part of 712, part of 722).  
- Supporting services for maritime transport   
In BG: In so far as the United Kingdom allows service suppliers from Bulgaria to supply cargo -
handling services and storage and warehouse services in sea and river harbours, including services 
relating to containers and goods in containers, Bulgaria will allow service suppliers from the United 
Kingdom to supply cargo -handling servic es and storage and warehouse services in sea and river 
harbours, including services relating to containers and goods in containers under the same 
conditions (part of CPC 741, part of 742) .  
- Rental or leasing of vessels   
In DE: Chartering -in of foreign ships by consumers resident in Germany may be subject to a 
condition of reciprocity (CPC 7213, 7223, 83103) .  
-  Road and rail transport   
The EU: 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 Union or the Member States and a third country (CPC 
7111, 7112, 7121, 7122, 7123). That treatment may:  
(a) rese rve 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 121; or 
(b) provide for tax exemptions for such vehicles.  
- Road transport  
In BG: Measures taken under existing or future agreements, which reserve or restrict the supply of 
these kinds of transportation services and specify the terms and conditions of this supply, including 
transit permits or preferential road ta xes, in the territory of Bulgaria or across the borders of 
Bulgaria (CPC  7121, 7122, 7123).  
In CZ: Measures that are taken under existing or future agreements, and which reserve or limit the 
supply of transport services and specify operating conditions, i ncluding transit permits or 
                                                            
121 With regard to Austri a 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.  
 
728 
 preferential road taxes of a transport services into, in, across and out of the Czech Republic to the 
contracting parties concerned (CPC 7121, 7122, 7123).  
In ES: Authorisation for the establishment of a commercial presence in Spain may be refused to 
service suppliers whose country of origin does not accord effective market access to service 
suppliers of Spain (CPC 7123).  
Existing measures:  
Ley 16/1987, de 30 de julio, de Ordenación de los Transportes Terrestres.  
In HR: Measu res 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, i n, 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 o ther 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 o ut of the Slovak Republic to the 
contracting parties concerned (CPC 7121, 7122, 7123).  
-  Rail transport  
In BG, CZ  and SK: For existing or future agreements, and which regulate traffic rights and operating 
conditions, and the supply of transport services i n the territory of Bulgaria, the Czech Republic and 
Slovakia and between the countries concerned. (CPC 7111, 7112).  
- Air transport - Services auxiliary to air transport   
The EU: According differential treatment to a third country pursuant to existing or fu ture bilateral 
agreements relating to ground -handling services.  
- Road and rail transport  
In EE: when according differential treatment to a country pursuant to existing or future bilateral 
agreements on international road transport (including combined trans port -road or rail), reserving or 
limiting the supply of a transport services into, in, across and out of Estonia to the contracting 
Parties to vehicles registered in each contracting Party, and providing for tax exemption for such 
vehicles (part of CPC 711 , part of 712, part of 721).  
- All passenger and freight transport services other than maritime and air transport   
In PL: In so far as the United Kingdom allows the supply of transport services into and across the 
territory of the United Kingdom by passenge r and freight transport suppliers of Poland, Poland will 
allow the supply of transport services by passenger and freight transport suppliers of the United 
Kingdom into and across the territory of Poland under the same conditions.    
 
729 
 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 board 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 :  
In HR: Agricultural and hunting activities.   
In HU: Agricultural activities (ISIC Rev. 3.1 011, 3.1 012, 3.1 013, 3.1 014, 3.1 015, CPC 8811, 8812, 
8813 other than advisory and consultancy services).  
Existing measures:  
HR: Agricultural Land Act (OG 20/18, 115/18, 98/19)  
(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 :  
The EU:  
1.  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:  
 
730 
 (a) regulating the landing of c atches 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 po rts;  
(b) determining a minimum size for a company in order to preserve both artisanal and coastal 
fishing vessels;  
(c) according differential treatment pursuant to existing or future bilateral agreements relating 
to fisheries; and  
(d) requiring the crew of a vessel flying the flag of a Member State to be nationals of Member 
States .  
2. A fishing vessel’s entitlement to fly the flag of a Member State  only if:  
(a) it is wholly owned by:  
(i) companies incorporated in the Union; or  
(ii) Member State nationals ; 
(b) its day -to-day operations are directed and controlled from within the Union; and  
(c) any charterer, manager or operator of the vessel is a company incorporated in the Union or a 
national of a Member State.  
3. A commercial fishing licence granting th e right to fish in the territorial waters of a Member 
State may only be granted to vessels flying the flag of a Member State.  
4. The establishment of marine or inland aquaculture facilities.  
5.  Point 1 (a), (b), (c) (other than with respect to most -favo ured nation treatment) and (d); 
point 2 (a) (i), (b) and (c) and point 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:  
In FR: Nationals of non -European Union  countries cannot participate in French maritime State 
property for fish, shellfish or algae farming.   
With respect to Investment liberalisation – Market access, National  treatment , Most -favoured 
nation  treatment and Cross -border trade in services – Market access, National  treatment :  
In BG: The taking of marine and river -living resources, performed by vessels in the internal marine 
waters, and the territorial sea of Bulgaria, shall be performed by vesse ls flying the flag of Bulgaria. A 
foreign ship may not engage in commercial fishing in the exclusive economic zone save on the basis 
of an agreement between Bulgaria and the flag state. While passing through the exclusive economic 
zone, foreign fishing shi ps may not maintain their fishing gear in operational mode.   
(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:   
 
731 
 The EU: 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.    
 
732 
 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 board 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 advisor y 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 :  
The EU: Where a Member State permits foreign ownership of a gas or electricity transmission 
system, or an oil and gas pipeline transport system, with respect to enterprises of the United 
Kingdom controlled by natural or legal persons of a third country which accounts for more than 5 
per cent of the Union's oil, natural gas or electricity imports, in order to guarantee the security of 
the energy supply of the Union as a whole, or of an individual Member State. This reservation does 
not apply to ad visory and consultancy services provided as services incidental to energy distribution.  
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 t o 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.  
 
733 
 In FI: The quantitative restrictions in the form of monopolies or exclusive rights for the imp ortation 
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 g as 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 tr eatment, 
Local presence:   
In BE: The energy distribution services, and services incidental to energy distribution (CPC 887 other 
than consultancy services).  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services –National treatment, Local presence :  
In BE: For energy transmission services, regarding the types of legal entities and to the treatment of 
public or private operators to whom BE has conferred exclusive rights. Establishment is required 
within the Union (ISIC Rev. 3.1 4010, CPC 71310).  
In BG: For services incidental to energy distribution (part of CPC 88).  
In PT: For the production, transmission and distribution of electricity, the manufacturing of gas, the 
pipeline transportation of fuels, wholesale services of electricity, retailing services of electricity and 
non-bottled gas, and services incidental to electric ity and natural gas distribution. Concessions for 
electricity and gas sectors are assigned only to limited companies with their headquarters and 
effective management in PT (ISIC Rev. 3.1 232, 4010, 4020, CPC 7131, 7422, 887 other than advisory 
and consulti ng services).  
In SK: An authorisation is required for the production, transmission and distribution of electricity, 
manufacture of gas and distribution of gaseous fuels, production and distribution of steam and hot 
water, pipeline transportation of fuels,  wholesale and retail of electricity, steam and hot water, and 
services incidental to energy distribution, including services in the area of energy efficiency, energy 
savings and energy audit. An economic needs test is applied and the application may be de nied only 
if the market is saturated. For all those activities, an authorisation may only be granted to a natural 
person with permanent residency in the EEA or a legal person of the EEA.   
With respect to Investment liberalisation – Market access, National  treatment:  
In BE: With the exception of the mining of metal ores and other mining and quarrying, enterprises 
controlled by natural or legal persons of a third country which accounts for more than 5 per cent of 
the European Union's oil or natural gas or e lectricity imports may be prohibited from obtaining 
control of the activity. Incorporation is required (no branching) (ISIC Rev. 3.1 10, 1110, 13, 14, 232, 
part of 4010, part of 4020, part of 4030).  
Existing measures:  
EU: Directive 2009/72/EC of the Euro pean Parliament and of the Council of 13 July 2009 concerning 
common rules for the internal market in electricity and repealing Directive  
2003/54/EC; and  
 
734 
 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.  
BG: Energy Act.  
CY: The Regulation  of the Electricity Market Laws of 2003 Law 122(I)/2003 as amended ;  
The Regulation  of the Gas Market Laws of 2004,  Law 183(I)/2004 as ame nded ;  
The Petroleum (Pipelines) Law, Chapter 273 ;  
The Petroleum Law  Chapter 272 as amended ; and  
The Petroleum and Fuel Specifications Laws of 2003,  Law 148(I)/2003 as amended. .  
FI: Maakaasumarkkinalaki (Natural Gas Market Act) (508/2000); and Sähkömarkkinalaki (Electricity 
Market Act) (386/1995 ). Maakaasumarkkinalaki (Natural Gas Market Act) (587/2017)  
FR: Code de l’énergie.  
PT: Decree -Law 230/2012 and Decree -Law 231/2012, 26 October - Natural Gas ; Decree -Law 215 -
A/2012, and Decree -Law 215 -B/2012, 8 October – Electricity ; and Decree -Law 31/2006, 15 February 
– Crude oil/Petroleum products .  
SK: Act 51/1988 on Mining, Explosives and State Mining Administration;  
Act 569/2007 on Geological Works ;  
Act 251/2012 on Energy;  and Act 657/2004 on Therma l Energy .  
(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:   
In FI: The importation of electricity. With respect to cross -border trade, the wholesale and retail of 
electricity.  
In FR: Only companies where 100 per cent of the capi tal is held by the French State, by another 
public sector organisation or by Electricité de France (EDF), may own and operate electricity 
transmission or distribution systems.  
With respect to Investment liberalisation – Market access, National treatment a nd Cross -border 
trade  in services  – Market access, National treatment:   
In BG: For the production of electricity and the production of heat.  
In PT: The activities of electricity transmission and distribution are carried out through exclusive 
concessions o f public service.  
With respect to Investment liberalisation – Market access, National treatment:   
 
735 
 In BE: An individual authorisation for the production of electricity of a capacity of 25 MW or above 
requires establishment in the Union, or in another State  which has a similar regime to that enforced 
by 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 in place, and where the company has 
an effective and continu ous link with the economy.  
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 
similar regime to that of D irective 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, particularly with regard to conditions relating to the authorisation and sele ction.  
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 construct ion 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 t rade  in services  – National treatment:   
In BE: An authorisation is necessary for the supply of electricity by an intermediary having customers 
established in BE who are connected to the national grid system or to a direct line whose nominal 
voltage is high er than 70,000 volts. That authorisation may only be granted to a natural or legal 
person of the EEA.  
With respect to Investment liberalisation – Market access:   
In FR: For the production of electricity.  
Existing measures:  
BE: Arrêté Royal du 11 octobre  2000 fixant les critères et la procédure d'octroi des autorisations 
individuelles préalables à la construction de lignes directes ;  
Arrêté Royal du 20 décembre 2000 relatif aux conditions et à la procédure d'octroi des concessions 
domaniales pour la const ruction et l'exploitation d'installations de production d'électricité à partir 
de l'eau, des courants ou des vents, dans les espaces marins sur lesquels la Belgique peut exercer sa 
juridiction conformément au droit international de la mer ; and Arrêté Royal  du 12 mars 2002 relatif 
aux modalités de pose de câbles d'énergie électrique qui pénètrent dans la mer territoriale ou dans 
le territoire national ou qui sont installés ou utilisés dans le cadre de l'exploration du plateau 
continental, de l'exploitation d es ressources minérales et autres ressources non vivantes ou de 
l'exploitation d'îles artificielles, d'installations ou d'ouvrages relevant de la juridiction belge.   
Arrêté royal relatif aux autorisations de fourniture d'électricité par des intermédiaires  et aux règles 
de conduite applicables à ceux -ci.  
Arrêté royal du 12 juin 2001 relatif aux conditions générales de fourniture de gaz naturel et aux 
conditions d'octroi des autorisations de fourniture de gaz naturel  
 
736 
 FI: Maakaasumarkkinalaki (Natural Gas Ma rket Act) (508/2000); and Sähkömarkkinalak (Electricity 
Market Act) 588/2013; Maakaasumarkkinalaki (Natural Gas Market Act) (587/2017)  
FR: Code de l’énergie.  
PT: Decree -Law 215 -A/2012; and  
Decree -Law 215 -B/2012, 8 October – Electricity .  
(c) Fuels , gas, crude oil or petroleum product s (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, Senio r management 
and boards of directors, Performance  requirements and Cross -border trade  in services  – Market 
access, National treatment:   
In FI: To prevent control or ownership of a liquefied natural gas (LNG) terminal (including those parts 
of the LNG termi nal used for storage or re -gasification of LNG) by foreign natural or legal persons for 
energy security reasons.  
In FR: Only companies where 100 per cent of the capital is held by the French State, by another 
public sector organisation or by ENGIE, may ow n and operate gas transmission or distribution 
systems for reasons of national energy security.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade in services – Market access, National treatment:  
In BE: For bulk storage services of gas, regarding the types of legal entities and the treatment of 
public or private operators to whom Belgium has conferred exclusive rights. Establishment is 
required within the Union for bulk storage services of gas (part of C PC 742).  
In BG: For pipeline transportation, storage and warehousing of petroleum and natural gas, including 
transit transmission (CPC 71310, part of CPC 742).  
In PT: For the cross -border supply of storage and warehousing services of fuels transported th rough 
pipelines (natural gas). Also, concessions relating to the transmission, distribution and underground 
storage of natural gas and the reception, storage and regasification terminal of LNG are awarded 
through contracts concession, following public call s for tenders (CPC 7131, CPC 7422).  
With respect to Cross -border trade  in services  – Market access, National treatment:   
In BE: The pipeline transport of natural gas and other fuels is subject to an authorisation 
requirement. An authorisation may only be granted to a natural or juridical person established in a 
Member State (in accordance with Article 3 of the AR of 14 May 2002).  
Where the authorisation is requested by a company:  
a) 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 simi lar to the common requirements specified in 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; and  
 
737 
 b) the company must hold its administrative seat, its principal esta blishment 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 
of the European Parliament and the Council of 22 June 1998 concerning common rules for 
the internal market in natural gas, 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 t he 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 Belgiu m 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 Invest ment liberalisation – Market access and Cross -border trade  in services  – 
Market access:   
In HU: The supply of pipeline transport services requires establishment. Services may be provided 
through a Contract of Concession granted by the state or the local au thority. The supply of this 
service is regulated by the Hungarian Concession Law (CPC 7131).  
With respect to Cross -border trade  in services  – Market access:   
In LT: For pipeline transportation of fuels and services auxiliary to pipeline transport of goods  other 
than fuel.  
Existing measures:  
BE: Arrêté Royal du 14 mai 2002 relatif à l'autorisation  de transport de produits gazeux et autres par 
canalisations ; and  
Loi du 12 avril 1965 relative au transport de produits gazeux et autres par canalisations (article 8.2).  
BG: Energy Act.  
CY: The Regulation of the Electricity Market Law of 2003, Law 122(I)/2003 as amended ;  
The Regulating of the Gas Market Laws of 2004,  Law 183(I)/2004 as amended ;  
The Petroleum (Pipelines) Law, Chapter 273 ;  
The Petroleum Law  Chapter 272 as amended ; and  
The Petroleum and Fuel Specifications Laws of 2003, Law 148(I)/2003 as amended .  
FI: Maakaasumarkkinalaki (Natural Gas Market Act) (5 08/2000); and Maakaasumarkkinalaki (Natural 
Gas Market Act) (587/2017).  
 
738 
 FR: Code de l’énergie.  
HU: Act XVI of 1991 about Concessions.  
LT: Law on Natural Gas of the Republic of Lithuania of 10 October 2000 No VIII -1973.  
PT: Decree -Law 230/2012 and Decree -Law 231/2012, 26 October - Natural Gas ; Decree -Law 215 -
A/2012, and Decree -Law 215 -B/2012, 8 October – Electricity ; and Decree -Law 31/2006, 15 February 
– Crude oil/Petroleum products .  
(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, Nati onal treatment:   
In DE: For the production, processing or transportation of nuclear material and generation or 
distribution of nuclear -based energy.  
With respect to Investment liberalisation – Market access, National treatment and Cross -border 
trade  in services  – Market access, National treatment:   
In AT and FI: for the production, processing distribution or transportation of nuclear material and 
generation or distribution of nuclear -based energy.  
In BE: For the production, processing or transportation of  nuclear material and generation or 
distribution of nuclear -based energy.  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors , Performance requirements:  
In HU and SE: For the processing  of nuclear fuel and nuclear -based electricity generation.  
With respect to Investment liberalisation – Market access, National treatment, Senior management 
and boards of directors:  
In BG: For the processing of fissionable and fusionable materials or the materials from which they 
are derived, as well as to the trade therewith, to the maintenance and repair of equipment and 
systems in nuclear energy production facilities, to the transportati on of those materials and the 
refuse and waste matter of their processing, to the use of ionising radiation, and on all other services 
relating to the use of nuclear energy for peaceful purposes (including engineering and consulting 
services and services r elating to software etc.).   
With respect to Investment liberalisation – Market access, National treatment:   
In FR: These activities must respect the obligations of an Euratom  Agreement.  
Existing measures:  
AT: Bundesverfassungsgesetz für ein atomfreies Ös terreich (Constitutional Act for a Non -nuclear 
Austria) BGBl. I Nr. 149/1999.  
BG: Safe Use of Nuclear Energy Act.  
 
739 
 FI: Ydinenergialaki (Nuclear Energy Act) (990/1987).  
HU: Act CXVI of 1996 on Nuclear Energy; and  
Government Decree Nr. 72/2000 on Nuclear Energy.  
SE: The Swedish Environmental Code (1998:808 ); and Law on Nuclear Technology Activities (1984:3 ).  
   
 
740 
 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 board 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:  
In FI: Cremation services and operation/maintenance of cemeteries and graveyards can only be 
performed by the state, municipalities, parishes, religious communities or non -prof it foundations or 
societies.  
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 :  
In DE: Only lega l persons established under public law may operate a cemetery. The creation and 
operation of cemeteries and services related to funerals.  
In PT: Commercial presence is required to provide funeral and undertaking services. EEA nationality 
is required in order to become a technical manager for entities providing funeral and undertaking 
services.  
In SE: Church of Sweden or local authority monopoly on  cremation and funeral services.  
In CY, SI: Funeral, cremation and undertaking services.  
Existing measures:  
FI: Hautaustoimilaki (Act on Burial Service) (457/2003).  
PT: Decree -Law 10/2015, of 16 January alterado p/ Lei 15/2018, 27 março.  
SE: Begravningslag (1990:1144) (Act of Burials); Begravningsförordningen (1990:1147) (Ordinance of 
Burials).  
(b)  Other business -related services   
 
741 
 With respect to Cross -border trade in services – Market access:  
In FI: Require establishment in Finland or elsew here in the EEA in order to provide electronic 
identification services.  
Existing measures:  
FI: Laki vahvasta sähköisestä tunnistamisesta ja sähköisistä luottamuspalveluista 617/2009 (Act on 
Strong Electronic Identification and Electronic Trust Services 617/2009).  
(c)  New services  
With respect to Investment liberalisation – Market access, Nation al treatment, Senior management 
and boards of directors, Performance requirements and Cross -border trade in services – Market 
access, National treatment, Local presence:  
The EU: For the provision of new services other than those classified in the United N ations 
Provisional Central Product Classification (CPC), 1991.  
  
 
742 
  
Schedule of the United Kingdom  
Reservation No. 1 – All sectors  
Reservation No. 2 – Professional services (all professions except health related)  
Reservation No. 3 – Professional services (health related and retail of pharmaceuticals)  
Reservation No. 4 – Business services (collection agency services and credit reporting services)  
Reservation No. 5 – Business services (placement services)  
Reservation No. 6 – Business services (investigatio n services)  
Reservation No. 7 – Business services (other business services)  
Reservation No. 8 – Education services  
Reservation No. 9 – Financial services  
Reservation No. 10 – Health and social services  
Reservation No. 11 – Recreational, cultural and sporting services  
Reservation No. 12 – Transport services and auxiliary transport services  
Reservation No. 13 – Fishing and water  
Reservation No. 14 – Energy related activities  
Reservation No. 15 – Other services not included elsewhere  
  
 
743 
 Reservation No. 1 – All sectors  
Sector:  All sectors  
Type of reservation:  Market access  
National treatment  
Senior management and board of directors  
Performance requirements  
Local presence  
Obligations for Legal Services  
 
Chapter:  Investment Liberalisation, Cross -Border Trade in Services and 
Regulatory Frameworks  
 
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:   
Services considered as public utilities at a national or local level may be subject to public monopolies 
or to exclusive rights granted to private operators.  
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, det ailed 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:   
According differential treatment pursuant to any international investment treaties or other trade 
agreement in force o r signed prior to entry into force of this Agreement.  
According differential treatment to a country pursuant to any existing or future bilateral or 
multilateral agreement which:  
(i) creates an internal market in services and investment;  
(ii) grants the right of establishment; or  
(iii) 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.  
 
744 
 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 establishmen t 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:  
(i) 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  
(ii)  the incorporation of common legisl ation 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 t he 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 principali ties: 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, Perf ormance requirements and 
Cross -Border Trade in Services – Market access, Local presence, National treatment, Most favoured 
nation treatment:  
Production or distribution of, or trade in, arms, munitions and war material. War material is limited 
to any produ ct which is solely intended and made for military use in connection with the conduct of 
war or defence activities.  
  
 
745 
 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 board of directors  
Local presence  
Obligations for Legal Services  
 
Chapter:  Inves tment Liberalisation, Cross -Border Trade in Services and 
Regulatory Frameworks  
 
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 Frameworks – Legal services commitments:  
The UK reserves the right to adopt or maintain any measure with respect to the supply of legal 
advisory and legal authorisation, documentat ion, and certification services provided by legal 
professionals entrusted with public functions, such as notaries, and with respect to services 
provided by bailiffs (part of CPC 861, part of 87902).  
(b) Auditing services (CPC 86211, 86212 other than accountin g and bookkeeping services)  
With respect to Cross -Border Trade in Services – Market access, Local presence, National treatment:   
The UK reserves the right to adopt or maintain any measure with respect to the cross -border supply 
of auditing services.  
Exist ing measures:  
Companies Act 2006  
  
 
746 
 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:  
Establishment for doctors under the National Health Service is subject to medical manpower 
planning (CPC 93121, 93122).  
With respect to Cross -Border Trade in Services – Market access, Local prese nce, 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. The se 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:   
Mail order is only possible from the UK, thus establishment in the UK is required for the retail of 
pharmaceuticals and specific medical goods to the general public in the UK.  
With respect to Cross -Border Trade in Services – Market access, Local presence, National trea tment:   
 
747 
 The cross -border retail sales of pharmaceuticals and of medical and orthopaedic goods, and other 
services supplied by pharmacists.   
 
748 
 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.   
 
749 
 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 board 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, 8 7206, 87209).  
To require establishment and to prohibit the cross -border supply of placement services of office 
support personnel and other workers.  
  
 
750 
 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 board of directors  
Performance requirements  
Local presence  
 
Chapter:  Investment Liberalisation and Cross -Border Trade i n Services  
 
Description:  
The UK reserves the right to adopt or maintain any measure with respect to the supply of 
investigation services (CPC 87301).  
  
 
751 
 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 Se rvices  
 
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:   
To require establishment or physical presence in its territory and prohibiting the cross -border supply 
of maintenance and repair services of rail transport equi pment from outside its territory.  
To require establishment or physical presence in its territory and prohibiting the cross -border supply 
of maintenance and repair services of internal waterways transport vessels from outside its 
territory.  
To require establishment or physical presence in its territory and prohibiting the cross -border supply 
of maintenance and repair services of maritime vessels from outside its territory.  
To require establishment or physical presence in its territory and pr ohibiting the cross -border supply 
of maintenance and repair services of aircraft and parts thereof from outside its territory (part of 
CPC 86764, CPC 86769, CPC 8868).  
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:  
Regulation (EC) 391/2009 of the European Parliament and the Council of 23 April 2009 on common 
rules and standards for ship inspection and survey organisations as retained in UK law by the 
European Union (Withdrawal) Act 2018, and as amended by the Merchant Shipping (Recognised 
Organisations) (Amendment) (EU Exit) Regulations 2019.  
(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:   
According differential treatment to a third country pursuant to existing or future bilateral 
agreements relating to the following services :  
 
752 
 (i) aircraft repair and maintenance services;  
(ii) rental or leasing of aircraft without crew;  
(iii) computer reservation system (CRS) services;  
(iv) the following services provided using a manned aircraft, subject to compliance with the 
Parties’ respective laws and regu lations 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; an d 
(v) the selling and marketing of air transport services.  
  
 
753 
 Reservation No. 8 – Education services  
Sector:  Education services  
Industry classification:  CPC 92  
Type of reservation:  Market access  
National treatment  
Senior management and board 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 privat e 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, highe r and adult education services (CPC 929).  
  
 
754 
 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 :  
To require a financial service supplier, other than a branch, when establishing in the UK to adopt a 
specific legal form, on a non -discriminatory basis.  
With respect to Investment Liberalisation – Most favoured nation treatment and Cross -Border Trade 
in Servi ces – 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 insu rance -related services  
With respect to Cross -Border Trade in Services – Market access, National treatment, Local presence:  
For the supply of insurance and insurance -related services except for : 
(i) direct insurance services (including co -insurance) and di rect 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;  
(ii) Reinsurance and retrocession; and  
(iii) Services auxiliary to insurance.  
(c) Banking and other financial services  
 
755 
 With respect to Investment Li beralisation – 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 i ts 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 :  
For the supply of banking and other financial services, except for:  
(i) the provision and transfer of financial information, and financial data processing and 
related software by suppliers of other financial se rvices; and  
(ii) advisory and other auxiliary financial services relating to banking and other financial services as 
described point (L) of the definition of banking and other financial services (excluding insurance) in 
point (a)(ii) of Article SERVIN 5.38  [Financial services – Definitions], but not intermediation as 
described in point (L) of that definition.  
  
 
756 
 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 board 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 acce ss, 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 pri vately 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 sup plied 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 in surance  
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, p art of 93191).  
 
757 
 (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 receiv e 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 th e 
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.  
  
 
758 
 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 board of directors  
Performance requirements  
Local presence  
 
Chapter:  Investment Liberalisation and Cro ss-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.  
  
 
759 
 Reservation No. 12 – Transport services and auxiliary transport servi ces 
Sector:  Transport services  
Type of reservation:  Market access  
National treatment  
Most favoured nation treatment  
Senior management and board 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:   
The nationality of the crew on a seagoing or non -seagoing vessel.  
With respe ct 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 a ctivity 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 leg al 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 U K 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 s ervices 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 
 
760 
 Cross -Border Trade in Services – Market access, Local presence, National treatment, Most favoured 
nation treatment:   
Services auxiliary to inland waterways transportation.  
(d) Rail transport and auxiliary services to rail transport  
With respect to Investment Liberalisation – Market access, N ational treatment and Cross -Border 
Trade in Services – Market access, Local presence, National treatment:   
Railway passenger transportation (CPC 7111).  
With respect to Investment Liberalisation – Market access and Cross -Border Trade in Services – 
Market a ccess, Local presence:  
Railway freight transportation (CPC 7112).  
(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:  
For road transport services covered by Chapter 3 and 4 of Title XII (Transport) of Part 2 (Economy 
and Trade) and Annex ROAD -1 to Chapter 3.  
With respect to Investment Liberalisation – Market ac cess, National treatment, Senior management 
and boards of directors and Cross -Border Trade in Services – Market access, Local presence, 
National treatment:  
For road transport services not covered by Chapter 3 and 4 of Title XII (Transport) of Part 2 
(Econo my and Trade) and Annex ROAD -1 to Chapter 3:  
(i) to require establishment and to limit the cross -border supply of road transport services (CPC 
712);  
(ii) an economic needs test may apply to taxi services in the UK setting a limit on the number of 
service supplier s. Main criteria: Local demand as provided in applicable laws (CPC 71221).  
Existing measures:  
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 as retained in UK law by the 
European Union (Withdrawal) Act 2018 and as amended by the Licensing of Operators and 
International Road Haulage (Amendment etc.) (EU Exit) Regulations 2019;  
Regulation (EC) No 1072/2009 of the European Parliament and of th e Council of 21 October 2009 on 
common rules for access to the international road haulage market as retained in UK law by the 
European Union (Withdrawal) Act 2018 and as amended by the Licensing of Operators and 
International Road Haulage (Amendment etc.) (EU Exit) Regulations 2019; and  
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 as re tained in UK law by the European Union (Withdrawal) Act 2018 
 
761 
 and as amended by the Common Rules for Access to the International Market for Coach and Bus 
Services (Amendment etc.) (EU Exit) Regulations 2019.  
(f) Space transport and rental of space craft  
With r espect 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:   
Transportation services vi a space and the rental of space craft (CPC 733, part of 734).  
(g) Most favoured nation exemptions  
With respect to Investment Liberalisation – Most favoured nation treatment, and Cross -Border 
Trade in Services – Most favoured nation treatment:   
(i) Road and rail t ransport  
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 c ountry (CPC 7111, 
7112, 7121, 7122, 7123). That treatment may:  
— 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 p arty; or  
— provide for tax exemptions for such vehicles.  
(ii) 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.  
  
 
762 
 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 board 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 trea tment, 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:  
1. In particular within the f ramework 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:  
(a) 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;  
(b) determining a minimum size for a company in order to preserve both artisanal and coastal 
fishing vessels;  
(c) according dif ferential treatment pursuant to existing or future international agreements 
relating to fisheries; and  
(d) requiring the crew of a vessel flying the flag of the United Kingdom to be United Kingdom 
nationals.  
2. A fishing vessel’s entitlement to fly the fla g of the United Kingdom only if :  
 
763 
 (a) it is wholly owned by:  
(i) companies incorporated in the United Kingdom; or  
(ii) United Kingdom nationals;  
(b) its day -to-day operations are directed and controlled from within the United Kingdom; 
and 
(c) any charterer, manager or operator  of the vessel is a company incorporated in the 
United Kingdom or a United Kingdom national.  
3. 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 Un ited Kingdom.  
4. The establishment of marine or inland aquaculture facilities.  
5.  Point 1(a), (b), (c) (other than with respect to most -favoured nation treatment) and (d), 
point 2(a)(i), (b) and (c) and point 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.  
  
 
764 
 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 board 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, wh ere 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 distribut ion.  
  
 
765 
 Reservation No. 15 – Other services not included elsewhere  
Sector:  Other services not included elsewhere  
Type of reservation:  Market access  
National treatment  
Senior management and board 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 Cen tral Product Classification 
(CPC), 1991.  
  
 
766 
 ANNEX SERVIN -3: 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 SERVIN.4.2 [Intra -corporate Transferees and Business Visitors for Establish ment Purposes] 
and SERVIN.4.3 [Short -term business visitors], as it existed immediately before the amendment.  
2.  Articles SERVIN.4.2 [Intra -corporate Transferees and Business Visitors for Establishment 
Purposes] and SERVIN.4.3 [Short -term business visito rs] 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 European Union in accordance with Arti cle FINPROV.1 [Territorial Scope] and Article OTH.9.2 
[Geographical Scope] and are only relevant in the context of trade relations between the European 
Union and its Member States with the United Kingdom. They do not affect the rights and obligations 
of th e Member States under Union law.  
4. For greater certainty, for the European 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 Sta te, 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:  
(i)  natural persons or residents of another Member State; or  
(ii)  legal  persons constituted or organised under the law of another Member State or of 
the European Union and having their registered office, central administration or 
principal place of business in the European Union.  
5.  The following abbreviations are used in th e paragraphs  below:  
AT Austria  
BE Belgium  
BG Bulgaria  
CY Cyprus  
CZ Czech Republic  
DE Germany  
DK Denmark  
EE Estonia  
EL Greece  
ES Spain  
EU European Union, including all its Member States  
 
767 
 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 European Union’s non -conforming measures are:  
Business visitors for establishment purposes  
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 organisati on, 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 organ isation, otherwise: Unbound.  
 
Intra -corporate transferees  
 
768 
 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 
paragraph 3 of SERVIN 4.1 [Scope and definitions], or a health fee under 
nation al 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.  
 
Short -term business visitors  
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 con tract.  
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 natur al 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 
 
769 
 three months immediately preceding the date of submission of an 
application for entry and they should possess at leas t 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, t esting, 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 conte xt 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:  
Business visitors for es tablishment purposes  
All sectors  Business visitor for establishment purposes needs to work for an 
enterprise other than a non -profit organisation, otherwise: Unbound.  
 
Intra -corporate transferees  
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 
paragraph 3 of SERVIN 4.1 [Scope and definitions], or a health fee under 
natio nal legislation in connection with an application for a permit to enter, 
stay, work, or reside in the territory of a Party.  
 
Short -term business visitors  
 
770 
 All activities 
referred to in 
paragraph 8:  None  
 
8.  The activities Short -term business visitors are  permitted to engage in are:  
a) meetings and consultations: natural persons attending meetings or conferences, or 
engaged in consultations with business associates;  
b) research and design: technical, scientific and statistical researchers conducting 
indepe ndent research or research for a legal person of the Party of which the Short -term 
business visitor is a natural person;  
c) marketing research: market researchers and analysts conducting research or analysis for a 
legal person of the Party of which the Sho rt-term business visitor is a natural person;  
d) 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;  
e) trade fairs and exhibitions: personnel attending a trade fai r for the purpose of promoting 
their company or its products or services;  
f) 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;  
g) purchasing: buyers purchasing goods or services for an enterprise, or management and 
superv isory 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;  
h) after -sales or after -lease service: installers, repair and maintenance personnel and 
supervisor s, 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 equip ment 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;  
i) commercial transactions: manag ement 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;  
j) tour ism 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  
 
771 
 k) 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.   
 
772 
 ANNEX SERVIN -4: CONTRACTUAL SERVICE SUPPLIERS AND INDEPENDENT PROFESSI ONALS  
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 SERVIN.4.4 [Contractual Service Su ppliers and Independent Professionals], for the 
sectors listed in this Annex and subject to the relevant limitations.  
2.  The list below is composed of the following elements:  
(a) the first column indicating the sector or sub -sector for which the category of contractual 
service suppliers and independent professionals is liberalised; and  
(b) 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 quali fication requirements, qualification procedures, technical standards, 
licensing requirements or licensing procedures that does not constitute a limitation within the 
meaning of Article SERVIN.4.4 [Contractual Service Suppliers and Independent Professionals ]. 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 secto rs 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:  
(a) for the United Kingdom, the relevant market situation in the United Kingdom; and  
(b) for the Union, the relevant market situation in the Member State of the European Union 
or the region where the service is to be provided, in cluding 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 European Unio n in accordance with Article FINPROV.1 [Territorial Scope] and Article OTH.9.2 
[Geographical Scope] and are only relevant in the context of trade relations between the European 
Union and its Member States with the United Kingdom. They do not affect the rig hts and obligations 
of the Member States under Union law.  
8.  For greater certainty, for the European Union, the obligation to grant national treatment 
does not entail the requirement to extend to natural or legal persons of the United Kingdom the 
treatme nt 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:  
(i) natural persons or residents of another Mem ber State; or  
 
773 
 (ii) legal persons constituted or organised under the law of another Member State or of the 
European Union and having their registered office, central administration or principal place 
of business in the European Union.  
9. The following abbre viations are used in the lists below:  
AT Austria  
BE Belgium  
BG Bulgaria  
CY Cyprus  
CZ Czech Republic  
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  
 
774 
 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 takes commitments in 
accordance with Article SERVIN.4.4 [Contractual Service Suppliers and Independent Professionals] 
with respect to the mode 4 category of Contractual Service Suppli ers in the following sectors or sub -
sectors:  
(a) Legal advisory services in respect of public international law and home jurisdiction 
law;  
(b) Accounting and bookkeeping services;  
(c) Taxation advisory services;  
(d) Architectural services and urban planning and landscape architectural services;  
(e) Engineering services and integrated engineering services;  
(f) Medical and dental services;  
(g) Veterinary services;  
(h) Midwives services;  
(i) Services provided by nurses, physiotherapists and paramedical personnel;  
(j) Computer and related services;  
(k) Research and development services;  
(l) Advertising services;  
(m) Market research and opinion polling;  
(n) Management consulting services;  
(o) Services related to management consulting;  
(p) Technical testing  and analysis services;  
 
775 
 (q) Related scientific and technical consulting services;  
(r) Mining;  
(s) Maintenance and repair of vessels;  
(t) Maintenance and repair of rail transport equipment;  
(u) Maintenance and repair of motor vehicles, motorcycles, snowmobi les and road 
transport equipment;  
(v) Maintenance and repair of aircrafts and parts thereof;  
(w) Maintenance and repair of metal products, of (non office) machinery, of (non 
transport and non office) equipment and of personal and household goods;  
(x) Trans lation and interpretation services;  
(y) Telecommunication services;  
(z) Postal and courier services;  
(aa) Construction and related engineering services;  
(bb) Site investigation work;  
(cc) Higher education services;  
(dd) Services relating to agriculture, hunting and forestry;  
(ee) Environmental services;  
(ff) Insurance and insurance related services advisory and consulting services;  
(gg) Other financial services advisory and consulting services;  
(hh) Transport advisory and consulting services;  
(ii) Travel agencies and tour operators' services;  
(jj) Tourist guides services;  
(kk) Manufacturing advisory and consulting services.  
  
 
776 
 Independent Professionals  
11.  Subject to the list of reservations in paragraphs 12 and 13, the Parties takes commitments in 
accorda nce with Article SERVIN.4.4 [Contractual Service Suppliers and Independent Professionals] 
with respect to the mode 4 category of Independent Professionals in the following sectors or sub -
sectors:  
(a) Legal advisory services in respect of public internation al law and home jurisdiction 
law; 
(b) Architectural services and urban planning and landscape architectural services;  
(c) Engineering services and integrated engineering services;  
(d) Computer and related services;  
(e) Research and development services;  
(f) Market research and opinion polling;  
(g) Management consulting services;  
(h) Services related to management consulting;  
(i) Mining;  
(j) Translation and interpretation services;  
(k) Telecommunication services;  
(l) Postal and courier services;  
(m) Higher e ducation services;  
(n) Insurance related services advisory and consulting services;  
(o) Other financial services advisory and consulting services;  
(p) Transport advisory and consulting services;  
(q) Manufacturing advisory and consulting services.   
12.  The European Union’s reservations are:  
 
777 
 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)122 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.  
                                                            
122 Does not inc lude 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.  
 
778 
 Sector or sub -sector  Description of reservations  
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: Economi c 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.  
 
779 
 Sector or sub -sector  Description of reservations  
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 sh e 
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.  
 
780 
 Sector or sub -sector  Description of reservations  
Research and development 
Services  
(CPC 851, 852 excluding 
psychologists services123, 
and 853)  CSS: 
EU except in NL, SE : A hosting agreement with an approved research 
organisation is required124. 
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 required125. 
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.  
                                                            
123 Part of CPC 85201, which is under medical and dental services.  
124 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.  
125 For all Member States except DK, the approval of the research organisation a nd the hosting 
agreement must meet the conditions set pursuant to EU Directive 2005/71/EC of 12 October 2005.  
 
781 
 Sector or sub -sector  Description of reservations  
Management c onsulting 
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, P T, 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.  
 
782 
 Sector or sub -sector  Description of reservations  
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 m onths.  
 
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 a nd 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.  
 
783 
 Sector or sub -sector  Description of reservations  
Maintenance and repair of 
metal  products, of (non 
office) machinery, of (non 
transport and non office) 
equipment and of personal 
and household goods126 
(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.  
                                                            
126 Maintenance and repair services of office machinery and equipment including computers (CPC  845) 
are under computer services.  
 
784 
 Sector or sub -sector  Description of reservations  
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, E S, 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 f orm 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.  
 
785 
 Sector or sub -sector  Description of reservations  
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.  
 
786 
 Sector or sub -sector  Description of reservations  
Travel agencies and tour 
operators services (including 
tour managers127) 
(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.  
 
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.  
                                                            
127 Services supplier s whose function is to accompany a tour group of a minimum of 10 natural persons, 
without acting as guides in specific locations.  
 
787 
 Sector or sub -sector  Description of reservations  
Accounting and bookkeeping 
services  
(CPC 86212 other than 
"auditing services", 86213, 
86219 and 86220)  CSS: 
None.  
 
IP: 
Unbound.  
Taxation advisory services  
(CPC 863)128 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.  
                                                            
128 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.  
 
788 
 Sector or sub -sector  Description of reservations  
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 services129, 
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.  
                                                            
129 Part of CPC 85201, which is under medical and dental services.  
 
789 
 Sector or sub -sector  Description of reservations  
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.  
 
790 
 Sector or sub -sector  Description of reservations  
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 goods130 
(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.  
                                                            
130 Maintenance and repair services of office machinery and equipment including computers (CPC  845) 
are under computer services.  
 
791 
 Sector or sub -sector  Description of reservations  
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.  
 
792 
 Sector or sub -sector  Description of reservations  
Travel agencies and tour 
operators services (including 
tour managers131) 
(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.  
 
 
  
                                                            
131 Services suppliers whose function is to accompany a tour group of a minimum of 10 natural persons, 
without acting as guides in specific locations.  
 
793 
 ANNEX SERVIN -5: 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:  
(a) 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;  
(b) 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;  
(c) complete applications for the grant of entry and temporary stay shall be processed b y the 
competent authorities of each Party as expeditiously as possible;  
(d) 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;  
(e) 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;  
(f) the competent authorities of each Party shall no tify the applicant of the outcome of the 
application promptly after a decision has been taken;  
(g) 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;  
(h) 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  
(i) each Party shall endeavour to accept and proc ess applications in electronic format.  
Article 2: Additional procedural commitments applying to intra -corporate transferees and their 
partner, children and family members132  
1. The competent authorities  of each Party shall  adopt a decision on an application fo r an intra -
corporate transferee entry or temporary stay or a renewal thereof and notify the decision to the 
applicant in writing, in accordance with the notification procedures under national law, as soon as 
possible but not later than 90 days after the da te on which the complete application was submitted.  
                                                            
132  Paragraphs 1, 2 and 3 do not apply for the Member States that are not subject to the applicati on of the 
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 ("ICT 
Directive").  
 
794 
 2. Where the information or documentation supplied in support of the application is 
incomplete, the competent authorities concerned shall endeavour to notify the applicant within a 
reasonable period of the a dditional information that is required and set a reasonable deadline for 
providing it. The period referred to in paragraph 1 shall be suspended until the competent 
authorities have received the additional information required.  
3. The Union shall extend to fam ily members of natural persons of the United Kingdom, who 
are intra -corporate transferees to the Union, the right of entry and temporary stay granted to family 
members of an intra -corporate transferee under Article 19 of Directive 2014/66/EU of the Europea n 
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.  
4. The United Kingdom shall allow the entry and temporary stay of partners and dependent 
children of intra -corporate transferees, as allowed under the United Kingdom’s Immigration Rules.  
5. The United Kingdom shall allow the partners and dependent children of intra -corporate 
transferees referred to in paragraph 4 to work for the duration of their vis a, in an employed or self -
employed capacity, and shall not require them to obtain a work permit.  
 
  
 
795 
 ANNEX SERVIN -6: 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 SERVIN.5.13 [Professional 
qualifications].  
2. Pursuant to that Article, 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 profess ional 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 jo int recommendations with Title II [Services and Investment] of Heading One [Trade] 
of Part Two [Trade, transport and fisheries] and its discretion to take into account the elements it 
deems relevant, including those contained in joint recommendations.  
SECTI ON 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 a nd 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  
 
796 
 10. The arrangement should  set out:  
(a) 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  
(b) 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:  
(a) the professional  qualifications necessary for recognition under the arrangement (for example, 
evidence of formal qualification, professional experience, or other attestation of 
competence);  
(b) the degree of discretion preserved by recognition authorities when ass essing requests for 
recognition of these qualifications; and  
(c) 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 ot her relevant conditions and limitations.  
Procedural provisions  
12. The arrangement  may set out:  
(a) 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 translati ons or certifications 
of authenticity, etc.);  
(b) the steps and procedures in the recognition process, including those relating to possible 
compensatory measures, corresponding obligations and timelines; and  
(c) the availability of information relevant to all aspe cts 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:  
(a) registration requirements with local authorities;  
(b) appropriate language skills;  
(c) proof of good character;  
(d) com pliance with the requirements of the host Party for use of trade or firm names;  
 
797 
 (e) compliance with the rules of ethics, independence and professional conduct requirements of 
the host Party;  
(f) need to obtain professional indemnity insurance;  
(g) rules on disciplinary action, financial responsibility and professional liability; and  
(h) 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 envisage d arrangement  
16. Pursuant to Article SERVIN 5.13(2) [Professional qualifications], 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 economi c benefits that an arrangement is expected to bring 
to the economies of both Parties. S uch an assessment may assist the Partnership Council when 
developing and adopting an arrangement . 
17. Aspects such as the existing level of market openness, industry nee ds, 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 SERVIN 5.13(2)  [Professional qualificat ions] , 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 qualificatio ns.  
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 re gulated profession in each of the Parties should be based on all relevant information.  
22. The following elements should be identified:  
(a) activities or groups of activities covered by the scope of practice of the regulated profession in 
each Party; and  
 
798 
 (b) the professional qualifications required in each Party to practise the regulated profession, 
which may include any of the following elements:  
(i) the minimum  education required, for example, entry requirements, level of education, length 
of study and contents of study;  
(ii) the minimum professional experience required, for example, location, length and conditions 
of practical training or supervised professional practice prior to registration, licensing or 
equivalent;  
(iii) examinations passed, especially examinations of professional competency; and  
(iv) obtention 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 b etween 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:  
(a) 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;  
(b) such activities are subject to specific training in the host Party;  
(c) the training for such activities in the host Party covers matte rs 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 r egard 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 qualif ications, 
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 arrangemen t 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 
 
799 
 formally validated training could be taken into accoun t 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 re quests.  
31. Compensatory measures may take different forms, including:  
(a) 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;  
(b) 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  
(c) a temporary limita tion 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.  
  
 
800 
 ANNEX PPROC -1: 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 P roduct 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 Articles PPROC 2.2 and PPROC 2.3, Title VI [PUBLIC PROCUREMENT] of Heading 
One of Part Two 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:  
(a) all contracting entities whose procurement is covered by 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 undertakings133 and which have as one of their activities  
(i) the provision o r 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  
                                                            
133  According to the EU utili ties 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:  
i. hold the majority of the undertaking's subscribed capital, or  
ii. control the majority of t he votes attaching to shares issued by the undertaking, or  
iii. can appoint more than half of the undertaking's administrative, management or supervisory 
body.  
 
801 
 (ii) any combination between such activity and those referre d to in Annex 3 to Appendix I 
to the GPA;  
(b)  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 o perate 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:  
- 400,000 SDR for procurement of goods and services   
- 5,000,000 SDR for procurement of construction services (CPC 51).  
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:  
- Hotel and restaurant services (CPC 641);  
- Food serving services (CPC 642);  
- Beverage serving services (CPC 643);  
- Telecommunication related services (CPC 754);  
- Real estate services on a fee o r contract basis (CPC 8220);  
- Other business services (CPC 87901, 87903, 87905 -87907);  
- Education services (CPC 92).  
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 pro curing 
entity other than a contracting authority shall not be considered as an activity within the meaning of 
this Sub -section where:  
(a) 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  
 
802 
 (b) the supply to the public network is aimed only at the economic exploitation of such 
production a nd 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 [PUBLIC PROCUREMENT] of Heading One of Part Two and this Annex do not cover 
procurement of the followi ng services:  
(a)  Human health  services (CPC 931);  
(b)  Administrative  healthcare services (CPC 91122); and  
(c)  Supply services of nursing personnel and supply services of medical personnel (CPC 87206 and 
CPC 87209).  
Sub-section B2: United Kingdom  
In acco rdance  with Articles PPROC 2.2 and PPROC 2.3, Title VI [PUBLIC PROCUREMENT] of Heading 
One of Part Two  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 ser vices 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:  
(a) all contracti ng 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 a ctivities  
(i)  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  
(ii)  any combination between such activity and those referred to in Annex 3 to Appendix I 
to the GPA;  
(b) 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:  
- 400,000 SDR for procurement of goods and  services       
 
803 
 - 5,000,000 SDR  for procurement of construction services (CPC 51).  
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:  
(a)  their ownership of that undertaking;  
(b)  their financial participation in that undertaking; or  
(c)  the rules which  govern that undertaking.  
2. According to the Utilities Contracts (Scotland) Reg ulations 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:  
(a)  their ownership of that person;  
(b)  their financial participation in that person;  
(c)  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 th e part of contracting authorities is 
presumed in any of the following cases in which those authorities, directly or indirectly:  
(a)  hold the majority of the undertaking's subscribed capital;  
(b)  control the majority of the votes attaching to shares issue d by the undertaking;  
(c) 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 t o 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:  
- Hotel and restaurant services (CPC 641);  
- Food serving services (CPC 642);  
- Beverage serving services (CPC 643);  
- Telecommunication related services (CPC 754);  
- Real estate services on a fee or contract basis (CPC 8220);  
- Other business services (CPC 87901, 87903, 87905 -87907);  
 
804 
 - Education services (CPC 92).  
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 entiti es 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 contract ing authority shall not be considered as an activity within the meaning of 
this Section where:  
(a)  the production of gas or heat by the entity concerned takes place because its consumptio n 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  
(b)  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 entit y’s turnover on the basis of the 
average for the preceding three years, including the current year.  
3. Title VI [PUBLIC PROCUREMENT] of Heading One of Part Two  and this Annex do not cover 
procurement of the following services:  
(a)  Human health services (CPC 931);  
(b)  Administrative healthcare services (CPC 91122); and  
(c)  Supply services of nursing personnel and supply services of medical personnel (CPC 87206 and 
CPC 87209 ). 
 
  
 
805 
 ANNEX ENER -1: LISTS OF ENERGY GOODS, HYDROCARBONS AND RAW MATERIALS  
LIST OF EN ERGY GOODS BY HS CODE  
- Natural gas, including liquefied natural gas, liquefied petroleum gas (LPG) (HS code 27.11)  
- Electrical energy (HS code 27.16)  
- Crude oil and oil products (HS code 27.09 - 27.10, 27.13 -27.15)  
- Solid fuels (HS code 27.01, HS code 27.02, H S code 27.04)  
- Fuel wood and wood charcoal (HS code 44.01 and HS code 44.02 goods used for energy)  
- Biogas (HS code 38.25)  
LIST OF HYDROCARBONS BY HS CODE  
- Crude oil (HS code 27.09 ) 
- Natural gas (HS code 27.11 ) 
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 (inc luding 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, 
wheth er 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  
 
806 
 78 Lead and articles thereof  
79 Zinc and articles thereof  
80 Tin and articles thereof  
81 Other base metals; cermets; articles thereof  
 
807 
 ANNEX ENER -2: ENERGY AND ENVIRONMENTAL SUBSIDIES  
As part of the principles set out in Article 3.5(14) [Prohibited subsidies and subsidies subject to 
conditions (Energy and environment)] of Chapter three [Subsidy control] of Title XI [Level playing 
field for open and fair competition and sustainable development] of Head ing One [Trade] of Part 
Two of this Agreement:  
(1)  Subsidies for electricity generation adequacy, renewable energy and cogeneration shall not 
undermine the ability of a Party to meet its obligations under Article ENER.6 [Provisions 
relating to wholesale electricity and gas markets] of this Agreement, shall not unnecessarily 
affect the efficient use of electricity interconnectors provided for  under Article ENER.13 
[Efficient use of electricity interconnectors], and, without prejudice to Article ENER 6(3) 
[Provisions relating to wholesale electricity and gas markets] of this Agreement, shall be 
determined by means of a transparent, non -discrimi natory and effective competitive 
process; and  
(a) 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 CO 2 emission limits; and  
(b) subsidies for renewable energy and cogeneration shall not affect beneficiaries’ 
obligations or opportunities to participate in electricity markets.  
(2)  Notwithstanding point 1, provided that appropriate measures are put in place to p revent 
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.  
(3) If partial exemptions from energy -related taxes and levies134 in favour of energy -intensive 
users are introduced, such exemptions shall not exceed the total am ount of the tax or levy.  
(4)  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.  
(5)  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 ac tivity. 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.   
  
                                                            
134  For greater certainty, levies do not include network charges or tariffs.  
 
808 
 ANNEX ENER -3: NON -APPLICATION OF THIRD -PARTY ACCESS AND OWNERSHIP UNBUNDLING TO 
INFRASTRUCTURE  
A Party may decide not to apply Article ENER.8 [ Third -party access to transmission and distribution  
networks]  and Article ENER.9  [System operation and unbundling of transmission network operators]  
to new infrastructur e or to a significant expansion of existing infrastructure  where:  
(a) the risk attached to the investment in the infrastructure is such that the investment would not 
take place unless an exemption is granted;  
(b) the investment enhances competition or security o f supply;  
(c) 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;  
(d) before granting the exemption, the Party has decided on the rules and mechanisms for 
management and allocation of capacity.  
 
809 
 ANNEX ENER -4:  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 t hat 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:  
(a) bidding zones established in accordance with Regulation (EU) 2019/943, which are directly 
connected to the United Kingdom by an electricity interconnector; and  
(b) the United Kingdom.  
3. The net energy positions over electricity interconnectors shall be calculat ed via an implicit allocation 
process by applying a specific algorithm to:  
(a) 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 
Unit ed Kingdom by an electricity interconnector;  
(b) commercial bids and offers for the day -ahead market timeframe from relevant day -ahead 
markets in the United Kingdom;  
(c) network capacity data and system capabilities determined in accordance with the procedures 
agreed between transmission system operators; and  
(d) 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 operato rs 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:  
(a) 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 
 
810 
 Commission Regulation (EU) 2015/1222135) in order that such results may be u sed as inputs 
into the processes which determine the results in those markets;  
(b) produce results which are reliable and repeatable;  
(c) 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 opera te 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 sha ll 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 dec ides otherwise.  
Part 2  
 
The timeline for the implementation of this Annex shall be from the entry into force of this 
Agreement, as follows:  
 
(a) within 3 months – cost benefit analysis and outline of proposals for technical procedures;  
 
(b) within 10 months – proposal for technical procedures;  
 
(c) within 15 months – entry into operation of technical procedures.  
 
 
 
  
  
                                                            
135 Commission Regulat ion (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).  
 
811 
 ANNEX AVSAF -1: AIRWORTHINESS AND ENVIRONMENT CERTIFICATION  
SECTION A: General provisions  
Article 1: Purpose and scope  
1.  The objective of this Anne x is the implementation of cooperation in the following areas, in 
accordance with Article AVSAF.3(2) [Scope and implementation] of this Agreement, describing the 
terms, conditions and methods for reciprocal acceptance of findings of compliance and certific ates:  
(a) airworthiness certificates and monitoring of civil aeronautical products referred to in point (a) 
of Article AVSAF.3(1) [Scope and implementation] of this Agreement;  
(b) environmental certificates and testing of civil aeronautical products referred to in  point (b) of 
Article AVSAF.3(1) [Scope and implementation] of this Agreement; and  
(c) design and production certificates and monitoring of design and production organisations 
referred to in point (c)  Article AVSAF.3(1) [Scope and implementation] of this Agree ment . 
2.  Notwithstanding paragraph 1, used civil aeronautical products, other than used aircraft, are 
excluded from the scope of this Annex.  
Article 2: Definitions  
For the purposes of this Annex, the following definitions apply:  
(a) “acceptance” means the rec ognition 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;  
(b)  “authorised release certificate” means a certifica te 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 saf e operation;  
(c) “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;  
(d) “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 Convent ion 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;  
(e) “design certificate” means a form of reco gnition 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 co ncerning environmental characteristics set out in laws, 
regulations and administrative provisions of that Party;  
 
812 
 (f) “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;  
(g) “export” means the process by which a civil aeronautical product is released fro m the 
regulatory system for civil aviation safety of a Party to that of the other Party;  
(h) “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;  
(i) “exporting Party” means the Party from w hose regulatory system for civil aviation safety a civil 
aeronautical product is released;  
(j) “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;  
(k) “importing Party” means the Party into whose regulatory system for civil aviation safety a civil 
aeronautical product is introduced;  
(l) “major change” means all changes in type design other than “minor change”;  
(m) “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;  
(n) “opera tional 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;  
(o) “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 th e particular civil aeronautical 
products;  
(p) “technical implementation procedures” means the implementation procedures for this Annex 
developed by the technical agents of the Parties in accordance with Article AVSAF.3(5) [Scope 
and implementation] of this Agr eement;  
(q) “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.  
 
813 
 SECTION B: Certification Oversight Board  
Article 3: Establis hment and composition  
1. The Certification Oversight Board, accountable to the Specialised Committee on Aviation 
Safety, is hereby established under the co -chairmanship of the technical agents of the Parties, as a 
technical coordination body responsible fo r the effective implementation of this Annex. It shall be 
composed of representatives from the technical agent of each Party and may invite additional 
participants to facilitate the fulfilment of its mandate.  
2. The Certification Oversight Board shall meet  at regular intervals upon the request of either 
technical agent and take decisions and make recommendations by consensus. It shall develop and 
adopt its rules of procedure.  
Article 4: Mandate  
The mandate of the Certification Oversight Board shall include in particular:  
(a) developing, adopting, and revising the technical implementation procedures referred to in 
Article 6 [ Technical implementation procedures ]; 
(b) sharing information on major safety concerns and, where appropriate, developing action plans 
to addres s them;  
(c) resolving technical issues falling within the responsibilities of the competent authorities and 
affecting the implementation of this Annex;  
(d) 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;  
(e) conducting periodic reviews on the modalities of validation or acceptance of design 
certificates set out in Articles 10 [ Modalities of the validation of design certificates ] and 13 
[Acceptance];  
(f) proposing amendments to this Annex to the Specialised Committee on Aviation Safety;  
(g) in accordance with Article 29 [ Continued qualifications of the competent authorities ], defining 
procedures to ensure the continued confidence of each Party in the reliability of the other 
Party’s processes for findings of compliance;  
(h) analysing and taking action regarding the implementation of the procedures referred to in 
point (g); and  
(i) reporting unr esolved 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  
 
814 
 Article 5: Competent authorities for design ce rtification, production certification and export 
certificates  
1. The competent authorities for design certification are:  
(a) for the Union: the European Union Aviation Safety Agency; and  
(b) for the United Kingdom: the Civil Aviation Authority of the United Kingdo m 
2. The competent authorities for production certification and export certificates are:  
(a) 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  
(b) for the United Kingdom: the Civil Aviation Authority of the United Kingdom . 
Article 6: Technical implementation procedures  
1. The technical implement ation procedures shall be developed by the technical agents of the 
Parties through the Certification Oversight Board in order to provide specific procedures to facilitate 
the implementation of this Annex, by defining the procedures for communication activi ties between 
the competent authorities of the Parties.  
2. The technical implementation procedures shall also address the differences between the 
Parties' civil aviation standards, rules, practices, procedures and systems related to the 
implementation of this Annex, as provided for in Article AVSAF.3(5) [Scope and implementation] of 
this Agreement.  
Article 7: Exchange and protection of confidential and proprietary data and information  
1. Data and information exchanged in the implementation of this Annex sh all be subject to 
Article AVSAF.11 [ Confidentiality and protection of data and information ] of this Agreement.  
2. Data and information exchanged during the validation process shall be limited in nature and 
content to what is necessary for the purpose of co mpliance demonstration with applicable technical 
requirements, as detailed in the technical implementation procedures.  
3. Any disagreement with regard to a data and information exchange between the competent 
authorities shall be handled as detailed in the technical implementation procedures. Each Party shall 
retain the right to refer the disagreement to the Certification Oversight Board for resolution.  
SECTION D: Design certification  
Article 8: General principles  
1. This Section addresses all design certifi cates and changes thereto, where applicable, within 
the scope of this Annex, in particular:  
(a) type certificates, including restricted type certificates;  
(b) supplemental type certificates;  
 
815 
 (c) repair design approvals; and  
(d) technical  standard order authorisations.  
2. The validating authority shall either validate, having regard to the level of involvement 
referred to in Article 12 [Level of involvement of the validating authority], or accept a design 
certificate or a change that has been, or is in the process of being,  issued or approved by the 
certificating authority, in accordance with the terms and conditions set out in this Annex and as 
detailed in the technical implementation procedures, including its modalities of acceptance and 
validation of certificates.  
3. For the implementation of this Annex, each Party shall ensure that, in its regulatory system 
for civil aviation safety, the capability of any design organisation to assume its responsibilities is 
sufficiently controlled through a system of certification for de sign organisations.  
Article 9: Validation process  
1. An application for the validation of a design certificate of a civil aeronautical product shall be 
made to the validating authority through the certificating authority as detailed in the technical 
implem entation procedures.  
2. The certificating authority shall ensure that the validating authority receives all the relevant 
data and information necessary for the validation of the design certificate, as detailed in the 
technical implementation procedures.  
3. Upon receiving the application for the validation of the design certificate, the validating 
authority shall determine the certification basis for the validation in accordance with Article 11 
[Certification basis for the validation ], as well as the level o f involvement of the validating authority 
in the validation process in accordance with Article 12 [Level of involvement of the validating 
authority].  
4. The validating authority shall, as detailed in the technical implementation procedures, base 
its valida tion to the maximum extent practicable on the technical evaluations, tests, inspections, and 
findings of compliance made by the certificating authority.  
5. The validating authority shall, after examining relevant data and information provided by the 
certif icating authority, issue its design certificate for the validated civil aeronautical product 
(“validated design certificate”) when:  
(a) it is confirmed that the certificating authority has issued its own design certificate for the civil 
aeronautical product;  
(b) it has been stated by the certificating authority that the civil aeronautical product complies 
with the certification basis referred to in Article 11 [ Certification basis for the validation ]; 
(c) all issues raised during the validation process conducted by the validating authority have been 
resolved; and  
(d) additional administrative requirements, as detailed in the technical implementation 
procedures, have been met by the applicant.  
 
816 
 6. Each Party shall ensure that in order to obtain and maintain a validated design certificate, 
the applicant holds and retains at the disposal of the certificating authority all relevant design 
information, drawings and test reports, including inspection records for the certified civil 
aeronautical product, in order to provide the infor mation necessary to ensure the continued 
airworthiness and compliance with applicable environmental protection requirements of the civil 
aeronautical product.  
Article 10: Modalities of the validation of design certificates  
1. Type certificates issued by th e 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:  
(a) engine installation manual (for engine type certificate);   
(b) structural repair manual;  
(c) instruction for continued airworthiness of electrical wiring interconnection systems; and  
(d) 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.  
2. Significant supplemental type certificates and approvals for significant major changes issued 
by the technical agent of th e Union as certificating authority shall be validated by the technical agent 
of the United Kingdom as validating authority. A streamlined validation process limited to the 
technical familiarisation without the involvement of the validating authority in the  showing of 
compliance activities by the applicant shall be used as a matter of principle, unless otherwise 
decided by the technical agents on a case -by-case basis.  
3. Type certificates issued by the technical agent of the United Kingdom as certificating 
authority shall be validated by the technical agent of the Union as validating authority.  
4. Supplemental type certificates, approvals for major changes, major repairs and technical 
standard order authorisations issued by the technical agent of the United Kingdom as certificating 
authority or by an approved organisation under laws and regulations of the United Kingdom shall be 
validated by the technical agent of the Union as validating authority. A streamlined validation 
process limited to the technical fam iliarisation without the involvement of the validating authority in 
the showing of compliance activities by the applicant may be used when decided by the technical 
agents on a case -by-case basis.  
Article 11: Certification basis for the validation  
1. For th e 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:  
(a) 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 
 
817 
 when applicable by additional technical conditions as detailed in th e technical implementation 
procedures; and  
(b) 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.  
2.  The validating authority shall specify, when applicable, any:  
(a) exemption to the applicable requirements;  
(b) deviation from the applicable requirements; or  
(c) compensating factors that provide an equivalent level of safety when applicable requirements 
are not complied with.  
3. In addition to th e 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 requi rements for the civil 
aeronautical product, because:  
(a) 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 ; 
(b) the intended use of the civil aeronautical product is unconventional; or  
(c) 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.  
4. When specifying exemptions, deviations, compensating factors or special conditions, the 
validating authority shall give due consideration to these applied by the certificating authority and 
they shall not be more demanding for the civil aeronautic al products to be validated than they 
would be for its own similar products. The validating authority shall notify the certificating authority 
of any such exemptions, deviations, compensating factors or special conditions.  
Article 12: Level of involvement of the validating authority  
1. The level of involvement of the validating authority of a Party during the validation process 
referred to in Article 9 [Validation process] and as detailed in the technical implementation 
procedures, shall be mainly determine d by:  
(a) the experience and records of the competent authority of the other Party as certificating 
authority;  
(b) the experience already gained by that validating authority during previous validation exercises 
with the competent authority of the other Party;  
(c) the nature of the design to be validated;  
(d) the performance and experience of the applicant with the validating authority; and  
 
818 
 (e) the outcome of qualification requirements assessments referred to in Articles 28 
[Qualification requirements for the acceptance of find ings of compliance and certificates] and 
Article 29 [Continued qualifications of the competent authorities].  
2. The validating authority shall exercise special procedures and scrutiny, in particular 
regarding the certificating authority’s processes and met hods, during the first validation of any 
certificate, where the certificating authority has not previously issued a certificate in the category of 
civil aeronautical products concerned after 30 September 2004. The procedures and criteria to be 
applied shal l be detailed in the technical implementation procedures.  
3. The effective implementation of the principles set out in paragraphs 1 and 2 shall be 
regularly measured, monitored, reviewed by the Certification Oversight Board, using metrics as 
detailed in the technical implementation procedures.  
Article 13: Acceptance  
1 For a design certificate subject to acceptance, the validating authority shall accept the 
design certificate issued by the certificating authority without any validation activities. In that case, 
the design certificate shall be recognised by the validating authority as equivalent to a certificate 
issued in accordance with laws, regulations and administrative provisions of its Party and the 
validating authority shall not issue its correspondin g certificate.  
2.  Non -significant supplemental type certificates, non -significant major changes and technical 
standard order authorisations issued by the technical agent of the Union as certificating authority or 
by an approved organisation under Union la w shall be accepted by the technical agent of the United 
Kingdom as validating authority.  
3. Minor changes and repairs approved by the technical agent of the Union as certificating 
authority or by an approved organisation under Union law shall be accepted by the technical agent 
of the United Kingdom as validating authority.  
4. Minor changes and minor repairs approved by the technical agent of the United Kingdom as 
certificating authority or by an approved organisation under laws and regulations of the Unite d 
Kingdom shall be accepted by the technical agent of the Union as validating authority.  
Article 14: Implementation provisions for Articles 10 [Modalities of the validation of design 
certificates] and 13 [Acceptance]  
1. The minor change or major change cla ssifications shall be made by the certificating authority 
in accordance with the definitions set out in this Annex and interpreted in accordance with the 
applicable rules and procedures of the certificating authority.  
2. 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 incorporat ed in 
the type certificate for the civil aeronautical product. Changes that meet either of the following 
criteria are automatically considered as significant:  
(a) the general configuration or the principles of construction are not retained; or  
(b) the assumptions used for certification of the product to be changed do not remain valid.  
 
819 
 Article 15: Existing design certificates  
For the purposes of this Annex, the following apply:  
(a) 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 Dece mber 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 Uni on as validating authority in accordance with 
Article 13(1) [Acceptance];  
(b) type certificates, supplemental type certificates, approvals for changes and repairs, as well as 
technical standard order authorisations and changes thereto issued by the technical a gent 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 accord ance with Article 13(1) 
[Acceptance].  
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 validat ing 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  
1. The technical agents shall ensure that, wher e necessary, data and information related to 
design -related operational requirements shall be exchanged during the validation process.  
2. Subject to decision by the technical agents for some design -related operational 
requirements, the validating authority  may accept the compliance statement of the certificating 
authority through the validation process.  
Article 18: Operational documents and data related to the type  
1 Some type -specific sets of operational documents and data, including operational suitabilit y 
data in the Union system and the equivalent data in the United Kingdom system, provided by the 
type certificate holder shall be approved or accepted by the certificating authority and, where 
necessary, exchanged during the validation process.  
2. Operatio nal documents and data referred to in paragraph 1 may be either accepted or 
validated by the validating authority as detailed in the technical implementation procedures.  
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.  
 
820 
 Article 20: Continuing airworthiness  
1. The competent authorities shall take action to address unsafe conditions in civil aeronautical 
products for which they are the certificating authority.  
2. Upon request, a competent authority of a Party shall, in respect of civil aeronautical 
products designed or manufactured under its regulatory system, assist the co mpetent authority of 
the other Party in determining any action considered to be necessary for the continued 
airworthiness of the civil aeronautical products.  
3. When in -service difficulties or other potential safety issues affecting a civil aeronautical 
product within the scope of this Annex lead to an investigation conducted by the technical agent of a 
Party that is the certificating authority for the civil aeronautical product, the technical agent of the 
other Party shall, upon request, support that inves tigation, including by providing relevant 
information reported by relevant entities on failures, malfunctions, defects or other occurrences 
affecting that civil aeronautical product.  
4. The reporting obligations of the design certificate holders to the cer tificating authority and 
the information exchange mechanism established under this Annex shall be considered to fulfil the 
obligation of each design certificate holder to report failures, malfunctions, defects or other 
occurrences affecting that civil aero nautical product to the validating authority.  
5. Actions to address unsafe conditions and exchange of safety information referred to in 
paragraphs 1 to 4 shall be detailed in the technical implementation procedures.  
6. The technical agent of a Party shall keep the technical agent of the other Party informed of 
all its mandatory continuing airworthiness information in relation to civil aeronautical products 
designed or manufactured under its oversight system, and which are within the scope of this Annex.  
7. Any changes to the airworthiness status of a certificate issued by a Party's technical agent 
shall be communicated in a timely manner to the other Party’s technical agent.  
SECTION E: Production certification  
Article 21:  Recognition of production certificat ion and production oversight systems  
1. The importing Party shall recognise the production certification and production oversight 
system of the exporting Party, since the system is considered sufficiently equivalent to the system of 
the importing Party wit hin the scope of this Annex, subject to the provisions of this Article.  
2. The recognition of the production certification and production oversight system of the 
United Kingdom by the Union is limited to the recognition of the production of categories of c ivil 
aeronautical products that were already subject to that system on 31 December 2020, as detailed in 
the technical implementation procedures.  
3. In the event that a new category of civil aeronautical products is added to the exporting 
Party’s production  certification and production oversight system, the competent authority of the 
exporting Party shall notify the technical agent of the importing Party. Before extending the 
recognition of the production certification and production oversight system to the new category of 
civil aeronautical products, the technical agent of the importing Party may decide to conduct an 
assessment to confirm that the production certification and production oversight system of the 
exporting Party for this category of civil aeron autical products is sufficiently equivalent to the 
 
821 
 production certification and production oversight system of the importing Party. That assessment 
shall be performed as detailed in the technical implementation procedures, and may include an 
assessment of the production approval holder under the oversight of the competent authority of the 
exporting Party. The process for the extension of the recognition of the production certification and 
production oversight system of the exporting Party to the new categor y of civil aeronautical 
products by the importing Party shall be detailed in the technical implementation procedures.  
  4. The recognition of the production certification and production oversight system of the 
exporting Party by the importing Party shall be subject to the level of safety provided by the 
production certification and production oversight system of the exporting Party remaining 
sufficiently equivalent to that provided by the system of the importing Party. The equivalence of the 
production cer tification and production oversight system shall be continuously monitored through 
the procedures set out in Article 29 [ Continued qualifications of the competent authorities ]. 
5. Paragraphs 1 to 3 also apply to the production of a civil aeronautical produ ct for which the 
State of Design responsibilities are exercised by a country other than the exporting Party of the civil 
aeronautical product, provided that the competent authority of the exporting Party has established 
and implemented the necessary proced ures with the relevant authority of the State of Design to 
control the interface between the design certificate holder and the production approval holder for 
that civil aeronautical product.  
Article 22: Extension of production approval  
1. A production appr oval issued by the competent authority of the exporting Party to a 
manufacturer primarily located in the territory of that exporting Party and recognised under Article 
21(1) [ Recognition of production certification and production oversight systems ] may be extended to 
include manufacturing sites and facilities of the manufacturer located in the territory of the other 
Party or in the territory of a third country, irrespective of the legal status of those manufacturing 
sites and facilities, and irrespective of  the type of civil aeronautical product manufactured in those 
sites and facilities. In that case, the competent authority of the exporting Party shall remain 
responsible for the oversight of those manufacturing sites and facilities and the competent author ity 
of the importing Party shall not issue its own production approval to these manufacturing sites and 
facilities for the same civil aeronautical product.  
2. If facilities and manufacturing sites for a manufacturer primarily located in the territory of 
the exporting Party are located in the other Party, the competent authorities of both Parties shall 
cooperate with each other, in the framework of Article 32 [ Support for certification and continued 
airworthiness oversight activities ], with a view to having the importing Party participating in the 
oversight activities of the exporting Party in relation to these facilities.  
Article 23: Interface between the production approval holder and the design certificate holder  
1. In cases where the production approval h older for a civil aeronautical product is regulated 
by the competent authority of a Party, and the design certificate holder for the same civil 
aeronautical product is regulated by the competent authority of the other Party, the competent 
authorities of th e Parties shall establish procedures to define the responsibilities of each Party to 
control the interface between the production approval holder and the design certificate holder.  
2. For the purpose of export of civil aeronautical products within the fram ework of this Annex, 
when the design certificate holder and the production approval holder are not the same legal entity, 
the competent authorities of the Parties shall ensure that the design certificate holder establishes 
 
822 
 proper arrangements with the prod uction approval holder to ensure satisfactory coordination 
between design and production, and the proper support of the continued airworthiness of the civil 
aeronautical product.  
SECTION F: Export certificates  
Article 24: Forms  
The exporting Party’s forms are: 
(a) 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  
(b) when the exporting Party is the Union, EASA Form 52 for new aircraft, expor t certificate of 
airworthiness for used aircraft, and EASA Form 1 for other new products.  
Article 25: Issuance of an export certificate  
1. When issuing an export certificate, the competent authority or production approval holder 
of the exporting Party shal l ensure that such civil aeronautical product:  
(a) 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;  
(b) is in a condition for safe operation;  
(c) meets all additional requirements notified by the importing Party; and  
(d) 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.  
2. When issuing an export certificate of airworthiness for a used aircraft registered in the 
exporting Party, in addition to the requirements referred to in points (a) to (d) of paragraph 1, th e 
competent authority of the exporting Party shall ensure that such aircraft has been properly 
maintained using approved procedures and methods of the exporting Party during its service life, as 
evidenced by logbooks and maintenance records.  
Article 26: Ac ceptance 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 ae ronautical 
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  
1. The competent authorit y of the importing Party shall accept an export certificate of 
airworthiness issued by the competent authority of the exporting Party for a used aircraft in 
accordance with the terms and conditions set out in this Annex and the technical implementation 
 
823 
 procedures only if a holder of either a type certificate or a restricted type certificate exists for the 
used aircraft to support continued airworthiness of that type of aircraft.  
2. 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:  
(a) the configuration of the aircraft at the time of dispatch from the manufacturer; and  
(b) subsequent changes and repairs applied to the aircraft that it has approved.  
3. The importing Party may request inspection and maintenance records, as detailed  in the 
technical implementation procedures.  
4. 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 Articl e 25(2) [Issuance of an export certificate] and in paragraphs 1 and 2 of this Article, it 
shall:  
(a) notify the competent authority of the importing Party;  
(b) coordinate with the competent authority of the importing Party, as detailed in the technical 
implementat ion procedures, their acceptance or rejection of the exceptions to the applicable 
requirements; and  
(c) keep a record of any accepted exceptions when exporting . 
SECTION G: Qualification of competent authorities  
Article 28: Qualification requirements for the ac ceptance of findings of compliance and certificates  
1. Each Party shall maintain a structured and effective certification and oversight system for 
the implementation of this Annex, including:  
(a) a legal and regulatory framework, ensuring in particular regulat ory powers over entities 
regulated under the regulatory system for civil aviation safety of the Party;  
(b) an organisational structure, including a clear description of responsibilities;  
(c) sufficient resources, including qualified staff with sufficient knowledge, experience and 
training;  
(d) adequate processes documented in policies and procedures;  
(e) documentation and records; and  
(f) an established inspection programme ensuring a uniform level of implementation of the legal 
and regulatory framework among the vari ous components of the oversight system.  
 
824 
 Article 29: Continued qualifications of the competent authorities  
1. In order to maintain mutual confidence in each Party's regulatory system concerning the 
implementation of this Annex so that they ensure a sufficie ntly equivalent level of safety, the 
technical agent of each Party shall regularly assess the other Party’s competent authorities’ 
compliance with the qualification requirements referred to in Article 28 [Qualification requirements 
for the acceptance of fi ndings of compliance and certificates]. The modalities of such continued 
mutual assessments shall be detailed in the technical implementation procedures.  
2. The competent authority of a Party shall cooperate with the competent authority of the 
other Party whenever such assessments are required and ensure that regulated entities subject to 
its oversight provide access to the technical agents of the Parties.  
3. If the technical agent of either Party believes that the technical competence of a competent 
author ity of the other Party is no longer adequate, or that the acceptance of findings of compliance 
made or certificates issued by that competent authority should be suspended as the other Party’s 
systems concerning the implementation of this Annex no longer en sure a sufficiently equivalent level 
of safety to permit such acceptance, the technical agents of the Parties shall consult in order to 
identify remedial actions.  
4. If mutual confidence is not restored through mutually acceptable means, the technical agen t 
of each Party may refer the matter referred to in paragraph 3 to the Certification Oversight Board.  
5. If the matter is not resolved by the Certification Oversight Board, each Party may refer the 
matter referred to in paragraph 3 to the Specialised Commi ttee on Aviation Safety.  
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  
1. The technical agents of the Parties shall address issues concerning the implementa tion of 
this Annex through consultations.  
2. If a mutually acceptable solution is not reached through consultations held pursuant to 
paragraph 1, the technical agent of each Party may refer an issue as referred to in paragraph 1 to the 
Certification Oversi ght Board.  
3. If the issue is not resolved by the Certification Oversight Board, each Party may refer an 
issue as referred to in paragraph 1 to the Specialised Committee on Aviation Safety.  
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 airworthine ss oversight activities related to design, production and 
 
825 
 environmental protection certification. The support to be provided and the process for providing 
such support shall be detailed in the technical implementation procedures.  
 
 
  
 
826 
 ANNEX ROAD -1: TRANSPORT OF GOODS BY ROAD  
 Part A – Requirements for road haulage operators in accordance with Article ROAD.5 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 ROAD.4 [Transport of goods between, throug h and within the territories of the 
Parties] of this Agreement .  
 Article 2 - Definitions  
For the purposes of this Section,   
(a) "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;  
(b) "competent authority" means a national, regional or local authority in a Party which, for the 
purpose of authorising the pursuit o f 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   
(c) "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:  
(a) have an effective and stable establishment in a Party as laid down in Article 5 of this 
Section;  
(b) be of  good repute as laid down in Article 6 of this Section;  
(c) have appropriate financial standing as laid down in Article 7 of this Section; and  
(d) have the requisite professional competence as laid down in Article 8 of this Section.  
Article 4 - Transport manage r  
1. 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:  
(a) 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  
(b) is resident in the Party in the territory of which the road haulage operator is established.  
 
827 
 2. 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 p aragraph 1, 
provided that:  
(a) 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 cont ract to carry out duties as 
transport manager on behalf of the undertaking;  
(b) 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;  
(c) 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 c arried out with a 
combined maximum total fleet of 50 vehicles; and  
(d) 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.  
3. A Party may decide that a transport manager designated in accordance with paragraph 1 
may not in addition be designated in accordance with paragraph 2, or may only be so designated in 
respect of a limited number of natural or legal persons or a fleet of ve hicles that is smaller than that 
referred to in point (c) of paragraph 2.  
4. The natural or legal person shall notify the competent authority of the transport manager or 
managers designated.  
Article 5 - Conditions relating to the requirement of establish ment   
In order to fulfil the requirement of effective and stable establishment in the Party of establishment, 
a natural or legal person shall:  
(a) 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 contai ning 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 l aid down in this Section;  
(b) be registered in the register of commercial companies of that Party or in a similar register 
whenever required under national law;  
 
828 
 (c) be subject to tax on revenues and, whenever required under national law, have assigned a 
VAT regi stration number;  
(d) 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 vehicle s are wholly owned or, for 
example, are held under a hire -purchase agreement or under a hire or leasing contract;  
(e) effectively and continuously conduct its administrative and commercial activities with the 
appropriate equipment and facilities at premises a s 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  
(f) 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   
1. Subject to paragraph 2, the Parties shall determine the conditions to be met by natural or 
legal persons and transport managers in order to fulfil the requirement of good repute.  
In determinin g 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 refe rence 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 the first part of this paragraph shall include at least the following:  
(a) 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:  
(i) commercial law;  
(ii) insolvency law;  
(iii) pay and employment conditions in the profession;  
(iv) road traffic;  
(v) professional liability;  
(vi) trafficking in human beings or drugs;   
(vii) tax la w; and  
(b) 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 [Transport of goods by 
road] of this Agreement or of national rules relating in particular to:  
 
829 
 (i) the driving time and rest periods  of drivers, working time and the installation 
and use of recording equipment;  
(ii) the maximum weights and dimensions of commercial vehicles used in 
international traffic;  
(iii) the initial qualification and continuous training of drivers;  
(iv) the roadworthiness of commercial vehicles, including the compulsory 
technical inspection of motor vehicles;  
(v) access to the market in international road haulage;    
(vi) safety in the carriage of dangerous goods by road;  
(vii) the installation and use of speed -limiti ng devices in certain categories of 
vehicle;  
(viii) driving licences;  
(ix) admission to the occupation;    
(x) animal transport;  
(xi) the posting of workers in road transport;  
(xii) the law applicable to contractual obligations; and  
(xiii) journeys who se points of loading and unloading  are situated in the other 
Party.  
2. For the purposes of point (b) of the third subparagraph of paragraph 1 of this Article, where 
the transport manager or the road haulage operator has been convicted of a serious criminal offence 
or has incurred a penalt y for one of the most serious infringements as set out in Appendix 
ROAD.A.1.1 in one or both Parties, the competent authority in the Party of establishment shall carry 
out and complete in an appropriate and timely manner an administrative procedure, which shall 
include, if appropriate, an on -site inspection at the premises of the natural or legal person 
concerned.   
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 ROAD.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 w ould be disproportionate, the 
conviction or penalty shall lead to the loss of good repute.  
3. The Specialised Committee on Road Transport shall draw up a list of categories, types and 
degrees of seriousness of serious infringements which, in addition to t hose set out in Appendix 
ROAD.A.1.1, may lead to the loss of good repute.  
 
830 
  
4. The requirement of good repute shall not be fulfilled until a rehabilitation measure or any 
other measure having an equivalent effect has been taken pursuant to the relevant pro visions of 
national law of the Parties.  
 Article 7 - Conditions relating to the requirement of financial standing   
1. In order to fulfil the requirement of financial standing , a natural or legal person shall, on a 
permanent basis, be able to meet its fin ancial 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 reserve s:  
(a) 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;  
(b) 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 reserve s 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.   
2. By way of derogation from paragraph 1, the competent authority may agree or require that 
an undertaking demonstrate its financial standing by means of a certificate determined by the 
competent authority, such as a bank guarantee or an insurance, including a professional liability 
insurance from one or more banks or other financial institutions including insurance companies or 
another binding document providing a joint and several guarantee for the undertaking in respect of 
the amounts specified in point (a)  of paragraph 1.  
3. By way of derogation from paragraph 1, in the absence of certified annual accounts for the 
year of an undertaking's registration, the competent authority shall agree that an undertaking is to 
demonstrate its financial standing by means  of a certificate, such as a bank guarantee, a document 
issued by a financial institution establishing access to credit in the name of the undertaking, or 
another binding document as determined by the competent authority proving that the undertaking 
has at  its disposal the amounts specified in point (a) of paragraph 1.   
4. The annual accounts referred to in paragraph 1, and the guarantee referred to in paragraph 
2, which are to be verified, are those of the economic entity established in the Party in which an 
authorisation has been applied for and not those of any other enti ty established in the other Party.  
 Article 8 - Conditions relating to the requirement of professional competence   
1. In order to satisfy the requirement of professional competence, the person or persons 
concerned shall possess knowledge corresponding to  the level provided for in Part I of Appendix 
ROAD.A.1.2 in the subjects listed therein. That knowledge shall be demonstrated by means of a 
compulsory written examination which, if a Party so decides, may be supplemented by an oral 
 
831 
 examination. Those exami nations shall be organised in accordance with Part II of Appendix 
ROAD.A.1.2. To this end, a Party may decide to impose training prior to the examination.  
2. The persons concerned shall sit the examination in the Party in which they have their normal 
residence.  
3. Only the authorities or bodies duly authorised for this purpose by a Party, in accordance 
with criteria defined by it, may organise and certify the written and oral examinations referred to in 
paragraph 1 of this Article. The Parties shall regul arly verify that the conditions under which those 
authorities or bodies organise the examinations are in accordance with Appendix ROAD.A.1.2.  
4. A Party may exempt the holders of certain higher education qualifications or technical 
education qualification s issued in that Party, specifically designated to this end and entailing 
knowledge of all the subjects listed in Appendix ROAD.A.1.2 from the examination in the subjects 
covered by those qualifications. The exemption shall only apply to those Sections of Part I of 
Appendix ROAD.A.1.2 for which the qualification covers all subjects listed under the heading of each 
Section.  
A Party may exempt from specified parts of the examinations holders of certificates of professional 
competence valid for national trans port 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  
1. 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) a time limit not exceeding 6 month s, 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 prof essional competence;  
(b) 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  
(c) a time limit not exceeding 6 months whe re the requirement of financial standing is not 
satisfied, in order to demonstrate that that requirement is again satisfied on a permanent 
basis.  
 
832 
 2. The competent authority may require a natural or legal person whose authorisation has 
been suspended or wi thdrawn to ensure that its transport managers have passed the examinations 
referred to in Article 8(1) prior to any rehabilitation measure being taken.  
3. If the competent authority establishes that the natural or legal person no longer satisfies 
one or m ore of the requirements laid down in Article 3, it shall suspend or withdraw the 
authorisation to engage in the occupation of road haulage operator within the time limits referred to 
in paragraph 1 of this Article.  
 Article 11 - Declaration of unfitness o f the transport manager  
1. Where a transport manager loses good repute in accordance with Article 6, the competent 
authority shall declare that transport manager unfit to manage the transport activities of a road 
haulage operator.  
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 subject s listed in 
Part I of Appendix ROAD.A.1.2.  
2. Where a transport manager loses good repute in accordance with Article 6, an application 
for rehabilitation may be introduced after no less than one year from the date of the loss of good 
repute.  
Article 12 - Examination and registration of applications  
1. The competent authorities in each Party shall record in the national electronic registers 
referred to in Article 13(1) the data relating to undertakings which they authorise.  
2. When assessing the good rep ute of an undertaking, the competent authorities shall verify, 
whether at the time of the application the designated transport manager or managers are declared, 
in one of the Parties, unfit to manage the transport activities of an undertaking pursuant to A rticle 
11.  
3. The competent authorities shall regularly monitor whether undertakings which they have 
authorised to engage in the occupation of road haulage operators continue to fulfil the 
requirements referred to in Article 3. To that end, the competent authorities shall carry out checks, 
including, where appropriate, on -site inspections at the premises of the undertaking concerned, 
targeting those undertakings which are classed as posing an increased risk.  
  Article 13 - National electronic registers  
1. The competent authorities shall keep a national electronic register of road transport 
undertakings which have been authorised to engage in the occupation of road haulage operator.  
2. The Specialised Committee on Road Transport shall establish the data contained in the 
national registers of road transport undertakings and the conditions of access to this data.  
 
833 
 Article 14 - Administrative cooperation between the competent authorities  
1. The competent authorities in each Party shall designate a national contact point responsible 
for the exchange of information with the competent authorities of the other Party with regard to the 
application of this Section.  
2. The competent authorities i n each Party shall cooperate closely and shall swiftly provide one 
another with mutual assistance and with any other relevant information in order to facilitate the 
implementation and enforcement of this Section.  
3. The competent authorities in each Party  shall carry out individual checks to verify whether 
an undertaking meets the conditions governing admission to the occupation of road haulage 
operator whenever a competent authority in the other Party so requests in duly justified cases. It 
shall inform t he competent authority in the other Party of the results of such checks and of the 
measures taken if it is established that the undertaking no longer fulfils the requirements laid down 
in this Section.  
4. The competent authorities in each Party shall exch ange information on convictions and 
penalties for any serious infringements referred to in Article 6(2).  
5. The Specialised Committee on Road Transport shall establish detailed rules on the 
modalities of the exchange of information referred to in paragrap hs 3 and 4.   
  
 
834 
 APPENDIX ROAD.A.1.1: Most serious infringements for the purpose of Article 6(2) of Section 1 of 
Part A of Annex ROAD.1  
1. Exceeding time limits as follows:  
(a) exceeding the maximum 6 -day or fortnightly driving time limits by margins of 25 % or  
more;   
(b) 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 t he 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 t ransport 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 v ehicle.  
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 ROAD.5 of this Agreement.  
6. Driving with a driver card that has been falsified, or with a ca rd 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 wh ich exceeds 12 tonnes, and by 25 % or more for vehicles the 
permissible laden weight of which does not exceed 12 tonnes.  
  
 
835 
 APPENDIX ROAD.A.1.2:  Part I.   LIST  OF SUBJECTS  REFERRED  TO IN ARTICLE  8 of Section 1 of Part A of 
Annex ROAD.1  
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 knowl edge 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 supple mented either by 
vocational training and supplementary technical training or by secondary school or other technical 
training.  
 A.  Civil law  
The applicant must, in particular:  
(a) be familiar with the main types of contract used in road transport and with the rights and 
obligations arising therefrom;  
(b) be capable of negotiating a legally valid transport contract, notably with regard to 
conditions of carriage;  
(c) be able to consider a c laim 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  
(d) be familiar with the rules and o bligations 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:  
(a) be familiar with the conditions and formalities laid down fo r plying the trade, the general 
obligations incumbent upon transport operators (registration, record keeping, etc.) and the 
consequences of bankruptcy; and  
(b) have appropriate knowledge of the various forms of commercial companies and the rules 
governing thei r constitution and operation.  
 C.  Social law  
The applicant must, in particular, be familiar with the following:  
(a) the role and function of the various social institutions which are concerned with road 
transport (trade unions, works councils, shop steward s, labour inspectors, etc.);  
(b) the employers' social security obligations;  
(c) 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.);  
 
836 
 (d) the rules applicable to driving time, rest periods and working time, and the practical 
measures for applying those provisions; and  
(e) the rules appl icable 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:  
(a) value added tax (VAT) on transport services;  
(b) motor -vehicle tax;  
(c) the taxes on certain road haulage vehicles and tolls and infrastructure user charges; and  
(d) income tax.  
E.  Business and financial management  
The applicant must, in particular:  
(a) 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;  
(b) be familiar with the various forms of credit (bank credit, documentary credit, guarantee 
deposit s, mortgages, leasing, renting, factoring, etc.) and the charges and obligations 
arising therefrom;  
(c) know what a balance sheet is, how it is set out and how to interpret it;  
(d) be able to read and interpret a profit and loss account;  
(e) be able to assess the u ndertaking's profitability and financial position, in particular on the 
basis of financial ratios;  
(f) be able to prepare a budget;  
(g) 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;  
(h) be able to draw up an organisation chart relating to the undertaking's personnel as a whole 
and to organise work plans, etc.;  
(i) be familiar with the principles of marketing, p ublicity and public relations, including 
transport services, sales promotion and the preparation of customer files, etc.;  
(j) be familiar with the different types of insurance relating to road transport (liability, 
accidental injury/life insurance, non -life a nd luggage insurance) and the guarantees and 
obligations arising therefrom;  
(k) be familiar with the applications of electronic data transmission in road transport;  
(l) be able to apply the rules governing the invoicing of road haulage services and know the 
mean ing and implications of Incoterms; and  
 
837 
 (m) 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:  
(a) 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 transpo rt operations, 
inspections and penalties;  
(b) the rules for setting up a road transport undertaking;  
(c) the various documents required for operating road transport services and the introduction 
of checking procedures to ensure that the approved documents relati ng 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;  
(d) the rules on the organisation of the market in road haulage services, as well as the rules on 
freight handling and logistics; and  
(e) 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:  
(a) 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;  
(b) be able to choos e vehicles and their components (chassis, engine, transmission system, 
braking system, etc.) in accordance with the needs of the undertaking;  
(c) be familiar with the formalities relating to the type approval, registration and technical 
inspection of these ve hicles;  
(d) understand what measures must be taken to reduce noise and to combat air pollution by 
motor vehicle exhaust emissions;  
(e) be able to draw up periodic maintenance plans for the vehicles and their equipment;  
(f) be familiar with the different types of ca rgo-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.);  
(g) be familiar with the v arious techniques of 'piggy -back' and roll -on roll -off combined 
transport;  
(h) be able to implement procedures to comply with the rules on the carriage of dangerous 
goods and waste;  
 
838 
 (i) 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 
(j) be able to implement procedures to comply with the rules on the tran sport of live animals.  
 H.  Road safety  
The applicant must, in particular:  
(a) know what qualifications are required for drivers (driving licence, medical certificates, 
certificates of fitness, etc.);  
(b) be able to take the necessary steps to ensure that driv ers 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.);  
(c) be able to draw up instructions for drivers to check their compliance w ith the safety 
requirements concerning the condition of the vehicles, their equipment and cargo, and 
concerning preventive measures to be taken;  
(d) be able to lay down procedures to be followed in the event of an accident and to 
implement appropriate procedu res to prevent the recurrence of accidents or serious traffic 
offences; and  
(e) 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.  
(a) The compulsory written examination will involve two tests, namely:  
 
(i) written questions consistin g of either multiple choice questions (each with four possible 
answers), questions requiring direct answers or a combination of both systems; and  
 
(ii) written exercises /case studies.  
 The minimum duration of each test will be two hours.  
(b) Where an oral examina tion 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 wei ghting of marks of a minimum of 25  % and a maximum of 40  % of the 
total number of marks to be given.  
 
839 
 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 max imum 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 
mark s possible. In one test only, a Party may reduce that mark from 50% to 40  %.   
 
840 
 APPENDIX ROAD.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 Commu nity, 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 prov isions 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, (E ST) 
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) Slovaki a, (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.   
 
841 
 (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:  
— where the point of departure and the point of arrival are situated in two different Member States, 
with or without transit through one or more Member States or third countries,  
— from a Member State to a third country or vice versa, with or wit hout transit through one or more 
Member States or third countries,  
— between third countries with transit through the territory of one or more Member States,  
and unladen journeys in connection with such carriage.  
In the case of carriage from a Member Sta te 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, nota bly 
where the holder has:  
— not complied with all the conditions for using the licence,  
— supplied incorrect information with regard to the data needed for the issue or extension of the 
licence.  
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 o r 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 l east is registered in a Member State, used exclusively for the carriage of goods.  
  
 
842 
   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) 1072/2009(3). 
Particular remarks: …………………………… ………………………………………………………  
………………………………………………………………………………………………………….  
This licence is valid from ……………….  to ………………………………………………  
Issued in ………………………………………..  on ………………………………………………   
 
843 
   
 
 
 
 
 
 
 
___________________________  
(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) 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.   
  

 
844 
    
(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 Mem ber 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: 
– not complied  with  all the conditions  for using  the licence,  
– supplied  incorrect  information  with  regard  to the data  needed  for the issue  or extension  of the 
licence.  
 
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) 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.   
 
 
  
 
845 
  APPENDIX ROAD.A.1.4: Security features of the licence   
The licence must have at least two of the following security features:  
— a hologram;  
— special fibres in the paper which become visible under UV -light;  
— at least one microprint line (printing visible only with a magnifying glass and not reproduced by 
photocopying machines);  
— tactile characters, symbols or patterns;  
— double numbering: serial number of the licence, of the certified copy thereof as well  as, in each 
case, the issue number;  
— a security design background with fine guilloche patterns and rainbow printing.  
   
 
846 
 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 n atural 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 coun tries 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 w orks.  
Article 3 - Principles  
1. The provisions of this Section apply to the extent that the road haulage operator posts 
drivers to the territory of the other Party on its account and under its direction, under a contract 
concluded between the road haulag e operator making the posting and the party for whom the 
transport services are intended, and those drivers operate in the territory of that Party, provided 
that there is an employment relationship between the road haulage operator making the posting 
and t he driver during the period of posting.  
2. For the purposes of paragraph 1, a posting shall be considered to start when the driver 
enters the territory of the other Party for the loading and/or unloading of goods and to end when 
the driver leaves the terr itory of that Party.   
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 t o end when the driver leaves the territory of that Member State.  
3. Notwithstanding the paragraphs 1 and 2, a driver shall not be considered to be posted when 
performing transport operations, based on a transport contract, as defined in point (a) of Artic le 
ROAD.4(1)  [Transport of goods between, through and within the territories of the Parties] of this 
Agreement .   
4. A driver shall not be considered to be posted in the United Kingdom where the driver 
transits through the territory of the United Kingdom w ithout loading or unloading of goods. For the 
Union, a driver shall not be considered to be posted in a Member State when the driver transits 
through the territory of that Member State without loading or unloading of goods.  
Article 4 - Terms and condition s of employment  
 
847 
 1. 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 condition s 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:  
— by law, regulation or administrative provision; and/or  
— by collective agreements or arbi tration awards which have been declared universally applicable or 
otherwise apply in accordance with paragraph 4:  
(a) maximum work periods and minimum rest periods;  
(b) minimu m paid annual leave;  
(c) remuneration, including overtime rates; this point does not apply  to supplementary 
occupational retirement pension schemes;  
(d) health, safety and hygiene at work;  
(e) 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 pe ople; and  
(f) equality of treatment  between men and women and other provisions on non -
discrimination.  
2. For the purposes of this Section, the concept of remuneration shall be determined by the 
national law and/or practice of the Party and, in the case of the Union, by the national law and/or 
practice of the Member State, to whose territory the driver is post ed and means all the constituent 
elements of remuneration rendered mandatory by national law, regulation or administrative 
provision, or by collective agreements or arbitration awards which, in that Party or in that Member 
State, have been declared univers ally applicable or otherwise apply in accordance with paragraph 4.  
3. Allowances specific to the posting shall be considered to be part of remuneration, unless 
they are paid in reimbursement of expenditure actually incurred on account of the posting, such as 
expenditure on travel, board and lodging. The road haulage operator  shall reimburse the posted 
driver for such expenditure in accordance with the law and/or practice applicable to the 
employment relationship.   
Where the terms and conditions of employment applicable to the employment relationship do not 
determine which el ements 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 .   
4. For the purpose of this Section, "collective agreements or arbitration awards which have 
been declared universally applicable" means collective agreements or arbitration awards which must 
be observed by all undertakings in the geographical area and in the profession or industry 
concerned.  
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 part of this paragraph, each 
Party, or each Me mber State in the case of the Union, may, if they so decide, base themselves on:  
 
848 
 — collective agreements or arbitration awards which are generally applicable to all similar 
undertakings in the geographical area and in the profession or industry concerned;  and/or  
— collective agreements which have been concluded by the most representative employers' and 
labour organisations at national level and which are applied throughout national territory.   
Equality of treatment, within the meaning of paragraph 1, sha ll be deemed to exist where national 
undertakings in a similar position:  
(i) 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  
(ii) are required to fulfil such obligations with the same effects.  
Article 5 - Improved access to information  
1. Each Party or, in the case of the Union, each Member State shall publish the information on 
the terms and conditions of employment, in a ccordance with national law and/or practice, without 
undue delay and in a transparent manner, on a single official national website, including the 
constituent elements of remuneration as referred to in Article 4(2) and all the terms and conditions 
of emplo yment in accordance with Article 4(1).   
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.   
2. Each Party or, in the case of the Union,  each Member State shall take the appropriate 
measures to ensure that the information mentioned in paragraph 1 is made generally available free 
of charge in a clear, transparent, comprehensive and easily accessible way at a distance and by 
electronic means , in formats and in accordance with web accessibility standards that ensure access 
to persons with disabilities and to ensure that competent national bodies are in a position to carry 
out their tasks effectively.   
3. Where, in accordance with national law , traditions and practice, including respect for the 
autonomy of social partners, the terms and conditions of employment referred to in Article 4 are 
laid down in collective agreements in accordance with Article 4(1), each Party or, in the case of the 
Unio n, each Member State shall ensure that those terms and conditions are made available in an 
accessible and transparent way to service providers from the other Party and to posted drivers, and 
shall seek the involvement of the social partners in that respect . The relevant information should, in 
particular, cover the different minimum rates of pay and their constituent elements, the method 
used to calculate the remuneration due and, where relevant, the qualifying criteria for classification 
in the different wa ge categories.   
4. Where, contrary to paragraph 1, the information on the single official national website does 
not indicate which terms and conditions of employment are to be applied, that circumstance shall be 
taken into account in accordance with nation al law and/or practice in determining penalties in the 
event of infringements to this Section, to the extent necessary to ensure the proportionality of those 
penalties.   
5. Each Party or, in the case of the Union, each Member State shall indicate the bodi es and 
authorities to which drivers and road haulage operators can turn for general information on national 
law and practice applicable to them concerning their rights and obligations within their territory.   
 
849 
 Article 6 - Administrative requirements, contr ol and enforcement  
1. 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:  
(a) an obligation for the operator established in the othe r 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 multil ingual standard form of the public 
interface connected to the EU Internal Market Information System136 for administrative 
cooperation (IMI); that posting declaration shall consist of the following information:  
(i) the identity of the operator, at least in the f orm of the number of the valid licence 
where this number is available;  
(ii) 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;  
(iii) the identity , the address of the residence and the number of the driving licence of 
the driver;  
(iv) the start date of the driver's contract of employment, a nd the law applicable to it;  
(v) the envisaged start and end date of the posting; and  
(vi) the number  plates of the motor vehicles;  
(b) 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:  
(i) a copy of the posting declaration submitted, via th e IMI system from 2 February 
2022;  
(ii) evidence of the transport operations taking place in the host Party, such as an 
electronic consignment note (e -CMR); and  
(iii) the tachograph records and in particular the country symbols of the Party or, in the 
case of the Un ion, 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;  
(c) an obligation for the operator to send, fro m 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 
                                                            
136 Established by Regulation (EU) 1024/2012.  
 
850 
 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 d river'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 requeste d 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 establ ishment 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 establishme nt 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 measu res to 
investigate and prevent alleged breaches of this Section.   
3. For the purpose of ascertaining whether a driver is not to be considered to be posted 
pursuant to Article 1, each Party may only impose as a control measure an obligation for the driver 
to keep and make available, where requested at the roadside check, in paper or electronic form, the 
evidence of the relevant transport operations, such as an electronic consignment note (e -CMR), and 
tachograph records, as referred to in point (b)(iii) of p aragraph 2 of this Article.  
4. For the purposes of control, the operator shall keep the posting declarations referred to in 
point (a) of paragraph 2 up to date, from 2 February 2022 in the public interface connected to IMI.  
5. The information from the po sting declarations shall be saved, from 2 February 2022, in the 
IMI repository for the purpose of checks for a period of 24 months.  
6. The Party or, in the case of the Union, the Member State to whose territory the driver is 
posted and the Party or, in th e case of the Union, the Member State from which the driver is posted 
shall be responsible for the monitoring, control and enforcement of the obligations laid down in this 
Section and shall take appropriate measures in the event of failure to comply with t his Section.  
7. Each Party or, in the case of the Union, the Member States shall ensure that inspections and 
controls of compliance under this Article are not discriminatory and/or disproportionate, whilst 
taking into account the relevant provisions of th is Section.   
 
851 
 8. For the enforcement of the obligations under this Section, each Party or, in the case of the 
Union, the Member States shall ensure that there are effective mechanisms for posted drivers to 
lodge complaints against their employers directly,  as well as the right to institute judicial or 
administrative proceedings, also in the Party in whose territory the drivers are or were posted, 
where such drivers consider they have sustained loss or damage as a result of a failure to apply the 
applicable rules, even after the relationship in which the failure is alleged to have occurred has 
ended.   
9. Paragraph 8 shall apply without prejudice to the jurisdiction of the courts of each Party or, in 
case of the Union, the Member States as laid down, in parti cular, in the relevant instruments of 
Union law and/or international conventions.  
10. Each Party or, in the case of the Union, the Member States shall lay down the rules on 
penalties applicable to infringements of national provisions adopted pursuant to t his Section and 
shall take all measures necessary to ensure that they are implemented and complied with. The 
penalties provided for shall be effective, proportionate and dissuasive.  
Each Party shall notify those provisions to the other Party by 30 June 20 21. They shall notify without 
delay any subsequent amendments to them.  
Article 7 - Use of the IMI system  
1. As from 2 February 2022, information, including personal data, referred to in Article 6 shall 
be exchanged and processed in the IMI system, provid ed that the following conditions are fulfilled:   
(a) the Parties provide safeguards that data processed in the IMI system are only used for the 
purpose for which they were initially exchanged;   
(b) 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) 1024/2012137; and  
(c) any transfer of personal data to the Union under this Article may only take place in 
accordance with the data protection rules on international tra nsfers of the United 
Kingdom.  
2. The competent authorities in each Party shall grant and revoke appropriate access rights to 
IMI users.  
3. IMI users are allowed to access personal data processed in the IMI system only on a need -to-
know basis and exclusiv ely for the purpose of implementation and enforcement of this Section.  
4. 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:   
                                                            
137 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 L 316, 14.11 .2012, p. 1  
 
852 
 (a) the information relates to a posting to the territory of the Party o r, in the case of the 
Union, of the Member State, concerned; and  
(b) the information  is used exclusively for the purpose of enforcing the posting rules.   
5. The Specialised Committee on Road Transport shall set the technical and procedural 
specifications of the use of the IMI system by the United Kingdom.  
6. Each Party shall participate in the operating costs of the IMI system. The Specialised 
Committee on Road Transport shall determine the costs to be borne by each Party.  
 
  
 
853 
  
 PART B – Requirements for drive rs involved in the transport of goods in accordance with Article 
ROAD.7 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 ROAD.4 [Transport of goods between, 
through and within the territories of the Parties] of this Agreement and using vehicles for which a 
driving licence of category C1, C1+E, C or C+E, or a drivi ng 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:   
(a) with a maximum authorised speed not exceedi ng 45 km/h;   
(b) 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;  
(c) 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;  
(d) used in states of emergency or assigned to rescue missions;  
(e) 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  
(f) 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   
1. 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) a system of initial qualification corresponding to one of the following two options:   
(i) option combining both course attendance and a test   
In accordance with Section 2(2.1) of Appendix ROAD.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);  
(ii) option involving only tests   
 
854 
 In accordance with Section 2(2.2) of Appendix ROAD.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 vo cational 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;   
(b) a system of periodic training   
In accordance with Section 4 of Appendix ROAD.B.1.1, periodic training involves compulsory course 
attendance. It shall be certified by a CPC as provided for in Article 8(1).   
2. A Party may also provide for a system of accelerated initial qualification so that a driver may 
drive in the cases referred to in points (a)(ii) and (b) of Article 5(2).   
In accordance with Section 3 of Appendix ROAD.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).   
3. A Party may exempt drivers who have obtained the certificate of professional competence 
provided for in Article 8 of Section 1 of Part A from the tests referred to in points (a)(i) and (ii) of 
paragraph 1 and in paragraph 2 of this Article in the subjects covered by the test provided for in that 
part of this Annex and, where appropriate, from attending the part of the course cor responding 
thereto.  
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   
1. Access to an initial qualification shall not require the corresponding driving licence to be 
obtained beforehand.   
2. Drivers of a vehicle intended for the carriage of goods may drive:   
(a) from the age of 18:   
(i) a vehicle in licence categories C and C+E, provided they hold a CPC as referred to in 
Article 6(1); and  
(ii) a vehicle in licence categories C1 and C1+E, provided they h old a CPC as referred to 
in Article 6(2);   
(b) 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).   
3. Without prejudice to the age limits specified in paragraph 2, drivers undertaking carri age of 
goods who hold a CPC as provided for in Article 6 for one of the categories provided for in paragraph 
 
855 
 2  of this Article shall be exempted from obtaining such a CPC for any other of the categories of 
vehicles referred to in that paragraph.   
4. Drivers undertaking carriage of goods who broaden or modify their activities in order to 
carry passengers, or vice versa, and who hold a CPC as provided for in Article 6, shall not be required 
to repeat the common parts of the initial qualification, but rather  only the parts specific to the new 
qualification.  
Article 6 - CPC certifying the initial qualification    
1. CPC certifying an initial qualification   
(a) 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 ROAD.B.1.1, hereinafter referred to as 'approve d training centre'. Those courses shall 
cover all the subjects referred to in Section 1 of Appendix ROAD.B.1.1. That training shall conclude 
with successful completion of the test provided for in Section 2(2.1) of Appendix ROAD.B.1.1. That 
test shall be or ganised 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 ROAD.B.1.1. The said auth orities or entities shall 
supervise the test and, upon successful completion, issue the drivers with a CPC certifying an initial 
qualification.   
(b) CPC awarded on the basis of tests   
In accordance with points (a)(ii) of Article 3(1), the Parties shall requi re trainee drivers to pass the 
theoretical and practical tests referred to in Section 2(2.2) of Appendix ROAD.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 ROAD.B.1.1. The said authorities or entities shall 
supervise the tests and, upon successful completion, issue the drivers with a CPC cert ifying an initial 
qualification.   
2  CPC certifying an accelerated 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 subje cts referred to in Section 1 of 
Appendix ROAD.B.1.1.   
That training shall conclude with the test provided for in Section 3 of Appendix ROAD.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 ROAD.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.   
 
856 
 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 ROAD.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 in to account.   
Periodic training shall be designed to expand on, and to revise, some of the subjects referred in 
Section 1 of Appendix ROAD.B.1.1. It shall cover a variety of subjects and shall always include at least 
one road safety related subject. The tr aining 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   
1. When a driver has completed the periodic training referred to in Article 7, the competent 
authorities in the Parties or the approved training centre shall issue him or her with a CPC certifying 
periodic training.   
2. The following drivers shall undergo a first course of periodic training:   
(a) holders of a CPC as referred to in Article 6, within five years of the issue of that CPC; and  
(b) the drivers referred to in Article 4, within five years of 10 September 2009.  
A Party may reduce or exempt the periods of t ime referred to in point (a) or (b) by a maximum of 
two years.  
3. A driver who has completed a first course of periodic training as referred to in paragraph 2 
of this Article shall undergo periodic training every five years, before the end of the period o f validity 
of the CPC certifying periodic training.  
4 Holders of the CPC as referred to in Article 6 or the CPC as referred to in paragraph 1 of this 
Article and the drivers referred to in Article 4 who have ceased pursuit of the occupation and do not 
mee t the requirements of paragraphs 1, 2 and 3, shall undergo a course of periodic training before 
resuming pursuit of the occupation.   
5. Drivers undertaking the carriage of goods by road who have completed courses of periodic 
training for one of the licenc e categories provided for in Article 5(2) shall be exempt from the 
obligation to undergo further periodic training for another of the categories provided for in that 
paragraph.  
Article 9 - Enforcement  
The competent authorities in a Party shall either aff ix 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 shoul d be 
drawn up in accordance with the model reproduced in Appendix ROAD.B.1.2. Any other model may 
 
857 
 be acceptable provided that it is recognised as equivalent by the Specialised Committee on Road 
Transport. The driver qualification card or any equivalent doc ument 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 
(licen ce) or a specific driver qualification card or equivalent document bearing the distinguishing sign 
confirming possession of a CPC.  
Appendix ROAD.B.1.1: MINIMUM QUALIFICATION AND TRAINING REQUIREMENTS   
To ensure that the rules governing the transport of g oods by road covered by Title I of Heading 
Three of Part Two [Transport of goods by road] 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 nec essary 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 bas ed on safety regulations   
1.1 Objective: to know the characteristics of the transmission system in order to make 
the best possible use of it:   
curves relating to torque, power, and specific consumption of an engine, area of optimum use of 
revolution coun ter, gearbox -ratio cover diagrams.   
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:   
limits to the use of brakes and retarder, combined use of brakes and retarder, making better use of 
speed and gear ratio, making use of vehicle inertia, using ways of slowing down and braking on 
downhill stretches, action in the event of failure, use of electronic and mechanical devices such as 
Electronic Stability Program (ESP), Advanced Emergency Braking Systems (AEBS), Anti -Lock Braking 
System (ABS), traction control systems (TCS) and in vehicle monitoring systems (IVMS) and other, 
approved for use, driver assistance or automation devices.   
1.3 Objective: ability to optimise fuel consumption:   
optimisation of fuel consumption by applying know -how as regards points 1.1 and 1.2, importance 
of anticipating traffic flow, appropriate distance to other vehicles and use of the vehicle's 
momentum, stea dy speed, smooth driving style and appropriate tyre pressure, and familiarity with 
intelligent transport systems that improve driving efficiency and assist in route planning.   
1.4 Objective: ability to anticipate, assess and adapt to risks in traffic:   
 
858 
 to be aware of and adapt to different road, traffic and weather conditions, anticipate forthcoming 
events; to understand how to prepare and plan a journey during abnormal weather conditions; to be 
familiar with the use of related safety equipment and to und erstand when a journey has to be 
postponed or cancelled due to extreme weather conditions; to adapt to the risks of traffic, including 
dangerous behaviour in traffic or distracted driving (through the use of electronic devices, eating, 
drinking, etc.); to recognise and adapt to dangerous situations and to be able to cope with stress 
deriving therefrom, in particular related to size and weight of the vehicles and vulnerable road users, 
such as pedestrians, cyclists and powered two wheelers;   
to identify pos sible hazardous situations and properly interpret how those potentially hazardous 
situations may turn into situations where crashes can no longer be averted and selecting and 
implementing actions that increase the safety margins to such an extent that a cr ash can still be 
averted in case the potential hazards should occur.   
1.5 Objective: ability to load the vehicle with due regard for safety rules and proper 
vehicle use:   
forces affecting vehicles in motion, use of gearbox ratios according to vehicle load and road profile, 
use of automatic transmission systems, calculation of payload of vehicle or assembly, calculation of 
total volume, load distribution, consequences of ove rloading the axle, vehicle stability and centre of 
gravity, types of packaging and pallets;   
main categories of goods needing securing, clamping and securing techniques, use of securing 
straps, checking of securing devices, use of handling equipment, plac ing and removal of tarpaulins.   
2. Application of regulations   
2.1 Objective: to know the social environment of road transport and the rules governing 
it:   
maximum working periods specific to the transport industry; principles, application and 
consequen ces of the rules related to the driving times and rest periods and those related to the 
tachograph; penalties for failure to use, improper use of and tampering with the tachograph; 
knowledge of the social environment of road transport: rights and duties of  drivers as regards initial 
qualification and periodic training.   
2.2 Objective: to know the regulations governing the carriage of goods:   
transport operating licences, documents to be carried in the vehicle, bans on using certain roads, 
road -use fees, o bligations under standard contracts for the carriage of goods, drafting of documents 
which form the transport contract, international transport permits, obligations under the CMR 
Convention on the Contract for the International Carriage of Goods by Road138, drafting of the 
international consignment note, crossing borders, freight forwarders, special documents 
accompanying goods.   
3. Health, road and environmental safety, service, logistics   
3.1 Objective: to make drivers aware of the risks of the road and o f accidents at work:   
                                                            
138 Done in Geneva on 19 May 1956.  
 
859 
 types of accidents at work in the transport sector, road accident statistics, involvement of 
lorries/coaches, human, material and financial consequences.   
3.2 Objective: ability to prevent criminality and trafficking in illegal immi grants:   
general information, implications for drivers, preventive measures, check list, legislation on 
transport operator liability.   
3.3 Objective: ability to prevent physical risks:   
ergonomic principles; movements and postures which pose a risk, phy sical fitness, handling 
exercises, personal protection.   
3.4 Objective: awareness of the importance of physical and mental ability:   
principles of healthy, balanced eating, effects of alcohol, drugs or any other substance likely to affect 
behaviour, symp toms, causes, effects of fatigue and stress, fundamental role of the basic work/rest 
cycle.   
3.5 Objective: ability to assess emergency situations:   
behaviour in an emergency situation: assessment of the situation, avoiding complications of an 
accident, summoning assistance, assisting casualties and giving first aid, reaction in the event of fire, 
evacuation of occupants of a lorry, reaction in the event of aggression; basic principles for the 
drafting of an accident report.   
3.6 Objective: ability to ad opt behaviour to help enhance the image of the company:   
behaviour of the driver and company image: importance for the company of the standard of service 
provided by the driver, the roles of the driver, people with whom the driver will be dealing, vehicle  
maintenance, work organisation, commercial and financial effects of a dispute.   
3.7 Objective: to know the economic environment of road haulage and the organisation 
of the market:   
road transport in relation to other modes of transport (competition, shi ppers), different road 
transport activities (transport for hire or reward, own account, auxiliary transport activities), 
organisation of the main types of transport company and auxiliary transport activities, different 
transport specialisations (road tanke r, controlled temperature, dangerous goods, animal transport, 
etc.), changes in the industry (diversification of services provided, rail -road, subcontracting, etc.).  
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 atten dance 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.   
 
860 
 Each trainee driver must drive for at least 20 hours individual ly 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 q uality 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 re ferred 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 ent ity 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.   
(a) The theoretical t est shall consist of at least two parts:   
(i) questions including multiple -choice questions, questions requiring a direct answer, 
or a combination of both; and  
(ii) case studies.   
The minimum duration of the theoretical test must be four hours.   
(b) The practical te st shall consist of two parts:   
(i) 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 a ll 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 i n order to 
assess the candidate in all traffic areas likely to be encountered. The minimum 
duration of that test must be 90 minutes;   
(ii) 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.   
 
861 
 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 tha t 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 (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 practic al test.   
Section 3: Accelerated initial qualification provided for in Article 3(2) of Section 1 of Part B of Annex 
ROAD.1   
Accelerated initial qualification must include the teaching of all subjects in the list in Section 1 of this 
Appendix. Its duratio n 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 req uired 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 ROAD.1  
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 q uality 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 
 
862 
 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 show n 
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:   
5.1.1.  a suitable qualification and training programme specifying the subjects taught and 
setting out the proposed imple menting plan and teaching methods;   
5.1.2.  the instructors' qualifications and fields of activity;   
5.1.3.  information about the premises where the courses are given, the teaching materials, 
the resources made available for the practical work, and the ve hicle fleet used;   
5.1.4.  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:   
5.2.1.  the training must be given in accordance w ith the documents accompanying the 
application;   
5.2.2.  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 resourc es used and the proper running of the training courses and tests;   
5.2.3.  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 knowledg e 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 tr aining, 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 cove r the subjects 
in the list in Section 1.  
     
 
863 
 Appendix ROAD.B.1.2: Model of a driver qualification card referred to in Article 9 of Section 1 of Part 
B of this Annex  
 
Side 1   
   
DRIVER QUALIFICATION CARD  (MEMBER STATE/UK)  
1. 
2 
3 
4a. 4b. 
4c. (4d.)  
5a. 5b. 
7 
(8.) 
 
9. 
 
 
 
Side 2  
 
 
  
 
1. Surname  
2. First name  
3. Date and place of birth  
4a. Date of issue  
4b. Administrative expiry date  
4c. Issued by  
5a. Licence No  
5b. Serial No  
10. Union code139 
 
                                                            
139 If applicable  11. 
 
 9. 10. 
C1  
C  
D1  
D  
C1E  
CE  
D1E  
DE  6. PHOTO  
 
864 
 Section 2. Driving times, breaks and rest periods  
Article 1 - Scope   
1. This Section lays down the rules on driving time, breaks and rest periods for drivers referred 
to in point (b) of Article ROAD 7 (1) of this Agreement undertaking journeys referred t o in Article 
ROAD.4 [Transport of goods between, through and within the territories of the Parties ] of this 
Agreement .   
2. Where a driver undertakes a journey referred to in Article ROAD.4 [Transport of goods 
between, through and within the territories of  the Parties] of this Agreement,  the rules in this 
Section apply to any road transport operation undertaken by that driver between the territories of 
the Parties and between Member States.  
3. This Section applies:   
(a) where the maximum permissible mass of th e vehicle, including any trailer, or semitrailer, 
exceeds 3.5 tonnes; or   
(b) from 1 July 2026, where the maximum permissible mass of the vehicle, including any 
trailer, or semi -trailer, exceeds 2.5 tonnes.   
4. This Section does not apply to transport by:   
(a) vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7.5 
tonnes used for:   
(i) carrying materials, equipment or machinery for the driver's use in the course of the 
driver's work, or   
(ii) 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;  
(b) vehicles with a maximum authorised speed not exceeding 40km/h;   
(c) 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;   
(d) vehicles used in emergencies or rescue operations;   
(e) specialised vehicles used for medical purposes;   
(f) specialised breakdown vehicles operating within a 100 km radius of th eir base;   
(g) vehicles undergoing road tests for technical development, repair or maintenance purposes, 
and new or rebuilt vehicles which have not yet been put into service;   
(h) vehicles with a maximum permissible mass, including any trailer, or semi -trailer e xceeding 
2.5 tonnes but not exceeding 3.5 tonnes that are used for the transport of goods, where 
 
865 
 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;  
(i) 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:  
(a) "transport by road" means any journey made entirely or in part on roads open to the 
public by a vehicle, whether laden or not;   
(b) "break" means any period during which a driver may not carr y out any driving or any other 
work and which is used exclusively for recuperation;   
(c) "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;   
(d) "rest" means any uninterrupted period during which a driver may freely dispose of his or 
her time;   
(e) "daily rest period" means the daily period during which a driver may freely dispose of hi s or 
her time and covers a 'regular daily rest period' and a 'reduced daily rest period':   
(i) "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   
(ii) "reduc ed daily rest period" means any period of rest of at least nine hours but less 
than 11 hours;   
(f) "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 'reduce d weekly rest period':   
(i) "regular weekly rest period" means any period of rest of at least 45 hours; and   
(ii) "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) of this Section, be 
shortened to a minimum of 24 consecutive hours;   
(g) "a week" means the period of time bet ween 00.00 on Monday and 24.00 on Sunday;   
(h) "driving time" means the duration of driving activity recorded:   
(i) 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 
(ii) manually as required by Article 9(2) and 11 of Section 4 of Part B of this Annex;  
  
 
866 
 (i) "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;   
(j) "weekly driving time" means the total accumulated driving time during a week;   
(k) "maximum permissible mass" means the maximum authorised operating mass of a vehicle 
when fully laden;   
(l) "multi -manning" means t he 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 th e presence of another driver or drivers is optional but for the remainder of 
the period it is compulsory;   
(m) "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 m inimum 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 matt ers.  
Article 4 - Driving times   
1. The daily driving time shall not exceed nine hours.   
However, the daily driving time may be extended to at most 10 hours not more than twice during 
the week.   
2. The weekly driving time shall not exceed 56 hours and s hall not result in the maximum 
weekly working time of 60 hours being exceeded.   
3. The total accumulated driving time during any two consecutive weeks shall not exceed 90 
hours.   
4. Daily and weekly driving times shall include all driving time on the ter ritory of the Parties.   
5. A driver shall record as other work any time spent as described in point (c) of Article 2 of this 
Section as well as any time spent driving a vehicle used for commercial operations where a driver is 
not required to record drivin g time, and shall record any periods of availability, as defined in point 
(2) of Article 2 of Section 3 of Part B, in accordance with point (b)(iii) of Article 6(5) of Section 4 of 
Part B. This record shall be entered either manually on a record sheet or p rintout or by use of 
manual input facilities on recording equipment.  
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.   
 
867 
 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   
1. A driver shall take daily and weekly rest periods.   
2. Within each period of 24 hours after the end of the previous daily rest period or weekly rest 
period a driver shall have taken a new daily rest period.   
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.   
3. A daily rest period may be extended to make a regular weekly rest period or a reduced 
weekly rest period.   
4. A driver may have at most three reduced daily rest periods between any two weekly rest 
periods.   
5. By way of derogation from paragraph 2, within 30 hours of the end of a daily or weekly rest 
period, a driver engaged in multi -manning must have taken a new daily rest period of at least nine 
hours.   
6. In any two consecutive weeks a driver shall take at least:   
(a) two regular weekly rest periods; or   
(b) one regular weekly rest period and one reduced weekly rest period of at least 24 hours.   
A weekly rest pe riod shall start no later than at the end of six 24 -hour periods from the end of the 
previous weekly rest period.  
7.  By way of derogation from paragraph 6, a driver engaged in international transport of goods 
may, outside the territory of the Party of th e road haulage operator or, for drivers of EU road 
haulage operators, outside the territory of the Member State of the road haulage operator, take two 
consecutive reduced weekly rest periods provided that the driver in any four consecutive weeks 
takes at l east four weekly rest periods, of which at least two shall be regular weekly rest periods.  
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.  
 
868 
 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.  
8. Any rest taken as compensation for a reduced weekly rest period shall be attached to 
another rest perio d of at least nine hours.   
9. The regular weekly rest periods and any weekly rest period of more than 45 hours taken in 
compensation for previous reduced weekly rest periods shall not be taken in a vehicle. They shall be 
taken in suitable gender -friendly accommodation with adequate sleeping and sanitary facilities.   
Any costs for accommodation outside the vehicle shall be covered by the employer.  
10. Transport undertakings shall organise the work of drivers in such a way that the drivers are 
able to retu rn to the employer's operational centre where the driver is normally based and where 
the driver's weekly rest period begins, in the United Kingdom and, in the case of the Union, the 
Member State of the employer's establishment, or to return to the drivers'  place of residence, within 
each period of four consecutive weeks, in order to spend at least one regular weekly rest period or a 
weekly rest period of more than 45 hours taken in compensation for reduced weekly rest period.  
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 tha n 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.  
11. A weekly rest period that falls in two week s may be counted in either week, but not in both.   
12. By way of derogation, where a driver accompanies a vehicle which is transported by ferry or 
train and takes a regular daily rest period or a reduced weekly rest period, that period may be 
interrupted not more than twice by other activities not exceeding one hour in total. During that 
regular daily rest or reduced weekly rest period the driver shall have access to a sleeper cabin, bunk 
or couchette at their disposal.  
With regard to regular weekly rest periods, that derogation shall only apply to ferry or train journeys 
where:   
(a) the journey is scheduled for 8 hours or more; and   
(b) the driver has access to a sleeper cabin in the ferry or on the train.  
13. Any time spent travelling to a location to take charge of a vehicle falling within the scope of 
this Section, or to return from that location, when the vehicle is neither at the driver's home nor at 
the employer's operational centre where the driver is normally based, sh all not be counted as a rest 
or break unless the driver is on a ferry or train and has access to a sleeper cabin, bunk or couchette.  
14. Any time spent by a driver driving a vehicle which falls outside the scope of this Section to or 
from a vehicle which falls within the scope of this Section, which is not at the driver's home or at the 
employer's operational centre where the driver is normally based, shall count as other work.  
 
869 
 Article 7 - Liability of road haulage operators   
1. A road haulage operator of a Party shall not give drivers it employs or who are put at its 
disposal any payment, even in the form of a bonus or wage supplement, related to distances 
travelled, the speed of delivery and/or the amount of goods carried if tha t payment is of such a kind 
as to endanger road safety and/or encourages infringement of this Section.  
2. A road haulage operator of a Party shall organise road transport operations and properly 
instruct crew members so that they are able to comply with t he provisions of this Section.  
3. A road haulage operator of a Party shall be liable for infringements committed by drivers of 
the operator, even if the infringement was committed on the territory of the other Party.   
Without prejudice to the right of th e 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 resp onsible 
for the infringement committed.   
4. Road haulage operators, consignors, freight forwarders, principal contractors, 
subcontractors and driver employment agencies shall ensure that contractually agreed transport 
time schedules respect this Section.   
5. A road haulage operator which uses vehicles that are fitted with recording equipment 
complying with points (f), (g) or (h) of Article 2 of Section 4 of Part B and that fall within the scope of 
this Section, shall:   
(i) 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  
(ii) 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 ro ad 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 downloa ded 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   
1. Provided that road safety is not thereby jeopardised and to enable the vehicle to reach a 
suitabl e stopping place, the driver may depart from Articles 4 to 6 to the extent necessary to ensure 
the safety of persons, of the vehicle or its load. The driver shall indicate the reason for such 
departure manually on the record sheet of the recording equipmen t or on a printout from the 
recording equipment or in the duty roster, at the latest on arrival at the suitable stopping place.   
2. Provided that road safety is not thereby jeopardised, in exceptional circumstances, the 
driver may also depart from Article  4(1) and (2) and from Article 6(2) by exceeding the daily and 
 
870 
 weekly driving time by up to one hour in order to reach the employer's operational centre or the 
driver's place of residence to take a weekly rest period.   
Under the same conditions, the drive r 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 
residen ce 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 th e 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.  
3. Provided that road safety is no t 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 
terri tory of the other Party, applicable to transport by the following:   
(a) vehicles owned or hired, without a driver, by public authorities to undertake transport by 
road which do not compete with private road haulage operators;   
(b) 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;   
(c) agricul tural 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;   
(d) vehicles or combinations of vehicles with a maximum permissible m ass 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 n ot constitute the driver's main activity;  
(e) 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;  
(f) vehicle s 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 ex ceed 
7,5 tonnes;   
(g) 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 an d television 
broadcasting, and the detection of radio or television transmitters or receivers;   
(h) specialised vehicles transporting circus and funfair equipment;   
 
871 
 (i) specially fitted mobile project vehicles, the primary purpose of which is use as an 
education al facility when stationary;   
(j) vehicles used for milk collection from farms and/or for the return to farms of milk 
containers or milk products intended for animal feed;  
(k) specialised vehicles transporting money and/or valuables;   
(l) vehicles used for carrying  animal waste or carcasses which are not intended for human 
consumption;   
(m) vehicles used exclusively on roads inside hub facilities such as ports, interports and railway 
terminals;   
(n) vehicles used for the transport of live animals from farms to local marke ts and vice versa or 
from markets to local slaughterhouses within a radius of up to 100 km;  
(o) 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, prov ided that 
driving the vehicles does not constitute the driver's main activity; and  
(p) vehicles used for the delivery of ready -mixed concrete.  
4. Provided that working conditions of drivers and road safety are not thereby jeopardised and 
that the limits set out in Article 3 of Section 3 of Part B are complied with, a Party, and in the case of 
the Union, a Member State, may grant temporary exceptions  from the application of Articles 4 to 6 
of this Section to transport operations carried out in exceptional circumstances, in accordance with 
the procedure applicable in the Party.   
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 accou nt an exception granted by the other Party.    
  
 
872 
 Section 3.  Working time of mobile workers  
Article 1 - Scope  
1. This Section applies to mobile workers employed by road haulage operators of the Parties, 
undertaking journeys referred to in Article ROAD.4 [T ransport of goods between, through and within 
the territories of the Parties] of this Agreement.   
This Section shall also apply to self -employed drivers.   
2. In so far as this Section contains more specific provisions as regards mobile workers 
performing  road transport activities it shall take precedence over the relevant provisions of Article 
LPF.2.27.  
3. This Section shall supplement the provisions of Section 2 of Part B which take precedence 
over the provisions of this Section.  
4. A Party may disapply  the application of this Section for mobile workers and self -employed 
drivers undertaking no more than two return journeys in accordance with Article ROAD.4  [Transport 
of goods between, through and within the territories of the Parties] of this Agreement in a calendar 
month.  
5. Where a Party disapplies the application of this Section under Paragraph 4, that Party shall 
notify the other Party.  
Article 2 - Definitions  
For the purposes of this Section, the following definitions apply:  
(1) "working time" means:  
(a) 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:  
  the time devoted to all road transport activities, in particular, the following:  
(i) driving;  
(ii) loading and unloading;  
(iii) assisting passengers boarding and disembarking from the vehicle;  
(iv) cleaning and technical maintenance; and  
(v) all other work intended t o 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.,  
- the times during which driver cannot dispose freely of his or her time and is required to 
be at his or her workstation, ready to take up normal work, with certain tasks associated 
with being on duty, in particular during peri ods awaiting loading or unloading where their 
 
873 
 foreseeable duration is not known in advance, that is to say either before departure or just 
before the actual start of the period in question, or under the general conditions 
negotiated between the social part ners and/or under the terms of the legislation of the 
Parties;  
(b) 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 ex cluded from working time;  
(2) "periods of availability" means:  
- periods other than those relating to break times and rest times during which the mobile worker is 
not required to remain at his or her workstation, but must be available to answer any calls  to start or 
resume driving or to carry out other work. In particular such periods of availability shall include 
periods during which the mobile worker is accompanying a vehicle being transported by ferryboat or 
by train as well as periods of waiting at fr ontiers and those due to traffic prohibitions.  
- Those periods and their foreseeable duration shall be known in advance by the mobile worker, that 
is to say either before departure or just before the actual start of the period in question, or under 
the ge neral conditions negotiated between the social partners and/or under the terms of the 
legislation of the Parties,  
- for mobile workers driving in a team, the time spent sitting next to the driver or on the couchette 
while the vehicle is in motion;  
(3) "workstation" means:  
- the location of the main place of business of the road haulage operator for which the person 
performing mobile road transport activities carries out duties, together with its various subsidiary 
places of business, regardless of whet her they are located in the same place as its head office or 
main place of business;  
- the vehicle which the person performing mobile road transport activities uses when that person 
carries out duties; and  
- any other place in which activities connected with transportation are carried out;  
(4) "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 te rritory of the other Party;  
(5) "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 
 
874 
 who has the freedom to, individually or through a cooperation between self -employed drivers, have 
com mercial 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;  
(6) "person performing mobile road transport activities" means any mobile worker or self -
employed driver who performs such activities;  
(7) "week" means the period between 00.00 hours on Monday and 24.00 hours on Sunday;  
(8) "night time" means a period of a t least four hours, as defined by national law, between 
00.00 hours and 07.00 hours; and  
(9) "night work" means any work performed during night time.  
Article 3 - Maximum weekly working time  
1. Each Party shall take the measures necessary to ensure that t he average weekly working 
time may not exceed 48 hours. The maximum weekly working time may be extended to 60 hours 
only if, over four months, an average of 48 hours a week is not exceeded.   
2. Each Party shall take the measures necessary to ensure that w orking time for different 
employers is the sum of the working hours. The employer shall ask the mobile worker concerned in 
writing for an account of time worked for another employer. The mobile worker shall provide such 
information in writing.  
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 hour s 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:  
(a) if night work is performed, the daily working time does not exceed ten hours in each 24 
period; and  
 
875 
 (b) 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  
1. Derogations from Articles 3 and 6 may, for objective or technical reasons or reasons 
concerning the organisation of work, be adopted by means of collective agreement s, agreements 
between the social partners, or if that is not possible, by laws, regulations or administrative 
provisions provided that there is consultation of the representatives of the employers and workers 
concerned and efforts are made to encourage all  relevant forms of social dialogue.  
2. The option to derogate from Article 3 may not result in the establishment of a reference 
period exceeding six months, for calculation of the average maximum weekly working time of forty -
eight hours.  
3. The Specialis ed Committee on Road Transport shall be informed of the derogations applied 
by a Party according to paragraph 1.  
Article 8 - Information and records  
Each Party shall ensure that:  
(a) 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 
(b) the working time of persons performing mobile road trans port 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 o f 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.  
  
 
876 
  
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 ROAD.7(1) of this Agreement.  
Article 2 - Definitions   
For the purposes of this Section, th e definitions set out in Article 2 of Section 2 of Part B apply.  
In addition to the definitions referred to in paragraph 1, for the purposes of this Section the 
following definitions apply:  
(a) "tachograph" or "recording equipment" means the equipment intend ed 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;   
(b) "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;  
(c)  "tachograph card" means a smart card, i ntended for use with the tachograph, which 
allows identification by the tachograph of the role of the cardholder and allows data 
transfer and storage;   
(d) "driver card" means a tachograph card, issued by the competent authorities in a Party to a 
particular d river, which identifies the driver and allows for the storage of driver activity 
data;   
(e) "analogue tachograph" means a tachograph complying with the specifications in annex I to 
Council Regulation (EEC) No 3821/85140, as adapted by Appendix ROAD.B.4.1;  
(f) "digital tachograph" means a tachograph complying with one of the following set of 
specifications, as adapted by  Appendix ROAD.B.4.2:   
- Annex IB to Council Regulation (EEC) No 3821/85 applicable until 30 September 2011;   
- Annex IB to Council Regulation (EEC) N o 3821/85 applicable from 1 October 2011; or  
- Annex IB to Council Regulation (EEC) No 3821/85 applicable from 1 October 2012;  
(g) "smart tachograph 1" means a tachograph complying with annex IC to Commission 
implementing regulation (EU) 2016/799 applicable fro m 15 June 2019, as adapted by 
Appendix ROAD.B.4.3;  
                                                            
140 Council Regulation (EEC) No 3821/85 of 20 December 1985 on recording equipment in road transport  
OJ L 370, 31.12.1985, p. 8.  
 
877 
 (h) "smart tachograph 2" means a tachograph complying with the following requirements:   
- automatic recording of the border crossing;  
- recording of loading and unloading activities;  
- recording whether the vehicle is used for carriage of goods or passengers; and  
- with the specifications to be set out in the implementing acts referred to in the first 
paragraph of Article 11 of Regulation (EU) No 165/2014141, as adapted by a decision of 
the Specialised Committee on Road Transport;  
(i) "event" means an abnormal operation detected by the digital tachograph which may result 
from a fraud attempt;  
(j) "non -valid card" means a card detected as faulty, or whose initial authentication failed, or 
whose sta rt of validity date is not yet reached, or whose expiry date has passed.  
Article 3 - Use of driver cards  
1. The driver card is personal.  
2. A driver may hold no more than one valid driver card, and is only authorised to use his or her 
own personalised d river card. A driver shall not use a driver card which is defective or which has 
expired.  
Article 4 - Issuing of driver cards  
1. Driver cards shall be requested to the competent authority in the Party where the driver has 
his or her normal residence.   
2. 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, beca use of personal ties which show close links 
between that person and the place where that person 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 tu rn 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.  
3. Drivers shall give proof of their normal residence by any appropriate means, such as their 
identity card or any other valid document.  
                                                            
141 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 Text with EEA relevance  
OJ L 60, 28.2.2014, p. 1  
 
878 
 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  
1. Drivers shall use  record sheets or driver cards every day on which they drive, starting from 
the moment they take over the vehicle. The record sheet or driver card shall not be withdrawn 
before the end of the daily working period unless its withdrawal is otherwise authoris ed or is 
necessary in order to enter the symbol of the country after having crossed a border. No record sheet 
or driver card may be used to cover a period longer than that for which it is intended.   
2. Drivers shall adequately protect the record sheets or  driver cards, and shall not use dirty or 
damaged record sheets or driver cards. The driver 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 carr ied out correctly in the event of an inspection.  
3. 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:  
(a) 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  
(b) 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.  
4. Where there is more than one driver on board a vehicle fitted with a digital, a smart 1 or 
smart 2 tachograph, each driver shall ensure that his or her driver card is inserted into the correct 
slot in the tachograph.  
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.  
5. Drivers shall:  
(a) ensure that the time re corded on the record sheet corresponds to the official time in the 
country of registration of the vehicle;  
(b) operate the switch mechanisms enabling the following periods of time to be recorded 
separately and distinctly:  
(i) under the  sign: driving time,  
(ii)  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 

 
879 
 also any work for the same or another employer within or outside of the transport 
sector,  
(iii)  under the sign: 'avail ability', as defined in point (b) of Article 2 of Section 
3 of Part B,   
(iv) under the sign: breaks, rest, annual leave or sick leave, and  
(v) under the sign for "ferry/train": In addition to the sign : the rest period 
spent on a ferry or train as required in p aragraph 12 of Article 6 of 
Section 2 of Part B.    
6. Each driver of a vehicle fitted with an analogue tachograph shall enter the following 
information on his or her record sheet:  
(a) on beginning to use the record sheet — the driver's surname and first name ;  
(b) the date and place where use of the record sheet begins and the date and place where 
such use ends;  
(c) 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, i n the event of a change of 
vehicle, during use of the record sheet;  
(d) the odometer reading:  
(i) at the start of the first journey recorded on the record sheet;  
(ii) at the end of the last journey recorded on the record sheet;  
(iii) in the event of a change of vehicle du ring a working day, the reading on the first 
vehicle to which the driver was assigned and the reading on the next vehicle;  
(e) the time of any change of vehicle; and  
(f) 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 m ade 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.   
7. The driver shall enter in the digital tachograph the symbols of the countries in which the 
daily working period started and finished.  
From 2 February 2022, the driver shall also enter the symbol of the country that the driver enters 
after crossing a borde r 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 bor der 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 

 
880 
 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  
1. Transport undertakings a nd drivers shall ensure the correct functioning and proper use of 
digital tachographs and driver cards. Transport undertakings and drivers using analogue tachographs 
shall ensure their correct functioning and the proper use of record sheets.  
2. It shall b e forbidden to falsify, conceal, suppress or destroy data recorded on the record 
sheet or stored in the tachograph or on the driver card, or print -outs from the tachograph. Any 
manipulation of the tachograph, record sheet or driver card which could result in data and/or 
printed information being falsified, suppressed or destroyed shall also be prohibited. No device 
which could be used to that effect shall be present on the vehicle.  
Article 8 - Stolen, lost or defective driver cards  
1. Issuing authorities of the Parties shall keep records of issued, stolen, lost or defective driver 
cards for a period at least equivalent to their period of validity.  
2. If a driver card is damaged or if it malfunctions, the driver shall return it to the competent 
authority i n the country of the driver's normal residence. Theft of the driver card shall be formally 
declared to the competent authorities of the State where the theft occurred.  
3. Any loss of the driver card shall be reported in a formal declaration to the compete nt 
authorities in the issuing Party and to the competent authorities in the Party of the driver's normal 
residence if that is different.  
4. If the driver card is damaged, malfunctions or is lost or stolen, the driver shall, within seven 
days, apply for it s replacement to the competent authorities in the Party of the driver's normal 
residence.   
5. In the circumstances set out in paragraph 4, the driver may continue to drive without a 
driver card for a maximum period of 15 days or for a longer period if tha t is necessary for the vehicle 
to return to the premises where it is based, provided that the driver can prove the impossibility of 
producing or using the card during that period.   
Article 9 - Damaged driver cards and record sheets  
1. In the event of dam age to a record sheet bearing recordings or to a driver card, drivers shall 
keep the damaged record sheet or driver card together with any spare record sheet used to replace 
it.  
2. Where a driver card is damaged, malfunctions, or is lost or stolen, the dr iver shall:  
(a) 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:  
 
881 
 (i) details that  enable the driver to be identified (name, driver card or driving licence 
number), including the driv er's signature; and  
(ii) the periods referred to in points (b)(ii), (b)(iii) and (b)(iv) of Article 6(5);  
(b) 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, availabilit y 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 signatu re.  
Article 10 - Records to be carried by the driver  
1. 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:  
(i) the record sheets for the current day an d the preceding 28 days;  
(ii) the driver card, if one is held; and  
(iii) any manual records  and printouts made during the current day and the previous 
28 days.   
2. 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:  
(i) the driver's driver card;  
(ii) any manual records and printouts made during the current day and the previous 
28 days; and  
(iii) 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 referr ed to in points (i) and (ii) of paragraph 1 and in 
point (ii) of paragraph 2 shall be replaced by 56 days.   
3. An authorised control officer may check compliance with Section 2 of Part B by analysis of 
the record sheets, of the displayed, printed or downl oaded data which have been recorded by the 
tachograph or by the driver card or, failing that, of any other supporting document that justifies non -
compliance with a provision of that Section.  
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 signa ture, as well as the 
information for the various periods of time which are no longer recorded or printed out correctly by 
the tachograph:  
(a) on the record sheet or sheets; or  
(b) on a temporary  sheet to be attached to the record sheet or to be kept together wit h the 
driver card.  
 
882 
 Article 12 - Enforcement measures  
1. Each Party shall adopt all appropriate measures to ensure observance of the provisions of 
Section 2 to 4 of Part B, in particular by ensuring annually an adequate level of roadside checks and 
checks  performed at the premises of undertakings covering a large and representative cross -section 
of mobile workers, drivers, undertakings and vehicles of all transport categories falling within the 
scope of those Sections.   
The competent authorities in each P arty shall organise the checks so that:   
(i) 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  
(ii) at least 30 % of the total number of working da ys checked shall be checked at the 
roadside and at least 50% at the premises of undertakings.  
The elements of roadside checks shall include:   
(i) daily and weekly driving periods, interruptions and daily and weekly rest periods;  
(ii) the record sheets of the pre ceding 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   
(iii) the correct  functioning of the tachograph.   
Those checks s hall 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:   
(i) weekly rest periods and driving periods between those rest periods;   
(ii) fortnightly driving limits;   
(iii) compensation for reduced wee kly rest periods in accordance with Article 6(6) and 
6(7) of Section 2 of Part B; and  
(iv) use of record sheets and/or vehicle unit and driver card data and printouts and/or 
the organisation of drivers' working  time.   
2. If the findings of a roadside check on  the driver of a vehicle registered in the territory of the 
other Party provide grounds to believe that infringements have been committed which cannot be 
detected during the check due to lack of necessary data, the competent authorities in each Party 
shall  assist each other to clarify the situation. In cases where, to that end, the competent authorities 
in a Party carry out a check at the premises of the undertaking, the results of that check shall be 
communicated to the competent authorities of the other P arty.   
3. The competent authorities in the Parties shall work in cooperation with each other in the 
organisation of concerted roadside checks.   
 
883 
 4. Each Party shall introduce a risk rating system for undertakings based on the relative 
number and severity of any infringements, as set out in Appendix ROAD.A.1 and of any 
infringements included in the list drawn up by the Specialised Committee on Road Tra nsport under 
Article 6(3) of Section 1 of Part A, that an individual undertaking has committed.    
5, Undertakings with a high risk rating shall be checked more closely and more often.  
6. Each Party and, in the case of the Union, each Member State, shall e nable its competent 
authorities to impose a penalty on a road haulage operator and/or a driver for an infringement of 
the applicable provisions on driving time, breaks and rest periods detected on its territory and for 
which a penalty has not already been imposed, even where that infringement has been committed 
on the territory of the other Party or, in the case of the Union, the territory of a Member State or of 
a third country.  
   
 
884 
 Appendix ROAD.B.4.1: Adaptations to the technical specifications of the an alogue tachograph  
Annex I to Council Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as 
follows:  
(a) In Section III (Construction requirements for recording equipment), in paragraph 4.1 of 
subsection (c) (Recording instruments), for 'A rticle 15(3), second indent (b), (c) and (d) of 
the Regulation' substitute 'points (ii), (iii) and (iv) of point (b) of Article 6(5) of Section 4 of 
Part B of Annex ROAD -1 to the Trade and Cooperation Agreement between the European 
Union and the European A tomic Energy Community, of the one part, and the United 
Kingdom of Great Britain and Northern Ireland, of the other part .'  
(b) In Section III (Construction requirements for recording equipment), in paragraph 4.2 of 
subsection (c) (Recording instruments), for 'Article 15 of the Regulation' substitute 'Article 
6(5) of Section 4 of Part B of Annex ROAD -1 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 Brit ain and Northern Ireland, of the other part .'   
(c) In Section IV (Record sheets), in the third subparagraph of paragraph 1 of subsection (a) 
(General points), for 'Article 15(5) of the Regulation' substitute 'Article 6(6) of Section 4 of 
Part B of Annex ROAD -1 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 '.   
(d) In Section V (Installation of recording equip ment), in the first subparagraph of paragraph 5, 
for 'this Regulation' substitute 'Section 4 of part B and Section 2 of Part C of Annex ROAD -1 
to the Trade and Cooperation Agreement between the European Union and the European 
Atomic Energy Community, of th e one part, and the United Kingdom of Great Britain and 
Northern Ireland, of the other part '.   
(e) In Section V (Installation of recording equipment), in the third subparagraph of paragraph 
5, for 'Part A of Annex II to Council Directive 70/156/EEC' substitut e 'the Consolidated 
Resolution on the Construction of Vehicles (R.E.3)' and for 'the Regulation' substitute 
'Section 2 of Part C of Annex ROAD -1 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 '.  
(f) In Section VI (Checks and inspections), in the text before paragraph 1, after 'Member 
States' insert 'and the United Kingdom'.  
(g) In Section VI (Checks and inspec tions), in the second subparagraph of paragraph 1 
(Certification of new or repaired instruments), after 'Member States' insert 'and the United 
Kingdom', and for 'the Regulations and its Annexes' substitute 'Section 4 of part B and 
Section 2 of Part C of An nex ROAD -1 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 '. 
(h) In Section  VI (Checks and inspections) , in subparagraph (b) of paragraph 3 (Periodic 
inspections), after 'Member State' insert 'and the United Kingdom'.  
  
 
885 
 Appendix ROAD.B.4.2: Adaptations to the technical specifications of the digital tachograph   
Annex IB to Council Regulation (EEC) No 3821/85, including its appendixes, introduced by Council 
Regulation (EC) No 2135/98, is adapted for the purpose of this Section as follows:  
1. 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;   
2. For 'Council Regulation (EEC) No 3820/85' and 'Regulation  (EC) No 561/2006' substitute 
'Section 2 of part B of Annex ROAD -1 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 Council Regulation (EEC) No 3821/85 is adapted for the 
purpose of this Section as follows:   
3. Point (u) is replaced by the following:   
'(u) "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, ve hicle 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 tac hograph activation;'  
4. In point (bb), the reference to 'Council Directive 92/6/EEC' is replaced by 'the applicable law 
of each Party'.   
5. Point (ii) is replaced by the following:   
''security certification" means: process to certify, by a Common Criter ia certification body, that the 
recording equipment (or component) or the tachograph card under investigation fulfils the security 
requirements defined in the relative protection profiles;'  
6. In point (mm), the reference to 'Directive 92/23/EEC' is repla ced by 'UNECE Regulation No 
54'.   
7. 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 firs t, 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 o ther four figures only, providing, in conjunction with the first section, clear 
identification of a particular vehicle.'  
8. In point (rr), the first indent is replaced by the following:  
 
886 
 '-  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 Council 
Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:  
9. In paragraph 004, the last subparagraph is deleted.   
Section III (Construction and functional requirements for recording equipment) of Annex IB to 
Council Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:   
10. In parag raph 065, the reference to 'Directive 2007/46/EC' is replaced by 'the Consolidated 
Resolution on the Construction of Vehicles (R.E.3).'    
11. In paragraph 162, the reference to 'Commission Directive 95/54/EC of 31 October 1995 
adapting to technical progre ss 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 Council 
Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:   
12. In paragraph 174, the reference to 'UK: The United Kingdom' is replaced by 'For the United 
Kingdom, the distinguishing sign shall be the UK.'   
13. In paragraph 185, the reference to 'Community territory' is replaced by 'the territory of the 
Union and  of the United Kingdom'.   
14. In paragraph 188, the reference to 'Commission Directive 95/54/EC of 31 October 1995' is 
replaced by 'UNECE Regulation No 10'.  
15. In paragraph 189, the last subparagraph is deleted.  
Section V (Installation of recording equipment) of Annex IB to Council Regulation (EEC) No 
3821/85 is adapted for the purpose of this Section as follows:   
16. 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 Council Regulation (EEC) No 3821/85 is 
adapted for the purpose of this Section as follows:  
17. The introductory sentence is replaced by the following:   
"Requirements on the circums tances in which seals may be removed, as referred to in Article 5(5) of 
Section 2 of Part C of Annex ROAD -1 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'  
 
887 
 18. Under subsection 1 (Approval of fitters or workshops), the reference to 'Article 12(1) of this 
Regulation' is replaced by 'Article 8 of Section 2 of p art C of Annex ROAD -1 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 Council Regulation (EEC) No 3821/85 is adapted for the 
purpose of this Section as follows:  
19. 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 Council 
Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:  
20. In paragraph 271, omit 'in accordance with Article 5 of this Regulation' .   
Appendix 1 (Data dictionary) of Annex IB to Council Regulation (EEC) No 3821/85 is adapted for 
the purpose of this Section as follows:  
21. In point 2.111, the reference to 'Directive 92/23 (EEC) 31.3.1992, OJ L 129, p. 95' is replaced 
by 'UNECE Regula tion No 54'.  
Appendix 9 (Type approval List of minimum required tests) of Annex IB to Council Regulation (EEC) 
No 3821/85 is adapted for the purpose of this Section as follows:  
22. In subpoint 5.1 of Section 2 (Vehicle unit functional tests), the referenc e to 'Directive 
95/54/EC' is replaced by 'UNECE Regulation No 10'.  
23. 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 Council Regulation (EEC) No 
3821/85 is adapted for the purpose of this Section as follows:  
24. 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'.  
25. In point 5.1 of the table under subsection 7.2 (Functional certificate), for 'Directive 
2006/28/EC' substitute 'UNECE Re gulation No 10'.  
  
 
888 
 Appendix ROAD.B.4.3: Adaptations to the technical specifications of the smart tachograph  
Commission Implementing Regulation (EU) No 2016/799, including its annexes and appendixes, is 
adapted for the purpose of this Section as follows:  
1. 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;  
2. For 'Regulation (EEC) No 3820/85' and 'Regulation (EC) No 561/2 006' substitute 'Section 2 of 
Part B of Annex ROAD -1 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 par t';   
3. For 'Regulation (EU) No 165/2014' substitute 'Section 4 of Part B and Section 2 of Part C of 
Annex ROAD -1 to the Trade and Cooperation Agreement between the European Union and the 
European Atomic Energy Community, of the one part, and the United K ingdom 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';  
4. For 'Directive (EU) 2015/719' and for 'Council Directive 96/53/EC' substitute 'Section 1 of 
Part C of Annex ROAD -1 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) No 2016/799 is 
adapted for the purpose of this Section as follows:   
5. Point (u) is replaced by the following:   
'(u) "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;';  
6. In point (hh), the refere nce to 'Council Directive 92/6/EEC' is replaced by 'the applicable law 
of each Party';   
7. In point (uu), the reference to 'Directive 92/23/EEC' is replaced by 'UNECE Regulation No 54';  
8. In point (vv), footnote 9 is replaced by the following:    
' 'Vehi cle 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 characteristi cs 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 par ticular vehicle.';  
 
889 
 9. 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);';  
10. Point (aaa) is deleted;  
11. 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) No 2016/799 is adapted for the purpose of this Sectio n 
as follows:   
12. 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) No 2016/799 is adapted for the purp ose of this Section  
as follows:  
13. In point (200) of subsection 3.20, the second sentence of the third subparagraph is deleted.  
14. 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:   
— current UTC date and time,   
— speed of the vehicle,   
— total distance travelled by the vehicle (odometer),   
— currently selected driver and co -driver activity,   
— information if any tachograph card is cur rently inserted in the driver slot and in the co -driver slot 
and (if applicable) information about the corresponding cards identification (card number and 
issuing country).   
Other data may also be output in addition to that minimum list.   
When the igniti on 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 out put. 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) No 2016/799 is adapted for the purpose of this Section  
as follows:   
 
890 
 15. In Point (229) of the subsection 4.1, the following su bparagraph is added:   
'For the United Kingdom, the distinguishing sign shall be the UK.';  
16. 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 ROAD -1 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 '; 
17. In point (241) of subsection 4.4 of Chapter 4 of this Annex, the word 'Com munity territory' is 
replaced by 'the territory of the Union and of the United Kingdom';  
18. Point (246) in subsection 4.5 is deleted.  
Section 5 (Installation of recording equipment) of Annex IC to Commission Implementing 
Regulation (EU) No 2016/799 is a dapted for the purpose of this Section as follows:   
19. Point (397) in subsection 5.2 is replaced by the following:   
(397)  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.';  
20. 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 ROAD -1 to the Trade and Cooperation Agreement 
between the European Union and the European Atomic Energy Community, of the on e 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) No 2016/799 is adapted for the purpose of this Section as follows:    
21. 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) No 2016/799 is 
adapted for the purpose of this Section as follows:   
22. In point (424), after the reference to 'Member States' insert 'and the United Kingdom', and 
for the ref erence to 'Article 31 of Regulation (EU) No 165/2014' substitute 'Article 13 of Section 2 of 
Part C of Annex ROAD -1 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) No 
2016/799 is adapted for the purpose of this Section as follows:  
23. In point 2.163, for 'Directive 9 2/23/EEC' substitute 'UNECE Regulation No 54'.  
 
891 
 Appendix 11 (Common security mechanisms) of Annex IC to Commission Implementing Regulation 
(EU) No 2016/799 is adapted for the purpose of this Section as follows:  
24. 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 ROAD -1 to the 
Trade and Cooperation Agreement between the European Union and the European Atomic Energy 
Community, of the one p art, and the United Kingdom of Great Britain and Northern Ireland, of the 
other part '. 
25. 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  ROAD -1 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) No 2016/799 is adapted for the purpose of this Section 
as follows:  
26. The second subparagraph of Section 1 (Introduction) is deleted.  
27. In Section 2 (Specificat ion 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) No 2016/799 is adapted for the purpose of this Section as  follows:  
28. 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'.  
 
  
 
892 
  PART C – Requirements for vehicles used for the transport of goods in accordance with Article 
ROAD.8 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 RO AD.4 [Transport of goods between, through and within the territories of the Parties] of this 
Agreement are those set out in Appendix ROAD C.1.1.  
Article 2 - Definitions  
For the purposes of this Section, the following definitions apply:   
(a) "motor vehicle" means any power -driven vehicle which travels on the road by its own 
means;   
(b) "trailer" means any vehicle intended to be coupled to a motor vehicle excluding 
semitrailers, and constructed and equipped for the carriage of goods;   
(c) "semi -trailer" means any ve hicle 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;   
(d) "vehicl e combination" means either:   
— a road train consisting of a motor vehicle coupled to a trailer; or   
— an articulated vehicle consisting of a motor vehicle coupled to a semi -trailer;   
(e) "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;   
(f) "maximum authorised d imensions" means the maximum dimensions for use of a vehicle;  
(g) "maximum authorised weight" means the maximum weight for use of a laden vehicle;   
(h) "maximum authorised axle weight" means the maximum weight for use of a laden axle or 
group of axles;   
(i) "tonne"  means the weight executed by the mass of a tonne and shall correspond to 9.8 
kilonewtons (kN);   
(j) "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 an d 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;  
(k) "alternative fuels" means fuels or power sources which serve, at least partly, as a 
subst itute for fossil oil sources in the energy supply to transport and which have the 
 
893 
 potential to contribute to its decarbonisation and enhance the environmental performance 
of the transport sector, consisting of:   
(i) electricity consumed in all types of el ectric vehicles;   
(ii) hydrogen;   
(iii) natural gas, including biomethane, in gaseous form (Compressed Natural Gas — CNG) 
and liquefied form (Liquefied Natural Gas — LNG);   
(iv) Liquefied Petroleum Gas (LPG);   
(v) mechanical energy from on -board storag e/on -board sources, including waste heat;   
(l) "alternatively fuelled vehicle" means a motor vehicle powered wholly or in part by an 
alternative fuel;   
(m) "zero -emission vehicle" means a heavy goods vehicle without an internal combustion 
engine, or with an inte rnal combustion engine that emits less than 1 g CO2/kWh; and   
(n) "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 tra ctor 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 we ights and dimensions set out in 
Appendix Road 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 provision s 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 v ehicles 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  
1. Vehicles or vehicle combinations equipped with aerodynamic devices may exceed the 
maximum lengths provided for in point 1.1 of Appendix ROAD.C.1.1, to allow the addition of such 
devices to the rear of veh icles or vehicle combinations. Vehicles or vehicle combinations equipped 
with such devices shall comply with point 1.5 of Appendix ROAD.C.1.1, and any exceeding of the 
maximum lengths shall not result in an increase in the loading length of those vehicles or vehicle 
combinations.   
 
894 
 2. The aerodynamic devices referred to in paragraph 1 shall fulfil the following operational 
conditions:   
(a) 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;   
(b) when aerodynamic devices and equipment exceed 500 mm in length in the in -use position 
they shall be retractable o r foldable;  
(c) 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   
(d) 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 ROAD.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 ROAD.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  
1. The maximum lengths laid down in point 1.1 of Appendix ROAD.C.1.1, subject where 
applicable to Article 6, and the maximum distance laid down in poi nt 1.6 of Appendix ROAD.C.1.1, 
may be exceeded by 15 cm for vehicles or vehicle combinations engaged in the transport of 45 -foot 
containers or 45 -foot swap bodies, empty or loaded, provided that the road transport of the 
container or swap body in question is part of an intermodal transport operation carried out 
according to the conditions set by each Party.  
2. For intermodal transport operations , the maximum authorised vehicle weight for articulate 
vehicles with five or six axles may be exceeded by two ton nes in the combination set out in point 
2.2.2(a) of Appendix ROAD.C.1.1 and by four tonnes in the combination set out in point 2.2.2(b) of 
Appendix ROAD.C.1.1. The maximum authorised vehicle weight of these vehicles may not exceed 44 
tonnes.  
Article 8 - Proof of compliance  
1. As proof of compliance with this Section, vehicles covered by it shall carry one of the 
following proofs):   
(a) a combination of the following two plates:   
- the manufacturer's statutory plate, which is a plate or label, affixed by the ma nufacturer 
on a vehicle that provides the main technical characteristics which are necessary for the 
identification of the vehicle and provides the competent authorities with the relevant 
information concerning the permissible maximum laden masses; and  
 
895 
 - a plate relating to dimensions as far as possible affixed next to the manufacturer's 
statutory plate and containing the following information:  
(1) name of the manufacturer;  
(2) vehicle identification number;  
(3) length of the motor vehicle, trailer or semi -trailer (L) ;  
(4) width of the motor vehicle, trailer or semi -trailer (W); and  
(5) data for the measurement of the length of vehicle combinations:  
— the distance (a) between the front of the motor vehicle and the centre of the 
coupling device (coupling hook or fifth wheel);  in the case of a fifth wheel with 
several coupling points, the minimum and maximum values must be given (a min 
and a max );   
— the distance (b) between the centre of the coupling device of the trailer (fifth 
wheel ring) or of the semi -trailer (king pin) an d the rear of the trailer or of the 
semi -trailer; in the case of a device with several coupling points, the minimum 
and maximum values must be given (b min and b max ).   
The length of vehicle combinations is the length of the motor vehicle and trailer 
or se mi-trailer placed in a straight line behind each other.  
(b) a single plate containing the information on the two plates referred to in point (a); or  
(c) a single document issued by the competent authorities of a Party or, in the case of the 
Union, the Member Stat e 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.  
2. If the characteristics of the vehicle no longer correspond to those indicated on the proof of 
compliance, the Party or, in the case of the Union, the Member State in which the vehicle is 
registered or put into circulation shall take the necessary steps to ensure that the proof of 
compl iance is altered.  
3. The plates and documents referred to in paragraph 1 shall be recognised by the Parties as the proof 
of vehicle compliance provided for in this Section.  
Article 9 - Enforcement   
1. Each Party shall take specific measures to identify vehicl es or vehicle combinations in circulation 
that are likely to have exceeded the maximum authorised weight and that shall therefore be 
checked by the competent authorities of the Parties in order to ensure compliance with the 
requirements of this Section. Th is can be done with the aid of automatic systems set up on the 
road infrastructure, or by means of on -board weighing equipment installed in vehicles. Such on -
board weighing equipment shall be accurate and reliable, fully interoperable and compatible with 
all vehicle types.  
 
896 
 2. A Party shall not require on -board weighing equipment to be installed on vehicles or vehicle 
combinations which are registered in the other Party.  
3. Where automatic systems are used to establish infringements of this Section and to impose  
penalties, such automatic systems shall be certified. Where automatic systems are used only for 
identification purposes, they need not be certified.  
4. The Parties shall, in accordance with Article 14 of Section 1 of Part A of this Annex, ensure that 
their competent authorities exchange information about infringements and penalties relating to 
this Article.  
  
 
897 
  
APPENDIX ROAD.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   
1.2 Maximum width:   18.75 m  
(a) all vehicles except the vehicles referred to in point (b)   2.55 m   
(b) superstructures of conditioned vehicles or conditioned containers  2.60 m  
or swap bodies transported by vehicles   
  
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 w ithin 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 ve hicle 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   
 
898 
 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 f ive 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   
2.2.2 Articulated vehicles with five or six axles   40 tonnes   
(a) two -axle motor vehicle with three -axle semi -trailer   40 tonnes   
(b) three -axle motor vehicle with two or three -axle semi -trailer   
2.2.3 Road trains with four axles consisting of a two -axle   40 tonnes  
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 e quivalent 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)  
 
899 
 2.3.3 Four -axle motor vehicles with two steering axles    32 tonnes where the driving 
axle is fitted with twin ty res 
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   
Singl e non -driving axle   
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:   10 tonnes   
- 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 ref erred 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 l ess 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  
 
900 
 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 ve hicle 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 Maxim um 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.  
 
  
 
901 
  
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 ROAD 8 
(2) of this Agreement.   
Article 2 - Definitions   
1. For the purposes of this Section, the definitions set out in Article 2 of Section 2 and in Article 2 of 
Section 4 of Part B of this Annex shall apply.  
2. In ad dition to the definitions referred to in paragraph 1, for the purposes of this Section the 
following definitions apply:  
(a) "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;   
(b) "motion sensor" means a part of the tachograph providing a signal representative of 
vehicle speed and/or distance travelled;   
(c) "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 t he driver 
cards and, optionally, in the workshop cards for reading, printing and/or downloading;  
(d) "workshop card" means a tachograph card issued by the authorities of a Party to 
designated staff of a tachograph manufacturer, a fitter, a vehicle manufacture r 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;  
(e) "activation" means the phase in which the tachograph becomes fully operational an d 
implements all functions, including security functions, through the use of a workshop card;  
(f) "calibration" means, with regard to the digital tachograph, updating or confirming vehicle 
parameters, including vehicle identification and vehicle characteristi cs, to be held in the 
data memory through the use of a workshop card;  
(g) "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 th e vehicle unit or in the memory of a tachograph card, provided that this process does 
not alter or delete any stored data;  
(h) "fault" means an abnormal operation detected by the digital tachograph which may result 
from an equipment malfunction or failure;  
 
902 
 (i) "installation" means the mounting of a tachograph in a vehicle;  
(j) "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;  
(k) "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 un it;  
(l) "interoperability" means the capacity of systems and the underlying business processes to 
exchange data and to share information;  
(m) "interface" means a facility between systems which provides the media through which they 
can connect and interact;  
(n) "tim e measurement" means a permanent digital record of the coordinated universal date 
and time (UTC); and  
(o) "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 of 21 January 2016 on  common procedures and specifications necessary for the 
interconnection of electronic registers of driver cards142.   
Article 3 - Installation  
1. Tachographs as referred to in paragraph 2 shall be insta lled in vehicles:   
(a) where the maximum permissible mass of the vehicle, including any trailer, or semitrailer, 
exceeds 3.5 tonnes; or   
(b) from 1 July 2026, where the maximum permissible mass of the vehicle, including any 
trailer, or semi -trailer, exceeds 2.5 tonnes.    
2. The tachographs are:  
(a) for vehicles put into service for the first time before 1 May 2006, an analogue tachograph;  
(b) for vehicles put into service for the first time between 1 May 2006 and 30 September 2011, 
the first version of the digital tachograph;  
(c) for vehicles put into service for the first time between 1 October 2011 and 30 September 
2012, the second version of the digital tachograph;  
(d) for vehicles put into service for the first time between 1 October 2012 and 14 June 2019, 
the third ver sion of the digital tachograph;  
                                                            
142 OJ L 15, 22.1.2016, p. 51  
 
903 
 (e) 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 of 
this Annex, a smart tachograp h 1; and  
(f) 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 of this Annex, a 
smart tachograph 2.  
3. Each Party may exempt from the applic ation of this Section the vehicles mentioned in Article 8(3) of 
Section 2 of Part B of this Annex.  
4. Each Party may exempt from the application of this Section vehicles used for transport operations 
which have been granted an exception in accordance with Ar ticle 8(4) of Section 2 of Part B of this 
Annex. Each Party shall immediately notify each other when making use of this paragraph.  
5. No later than three years from the end of the year of entry into force of the detailed technical 
specifications of the smart  tachograph 2, vehicles mentioned in point (a) of paragraph 1 which are 
equipped with an analogue tachograph or a digital tachograph shall be fitted with a smart 
tachograph 2 when operating on the territory of a Party other than the one where they are 
registered.   
6. No later than four years after the entry into force of the detailed technical specifications of the 
smart tachograph 2, vehicles mentioned in point (a) of paragraph 1 equipped with a smart 
tachograph 1, shall be equipped with a smart tachograph 2 when oper ating on the territory of a 
Party other than the one where they are registered.  
7. From 1 July 2026, vehicles mentioned in point (b) of paragraph 1 shall be equipped with a smart 
tachograph 2 when operating on the territory of a Party other than the one wher e they are 
registered.   
8. Nothing in this Section shall affect the application on the Union territory of the Union rules on 
recording equipment in road transport to Union road haulage operators.  
Article 4 - Data protection  
1. Each Party shall ensure that the processing of personal data in the context of this Section is carried 
out solely for the purpose of verifying compliance with this Section.   
2. 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:  
(a) 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;  
(b) the electronic exchange of in formation on driver cards as referred to in Article 13, and in 
particular any cross -border exchanges of such data with third Parties; and  
(c) the keeping of records by road haulage operators as referred to in Article 15.   
 
904 
 3. Digital tachographs shall be designe d in such a way as to ensure privacy. Only data necessary for the 
purposes referred to in paragraph 1 shall be processed.   
4. Owners of vehicles, road haulage operators and any other entity concerned shall comply w ith the 
relevant provisions on the protectio n of personal data.   
Article 5 - Installation and repair  
1. Tachographs may be installed or repaired only by fitters, workshops or vehicle manufacturers 
approved by the competent authorities in a Party for that purpose in accordance with Article 7.   
2. Approv ed fitters, workshops or vehicle manufacturers shall seal the tachograph after having verified 
that it is functioning properly, and, in particular, in such a way as to ensure that no manipulation 
device can tamper with or alter the data recorded.  
3. The approved fitter, workshop or vehicle manufacturer shall place a special mark on the seals which 
it affixes and, in addition, for digital, smart 1 and smart 2 tachographs, shall enter the electronic 
security data for carrying out authentication checks. Each Party shall keep and publish a register of 
the marks and electronic security data used and the necessary information related to the electronic 
security data used.   
4. For the purpose of certifying that the installation of the tachograph took place in ac cordance with 
the requirements of this Section, an installation plaque shall be affixed in such a way as to be clearly 
visible and easily accessible.   
5. Tachograph components shall be sealed. Any connections to the tachograph which are potentially 
vulnerabl e to tampering, including the connection between the motion sensor and the gearbox, and 
the installation plaque where relevant, shall be sealed.  
A seal shall be removed or broken only:  
—  by fitters or workshops approved by the competent authorities under Article 7 for repair, 
maintenance or recalibration purposes of the tachograph, or by control officers properly 
trained and, where required authorised, for control purposes; or  
—  for the purpose of vehicle repair or modification which affects the sea l. In such cases, a 
written statement stating the date and time at which the seal was broken and giving the 
reasons for the seal removal shall be kept on board the vehicle.  
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 witho ut 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 offi cer shall issue a written statement containing at least the 
following information:  
– vehicle identification number;  
 
905 
 – name of the officer;  
– control authority and country;  
– number of the control card;   
– number of the removed seal;  
– date and time of seal remov al; and  
– number of the new seal, where the control officer has placed a new seal.  
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 p urposes and 
replaced by a control officer.  
Article 6 - Inspections of tachographs  
1. Tachographs shall be subject to regular inspection by approved workshops. Regular inspections 
shall be carried out at least every two years.   
2. The inspections referred to in paragraph 1 shall check at least the following:  
—  the tachograph is correctly fitted and appropriate for the vehicle;  
—  the tachograph is working properly;  
—  the tachograph carries the type -approval mark;  
—  the instal lation plaque is affixed;  
—  all seals are intact and effective;  
—  there are no manipulation devices attached to the tachograph or traces of the use of such 
devices; and  
—  the tyre size and the actual circumference of the tyres.  
3. Workshops shall draw u p an inspection report in cases where irregularities in the functioning of 
the tachograph had to be remedied, whether as a result of a periodic inspection or of an 
inspection carried out at the specific request of the national competent authority. They sha ll 
keep a list of all inspection reports drawn up.  
4. Inspection reports shall be retained for a minimum period of two years from the time the report 
was made. Each Party shall decide whether inspection reports are to be retained or sent to the 
competent aut hority during that period. In cases where the inspection reports are kept by the 
workshop, upon request from the competent authority, the workshop shall make available the 
reports of inspections and calibrations carried out during that period.  
 
906 
 Article 7 - Approval of fitters, workshops and vehicle manufacturers  
1. Each Party or, in the case of the Union, each Member State shall approve, regularly control and 
certify the fitters, workshops and vehicle manufacturers which may carry out installations, checks, 
inspections and repairs of tachographs.  
2. 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:  
(a) the staff are properly trained;  
(b) the equipment necessary to carry out the relevant tests and tasks is available; and  
(c) the fitters, workshops and vehicle manufacturers are of good repute.  
3. Audits of approved fitters or workshops shall be carried out as follows:  
(a) 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 co nducting a site visit; and  
(b) 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.  
4. Each Party and their competent authorities shall take appropriate measures to prevent conflicts of 
interests between fitters or workshops and road haulage operators. In particular, where there is a 
serious risk of a conflict of interests, additional specific me asures shall be taken to ensure that the 
fitter or workshop complies with this Section.  
5. The competent authorities of each Party shall withdraw approvals, either temporarily or 
permanently, from fitters, workshops and vehicle manufacturers which fail to me et their obligations 
under this Section.  
Article 8 - Workshop cards  
1. The period of validity of workshop cards shall not exceed one year. When renewing the workshop 
card, the competent authority shall ensure that the criteria listed in Article 7(2) are met  by the fitter, 
workshop or vehicle manufacturer.  
2. The competent authority shall renew a workshop card within 15 working days after receipt of a valid 
renewal request and all the necessary documentation. If a workshop card is damaged, malfunctions, 
or is l ost or stolen, the competent authority shall supply a replacement card within five working days 
of receiving a detailed request to that effect. Competent authorities shall maintain a register of lost, 
stolen or defective cards.  
 
907 
 3. If a Party or, in the case of the Union, a Member State withdraws the approval of a fitter, workshop 
or vehicle manufacturer as provided for in Article 7, it shall also withdraw the workshop cards issued 
thereto.  
4. Each Party shall take all necessary measures to prevent the workshop cards distributed to approved 
fitters, workshops and vehicle manufacturers from being falsified.  
Article 9 - Issuing of driver cards  
1. Driver cards shall be issued, at the request of the driver, by the competent authority in a 
Party where the driver has  his normal residence. Where the competent authorities in a Party issuing 
the driver card have doubts as to the validity of a statement as to normal residence, or for the 
purpose of certain specific controls, they may request any additional information or evidence from 
the driver.  
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 n o 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 conseque ntly 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.  
2. In duly justified and exceptional cases, each Party or, in the case of the Union, a Member 
State may issue a temporary and non -renewable driver card valid for a maximum period of 185 days 
to a drive r who does not have his normal residence in a Party, provided that such driver is in a labour 
law relationship with an undertaking established in the issuing Party and, in so far, presents a driver 
attestation when required.  
3. The competent authorities o f the issuing Party shall take appropriate measures to ensure 
that an applicant does not already hold a valid driver card and shall personalise the driver card, 
ensuring that its data are visible and secure.  
4. The driver card shall not be valid for more than five years.  
5. A valid driver card shall not be withdrawn or suspended unless the competent authorities of 
a Party find that the card has been falsified, or the driver is using a card of which he is not the  
holder, or the card held has been obtained on the basis of false declarations and/or forged 
documents. If such suspension or withdrawal measures are taken by a Party or, in the case of the 
Union, a Member State other than the issuing Party or, in the case  of the Union, other than the 
issuing Member State, the former shall return the card to the authorities of the Party or, in the case 
of the Union, the authorities of the Member State which issued it, as soon as possible, indicating the 
reasons for the with drawal or suspension. If the return of the card is expected to take longer than 
two weeks, the suspending or withdrawing Party or, in the case of the Union, the suspending or 
withdrawing Member State shall inform the issuing Party or, in the case of the Un ion, the issuing 
Member State within those two weeks of the reasons for suspension or withdrawal.   
 
908 
 6. The competent authority of the issuing Party may require a driver to replace the driver card 
by a new one if this is necessary to comply with the relevan t technical specifications.   
7. Each Party shall take all necessary measures to prevent driver cards from being falsified.  
8. This Article shall not prevent a Party or, in the case of the Union, a Member State from 
issuing a driver card to a driver who h as his normal residence in a part of that Party's territory, to 
which this Annex does not apply, provided that the relevant provisions of this Section are applied in 
such cases.  
Article 10 - Renewal of driver cards  
1. Where, in the case of renewals, the Par ty of the driver's normal residence is different from that 
which issued his current card, and where the authorities of the former Party are requested to renew 
the driver card, they shall inform the authorities which issued the earlier card of the reasons f or its 
renewal.  
2. In the event of a request for the renewal of a card which is imminently about to expire, the 
competent authority shall supply a new card before the expiry date, provided that the request was 
sent within the time -limits laid down in Article  5 of Section 4 of Part B of this Annex.  
Article 11 - Stolen, lost or defective driver cards  
1. Issuing authorities shall keep records of issued, stolen, lost or defective driver cards for a period at 
least equivalent to their period of validity.  
2. If the dr iver card is damaged, malfunctions or is lost or stolen, the competent authorities in the 
Party of his normal residence shall supply a replacement card within eight working days after their 
receipt of a detailed request to that effect.  
Article 12 - Mutual  acceptance of driver cards  
1. Each Party shall accept the driver cards issued by the other Party.  
2. Where the holder of a valid driver card issued by a Party has established his normal residence in 
the other Party and has asked for his card to be exchanged f or an equivalent driver card, it shall 
be the responsibility of the Party or, in the case of the Union, the Member State which carries out 
the exchange t o verify whether the card produced is still valid.  
3. Parties or, in the case of the Union, Member States  carrying out an exchange shall return the old 
card to the authorities of the issuing Party or, in the case of the Union, the issuing Member State 
and indicate the reasons for so doing.  
4. Where a Party or, in the case of the Union, a Member State replaces o r exchanges a driver card, 
the replacement or exchange, and any subsequent replacement or exchange, shall be registered 
in that Party or, in the case of the Union, in that Member State.  
 
909 
 Article 13 - Electronic exchange of information on driver cards  
1. 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 equivale nt to the period of validity of those cards:   
—  surname and first name of the driver;  
—  birth date and, if available, place of birth of the driver;  
—  valid driving licence number and country of issue of the driving licence (if applicable);  
—  status of the driver card; and  
—  driver card number.  
2. The electronic registers of the Parties or, in the case of the Union, the Member States shall be 
interconnected and accessible throughout the territory of the Parties, using the TACHOnet 
messaging s ystem or a compatible system. In the case of the use of a compatible system, the 
exchange of electronic data with the other Party shall be possible through the TACHOnet messaging 
system.  
3. When issuing, replacing and, where necessary, renewing a driver card, Parties or, in the case of the 
Union, Member States shall verify through electronic data exchange that the driver does not already 
hold another valid driver card. The data exchanged shall be limited to the data necessary for the 
purpose of this verification.  
4. Control officers may have access to the electronic register in order to check the status of a driver 
card.  
Article 14 - Settings of tachographs  
1. Digital tachographs shall not be set in such a way that they automatica lly switch to a specific 
category of activity when the vehicle's engine or ignition is switched off, unless the driver remains 
able to choose manually the appropriate category of activity.  
2. Vehicles shall not be fitted with more than one tachograph, except  for the purposes of field tests.  
3. Each Party shall forbid the production, distribution, advertising and/or selling of devices constructed 
and/or intended for the manipulation of tachographs.  
Article 15 - Responsibility of road haulage operators  
1. Road hau lage operators shall be responsible for ensuring that their drivers are properly trained and 
instructed as regards the correct functioning of tachographs, whether digital, smart or analogue , 
shall make regular checks to ensure that their drivers make corre ct use thereof, and shall not give to 
their drivers any direct or indirect incentives that could encourage the misuse of tachographs.  
Road haulage operators shall issue a sufficient number of record sheets to drivers of vehicles fitted 
with analogue tacho graphs, taking into account the fact that record sheets are personal in character, 
 
910 
 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 operat ors 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.  
2. Road haulage operators shall keep record sheets and printouts, whenever printouts have been made 
to comply with Article 9 of Section 4 of Part B  of this Annex, in chronological order and in a legible 
form, for at least a year after their use, and shall give copies to the drivers concerned who request 
them. Road haulage operators shall also give copies of data downloaded from driver cards to the 
drivers concerned who request them, together with printed paper versions of those copies. Record 
sheets, printouts and downloaded data shall be produced or handed over at the request of any 
authorised control officer.  
3. Road haulage operators shall be liable for infringements of this Section and of Section 4 of Part B of 
this Annex committed by their drivers or by drivers at their disposal. However, each Party may make 
such liability conditional on the road haulage operator's infringement of the first subparag raph of 
paragraph 1 of this Article and Article 7(1) and (2) of Section 2 of Part B of this Annex.  
Article 16 - Procedures for road haulage operators in the event of malfunctioning equipment  
1. In the event of the breakdown or faulty operation of a tachogra ph, the road haulage operator shall 
have it repaired by an approved fitter or workshop, as soon as circumstances permit.  
2. If the vehicle is unable to return to the road haulage operator's premises within a period of one 
week calculated from the day of the breakdown or of the discovery of defective operation, the 
repair shall be carried out en route.  
3. Each Party or, in the case of the Union, the Member States shall give the competent authorities 
power to prohibit the use of the vehicle in cases where the bre akdown or faulty operation has not 
been remedied as provided in paragraphs 1 and 2 in so far as this is in accordance with the national 
legislation in the Party concerned.  
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.   
   
 
911 
 ANNEX ROAD -2: MODEL OF AUTHORISATI ON FOR AN INTERNATIO NAL REGULAR AND SPEC IAL 
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 I of Heading Three of Part Two [Transport of goods by road] 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: ……………. (143)  
AUTHORISATION No.:  
……………………………... for a regular service □ (2) 
for a special regular service □ (2)  
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 fa x or e -mail:  
.…………………………………………………………………………….  
                                                            
143 Austria (A), Belgium (B), Bulgaria (BG), Cyprus (CY), Croatia (HR), Czech Republic (CZ), Denmark (DK), Estonia 
(EST), Fi nland (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), S weden (S), United Kingdom (UK), to be completed.  
2 Tick or complete as appropriate.  
 
912 
 ………………………………………………………………………………………………………..   
 
 
 
(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 a ll operators of the group or of the partnership; in addition, names of any 
subcontractors, to be identified as such:  
(1) ……………………………………………………………………………………………………………  
(2) ……………………………………………………………………………………………………………  
(3) ……………………………………………………………………………………………………………  
(4) ……………………………………………………………………………………………………………  
(5) ……………………………………………………………………………………………………………  
List attached, if appropriate  
Validity of the authorisation: From: ………………………………. To: ……………………………..……...  
Place and date of issue: ………………………………………………………………………………………..  
Signature and stamp of the issuing authority or agency: ……………………………………………………..  
1. Route: ……………………………………………………………………………………………………….  
………………………………………………………………………………………..:…………………….….  
(a) Place of departure of service: …………………………………...…………………………………  
……………………………………… ……………………………..............…………………………………....  
(b) Place of destination of service: …………….……………………………………………………..  
…………………………………………………………..……………………………………………………....  
Principal itinerary, with passenger pick -up and set -down points underlined: ………………..……..…………  
…………… ……………………………………………………………………………………………………..  
2. Timetable: ………………………………………………………………………………………………..….  
(attached to this authorisation)  
3. Special regular service:  
(a) Category of passengers: ………………….………………….…….  
……………………………...........................................................................  
4. Other conditions or special points …...…………...................................................  
..................................................................... ........................................  
.............................................................................................................  
Stamp of authority issuing the authorisation 
Important notice:   
 
913 
 (1)  This authorisation is valid for th e 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 o r 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 far es 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 requi red under Article X+4 of Title II of Heading Three of Part Two 
[Transport of passengers by road] of Trade and Cooperation Agreement between the 
European Union and the European Atomic Energy Community, of the one part, and the 
United Kingdom of Great Britai n and Northern Ireland, of the other part  and shall be 
kept in the vehicle and presented at the request of any authorised inspecting officer:  
  
– the authorisation or a certified true copy thereof to carry out international regular 
or special regular services;  
  
– the operator's licence or a certified true copy thereof for the international carriage 
of passengers by road provided for according to the  United Kingdom or Union 
legislation;  
  
– when operating an international special regular service, the contract between the 
organiser and the transport operator or a certified true copy thereof as well as a 
document evidencing that the passengers constitute  a specific category to the 
exclusion of other passengers for the purposes of a special regular service;  
  
– when the operator of a regular or special regular service uses additional vehicles 
to deal with temporary and exceptional situations, in addition to  the relevant 
documents mentioned above, a copy of the contract between the operator of the 
international regular or special regular service and the undertaking providing the 
additional vehicles or an equivalent document.  
 
914 
 (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:  
  
(a) the name of the operator;  
  
(b) the points of departure and  destination and, if applicable, the return journey;  
  
(c) the period of validity of the ticket and, if applicable, the date and time of 
departure;  
  
(d) 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 r est periods and road safety and 
emissions.  
  
________________  
  
 
915 
 ANNEX  ROAD -3: 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 SP ECIAL REGULAR SERVICE (144)  
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 a pplication:  
………………………………………………………………………………………………………........  
………………………………………………………………………………………………………........  
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 op erator 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 (2)  
3.1 …………………………………………………..………. tel. ………………….…….…  
3.2 ……………………………………………………..….… tel. ………………….……….  
3.3 ………………………………………………………....... tel. ………………….....….…  
3.4 …………………………………………………………... tel. ……………………......…  
 
(Second page of the application for authorisation or renewal of authorisation)  
 
                                                            
144 Tick or complete as 
appropriate  
2 Attach list if applicable.  
 
916 
 4 In the case of a special regul ar service:  
4.1 Category of passengers: (145) workers □ school pupils/students □ other □  
5 Duration of authorisation requested or date on which the service ends:  
………………………………………………………………………………………………….........  
6 Principal route of service (underline passenger pic k-up and set -down points, with full addresses): (146)  
……………………………………………………………………………………………...……….........  
…..………………………………………………………………………………………………............... 
…………………………………………………………………………………………………….............  
7 Period of operation: …………………………………………………………………….…….  
…………………………………………………………………………………………………..………....  
…………………………………………………………………………………………………..………....  
8 Frequency (daily, weekly, etc.): ………………………………………………………...…….  
9 Fares ……………………………………… Annex attached.  
10 Enclos e 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: ( 3)  
…………………………………………………………………………………………………….. .......  
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 applican t 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:  
(a) the timetable including the time slots for controls  at relevant border crossings;  
(b) 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;  
(c) a map on an appropriate scale on which are mar ked the route and the stopping points at which passengers are 
to be taken up or set down;  
(d) a driving schedule to permit verification of compliance with the international rules on driving times and rest 
periods;  
(e) any appropriate information concerning coach  and bus terminals.    
                                                            
145 Tick or complete as appropriate.  
146 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. 3 Complete as appropriate.  
 
917 
 
ANNEX ROAD -4: 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  
 
 
Carrier and, where appropriate, subcontractor 
or group of carriers  1. …………………………………………………  
2. …………………………………………………  
3. …………………………………………………  
3 
Name of driver(s)  1. …………………………………………………  
2. …………………………………………………  
3. …………………………………………………  
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 
      
      
      
      
      
      
      
      
      
      
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  
    
 
918 
     
9 Unforeseen changes  
………………………………………………………………………………………………………………  
………………………………………………………………………………………………………………  
 
 
 
919 
 ANNEX FISH.1  
 

 
920 
  

 
921 
  

 
922 
 
ANNEX FISH.2  
 
923 
  

This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
924 
 ANNEX FISH.3   
# Stock Code  Common Name  ICES Areas  
10
6 ANF/8ABDE.  Anglerfish (8)  8a, 8b, 8d and 8e  
10
7 BLI/03A - Blue Ling (3a)  Union waters of 3a  
10
8 BSF/8910 - Black Scabbardfish (8,9,10)  8, 9 and 10  
10
9 COD/03AN.  Cod (Skagerrak)  Skagerrak  
11
0 HAD/03A.  Haddock (3a)  3a 
11
1 HER/03A.  Herring (3a)  3a 
11
2 HER/03A -BC Herring (3a bycatch)  3a 
11
3 HER/6AS7BC  Herring (West of Ireland)  6aS, 7b and 7c  
11
4 HKE/03A.  Hake (3a)  3a 
11
5 HKE/8ABDE.  Hake (8)  8a, 8b, 8d and 8e  
11
6 JAX/08C.  Horse Mackerel (8c)  8c 
11
7 LEZ/8ABDE.  Megrims (8)  8a, 8b, 8d and 8e  
11
8 MAC/2A4A -
N Mackerel (Denmark allocation 
in Norwegian waters)  Norwegian waters of 2a and 4a  
11
9 MAC/8C3411  Mackerel (Southern 
Component)  8c, 9 and 10; Union waters of CECAF 34.1.1  
12
0 PLE/03AN.  Plaice (Skagerrak)  Skagerrak  
12SPR/03A.  Sprat (3a)  3a 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
925 
 1 
12
2 SRX/03A -C. Skates and Rays (3a)  Union waters of 3a  
12
3 USK/03A.  Tusk (3a)  3a 
12
4 WHB/8C341
1 Blue Whiting (Southern 
Component)  8c, 9 and 10; Union waters of CECAF 34.1.1  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
926 
 ANNEX FISH.4: 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, du ring 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  
1. By derogation from Article FISH.8(1), (3), (4), (5), (6) and (7) [Access to waters] of Heading V 
[Fisheries], during  the adjustment period each Party  shall  grant to vessels of the other P arty full 
access to its  waters to fish:  
(a) stocks listed in Annex FISH.1 and Annex FISH.2A, B and F at a level that is reasonably 
commensurate with the Parties respective shares of the fishing opportunities;  
(b) non quota stocks at a level that equates to the ave rage tonnage fished by that Party in the 
waters of the other Party during the period 2012 -2016;  
(c) 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 ex tent that each Party’s qualifying 
vessels had access to that zone on 31 December 2020.  
For the purposes of this point, “qualifying vessel” means a vessel of a Party, which fished in the zone 
mentioned in the previous sentence in at least four years betwee n 2012 and 2016, or its direct 
replacement.  
2. The Parties shall notify the other Party of any change in the level and conditions of access to 
waters that will apply from 1 July 2026.  
3.  Article 9[Compensatory measures in case of withdrawal or reduction of acc ess] shall apply 
mutatis mutandis  in relation to any change under paragraph 2 of this Article in respect of the period 
from 1 July 2026 to 31 December 2026.  
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
927 
 ANNEX LAW -1: 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 [Exchanges of DNA, Fingerprints and vehicle registration 
data] of Part Three.  
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 spec ifications 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 Ad ministrations 
(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 a nd 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 arrangem ents 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 LAW.PRUM.7 [ Esta blishment of domestic DNA analysis 
files]  and LAW.PRUM.11 [ Dactyloscopic data]  shall consist of a combination of the following:  
(a) 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  LAW.PRUM.14 [Supply of further personal data and other 
information];  
(b) a code to indicate the national origin of the DNA profile or dactyloscopic data; and  
(c) with respect to DNA data,  a code to indicate the type of DNA profile.  
Article  6: Principles of DNA data exchange  
1. States shall use existing standards for DNA data exchange, such as the European Standard 
Set (ESS) or the Interpol Standard Set of Loci (ISSOL).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
928 
 2. The transmission proced ure, in the case of automated searching and comparison of DNA 
profiles, shall take place within a decentralised structure.  
3. Appropriate measures shall be taken to ensure confidentiality and integrity of data being 
sent to other States, including their encry ption.  
4. States shall take the necessary measures to guarantee the integrity of the DNA profiles 
made available or sent for comparison to the other States and to ensure that those measures 
comply with international standards such as ISO 17025.  
5. States shall u se State codes in accordance with the ISO 3166 -1 alpha -2 standard.  
Article  7: Rules for requests and answers in connection with DNA data  
1. A request for an automated search or comparison, as referred to in Articles LAW.PRUM.8 
[Automated searching of DNA profiles]  or LAW.PRUM.9 [ Automated comparison of DNA profiles] , 
shall include only the following information:  
(a) the State code of the requesting State;  
(b) the date, time and indication number of the request;  
(c) DNA profiles and their reference numbers;  
(d) the types of DNA profiles transmitted (unidentified DNA profiles or reference DNA profiles); 
and 
(e) information required for controlling the database systems and quality control for the 
automatic search processes.  
2. The answer (matching report) to the request referred to  in paragraph  1 shall contain only 
the following information:  
(a) an indication as to whether there were one or more matches (HITs) or no matches (No -HITs);  
(b) the date, time and indication number of the request;  
(c) the date, time and indication number of the answer ; 
(d) the State codes of the requesting and requested States;  
(e) the reference numbers of the requesting and requested States;  
(f) the type of DNA profiles transmitted (unidentified DNA profiles or reference DNA profiles);  
(g) the requested and matching DNA profiles; and  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
929 
 (h) information required for controlling the database systems and quality control for the 
automatic search processes.  
3. Automated notification of a match shall only be provided if the automated search or 
comparison has resulted in a match of a minimum number of  loci. That minimum is set out in 
Chapter  1. 
4. The States shall ensure that requests comply with declarations issued pursuant to Article 
LAW.PRUM.7(3) [Establishment of domestic DNA analysis files].  
Article  8: Transmission procedure for automated searching of unidentified DNA profiles in 
accordance with Article  LAW.PRUM.8 [Automated searching of DNA profiles]  
1. If, in a search with an unidentified DNA profile, no match has been found in the national 
database or a match has been found with an unidentified DNA p rofile, the unidentified DNA profile 
may then be transmitted to all other States' databases and if, in a search with this unidentified DNA 
profile, matches are found with reference DNA profiles and/or unidentified DNA profiles in other 
States' databases, t hese 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.  
2. If, in a search with an unidentified DNA profile, a match is found in other States' databases, 
each State concerned may insert a note to that effect in its national database.  
Article  9: Transmission procedure for automated search of reference DNA profiles in accordance 
with Artic le LAW.PRUM.8 [Automated searching of DNA profiles]  
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 p rofile 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 automatical ly 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 comparis on of unidentified DNA profiles in 
accordance with Article  LAW.PRUM.9 [Automated comparison of DNA profiles]  
1. If, in a comparison with unidentified DNA profiles, matches are found in other States' 
databases with reference DNA profiles and/or unidentified DN A profiles, these matches shall be 
automatically communicated and the DNA reference data transmitted to the requesting State.  
2. If, in a comparison with unidentified DNA profiles, matches are found in other States' 
databases with unidentified DNA profiles or  reference DNA profiles, each State concerned may 
insert a note to that effect in its national database.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
930 
 Article  11: Principles for the exchange of dactyloscopic data  
1. The digitalisation of dactyloscopic data and their transmission to the other States shall  be 
carried out in accordance with the uniform data format specified in Chapter  2. 
2. Each State shall ensure that the dactyloscopic data it transmits are of sufficient quality for a 
comparison by the automated fingerprint identification systems (AFIS).  
3. The t ransmission procedure for the exchange of dactyloscopic data shall take place within a 
decentralised structure.  
4. Appropriate measures shall be taken to ensure the confidentiality and integrity of 
dactyloscopic data being sent to other States, including thei r encryption.  
5. The States shall use State codes in accordance with the ISO 3166 -1 alpha -2 standard.  
Article  12: Search capacities for dactyloscopic data  
1. Each State shall ensure that its search requests do not exceed the search capacities specified 
by the re quested State. The United Kingdom shall declare their maximum search capacities per day 
for dactyloscopic data of identified persons and for dactyloscopic data of persons not yet identified.  
2. The maximum numbers of candidates accepted for verification per t ransmission are set out 
in Chapter  2. 
Article  13: Rules for requests and answers in connection with dactyloscopic data  
1. The requested State shall check the quality of the transmitted dactyloscopic data without 
delay by a fully automated procedure. Should the data be unsuitable for an automated comparison, 
the requested State shall inform the requesting State without delay.  
2. The requested State shall conduct searches in the order in which requests are received. 
Requests shall be processed within 24 hours by a fully automated procedure. The requesting State 
may, if its domestic law so prescribes, ask for accelerated processing of its requests and the 
requested State shall conduct these searches without delay. If deadlines cannot be met for reasons 
of force maj eure , the comparison shall be carried out without delay as soon as the impediments 
have been removed.  
Article  14: Principles of automated searching of vehicle registration data  
1. For automated searching of vehicle registration data States shall use a version  of the 
European Vehicle and Driving Licence Information System (Eucaris) software application especially 
designed for the purposes of Article  LAW.PRUM.15  [Automated searching of vehicle registration 
data] , and amended versions of that software.  
2. Automated searching of vehicle registration data shall take place within a decentralised 
structure.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
931 
 3. The information exchanged via the Eucaris system shall be transmitted in encrypted form.  
4. The data elements of the vehicle registration data to be exchanged are specif ied in 
Chapter  3. 
5. In the implementation of Article  LAW.PRUM.15  [Automated searching of vehicle registration 
data] , States may give priority to searches related to combating serious crime.  
Article  15: Costs  
Each State shall bear the costs arising from the a dministration, use and maintenance of the Eucaris 
software application referred to in Article  14(1).  
Article  16: Purpose  
1. Processing of personal data by the receiving State shall be permitted solely for the purposes 
for which the data have been supplied in accordance with Title II [Exchanges of DNA, Fingerprints 
and vehicle registration data] of Part Three. Processing for other purposes shall be permitted solely 
with the prior authorisation of the State administering the file and subject only to the domestic  law 
of the receiving State. Such authorisation may be granted provided that processing for such other 
purposes is permitted under the domestic law of the State administering the file.  
2. Processing of data supplied pursuant to Articles LAW.PRUM.8 [Automated searching of DNA 
profiles], LAW.PRUM.9 [Automated comparison of DNA profiles] and LAW.PRUM.12 [Automated 
searching of dactyloscopic data] by the searching or comparing State shall be permitted solely in 
order to:  
(a) establish whether the compared DNA profiles  or dactyloscopic data match;  
(b) prepare and submit a police or judicial request for legal assistance in compliance with 
domestic law if those data match;  
(c) record within the meaning of Article 19 of this Chapter.  
3. The State administering the file may process th e data supplied to it in accordance with 
Articles LAW.PRUM.8 [Automated searching of DNA profiles], LAW.PRUM.9 [Automated comparison 
of DNA profiles] and LAW.PRUM.12 [Automated searching of dactyloscopic data] solely where this is 
necessary for the purpose s of comparison, providing automated replies to searches or recording 
pursuant to Article 19 of this Chapter. The supplied data shall be deleted immediately following data 
comparison or automated replies to searches unless further processing is necessary f or the purposes 
referred to in points (b) and (c) of paragraph 2 of this Article.  
4. Data supplied in accordance with Article.LAW.PRUM.15  [Automated searching of vehicle 
registration data]  may be used by the State administering the file solely where this is n ecessary for 
the purpose of providing automated replies to search procedures or recording pursuant to Article 19 
of this Chapter. The data supplied shall be deleted immediately following automated replies to 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
932 
 searches unless further processing is necessary for recording pursuant to Article 19 of this Chapter. 
The Member State may use data received in a reply solely for the procedure for which the search 
was made.  
Article  17: Accuracy, current relevance and storage time of data  
1. The States shall ensure the acc uracy and current relevance of personal data. The receiving 
State shall be notified without delay if it transpires ex officio, or from a notification by the data 
subject, that incorrect data or data which should not have been supplied have been supplied. T he 
State(s) concerned shall be obliged to correct or delete the data. Moreover, personal data supplied 
shall be corrected if they are found to be incorrect. If the receiving body has reason to believe that 
the supplied data are incorrect or should be delet ed, the supplying body shall be informed forthwith.  
2. Data, the accuracy of which the data subject contests and the accuracy or inaccuracy of 
which cannot be established shall, in accordance with the domestic law of the States, be marked 
with a flag at the r equest of the data subject. If a flag exists, this may be removed subject to the 
domestic law of the States and only with the permission of the data subject or on the basis of a 
decision of the competent court or independent data protection authority.  
3. Pers onal data supplied which should not have been supplied or received shall be deleted. 
Data which are lawfully supplied and received shall be deleted:  
(a) 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;  
(b) 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.  
4. Where there is reason to believe that deletion would prejudice the interests of the data 
subject, the data shall be blocked instead of being del eted in compliance with domestic law. Blocked 
data may be supplied or used solely for the purpose which prevented their deletion.  
Article  18: Technical and organisational measures to ensure data protection and data security  
1. The supplying and receiving bodi es shall take steps to ensure that personal data is effectively 
protected against accidental or unauthorised destruction, accidental loss, unauthorised access, 
unauthorised or accidental alteration and unauthorised disclosure.  
2. The features of the technical  specification of the automated search procedure are regulated 
in the implementing measures as referred to in Article LAW.PRUM.17 [Implementing measures] 
which guarantee that:  
(a) state -of-the-art technical measures are taken to ensure data protection and data  security, in 
particular data confidentiality and integrity;  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
933 
 (b) encryption and authorisation procedures recognised by the competent authorities are used 
when having recourse to generally accessible networks; and  
(c) the admissibility of searches in accordance wit h 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  
1. 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:  
(a) the reason for the supply;  
(b) the data supplied;  
(c) the date of the suppl y; and  
(d) the name or reference code of the searching body and of the body administering the file.  
2. The following shall apply to automated searches for data based on Articles LAW.PRUM.8 
[Automated searching of DNA profiles], LAW.PRUM.12 [Automated searching of dactyloscopic data]  
and LAW.PRUM.15 [Automated searching of vehicle registration data]  and to automated comparison 
pursuant to Article LAW.PRUM.9  [Automated com parison of DNA profiles] : 
(a) 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;  
(b) 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 wheth er or 
not a HIT exists; recording shall include the following information:  
(i) the data supplied;  
(ii) the date and exact time of the supply; and  
(iii) the name or reference code of the searching body and of the body administering the 
file. 
3. The searching body shall also record the reason for the search or supply as well as an 
identifier for the official who carried out the search and the official who ordered the search or 
supply.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
934 
 4. The recording body shall immediately communicate the recorded data upon request to the 
compet ent 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:  
(a) monitoring data protection;  
(b) ensuring data security.  
5. The recorded data shall  be protected with suitable measures against inappropriate use and 
other forms of improper use and shall be kept for two years. After the conservation period, the 
recorded data shall be deleted immediately.  
6. Responsibility for legal checks on the supply or receipt of personal data lies with the 
independent data protection authorities or, as appropriate, the judicial authorities of the respective 
States. Anyone can request those authorities to check the lawfulness of the processing of data in 
respect of their  person in compliance with domestic law. Independently of such requests, those 
authorities and the bodies responsible for recording shall carry out random checks on the lawfulness 
of supply, based on the files involved.  
7. The results of such checks shall be kept for inspection for 18 months by the independent 
data protection authorities. After that period, they shall be immediately deleted. Each data 
protection authority may be requested by the independent data protection authority of another 
State to exercis e its powers in accordance with domestic law. The independent data protection 
authorities of the States shall perform the inspection tasks necessary for mutual cooperation, in 
particular by exchanging relevant information.  
Article  20: Data subjects' rights  to damages  
Where a body of one State has supplied personal data under Title II [Exchanges of DNA, Fingerprints 
and vehicle registration data] of Part Three , 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  
1. The United Kingdom shall communicate its declarations pursuant to Article LAW.PRUM 7(3) 
[Establishment of domestic DNA analysis files] , and Article 12(1) of this Chapter, as well as its 
designations pursuant to Articles LAW.PRUM 13(1) [ National contact points] , and LAW.PRUM 15(3) 
[Automated searching of vehicle registration data]  to the Specialised Committee on Law 
Enforcement and Judicial Cooperation.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
935 
 2. Factual information provided by the United Kingdom through these declarations and 
designations, and by Member States in accordance with Article LAW.PRUM 17(3) [Implementing 
measures], are included in the Manual as referred to in Article 18(2) of Decision 2008/616/JHA.  
3. States may amend declarations and designations submitted in accordance with paragraph  1 
at any time by means of a noti fication submitted to the Specialised Committee on Law Enforcement 
and Judicial Cooperation. The Specialised Committee on Law Enforcement and Judicial Cooperation 
shall forward any declarations received to the General Secretariat of the Council.  
4. The Genera l Secretariat of the Council shall communicate any changes in the Manual 
referred to in paragraph 2 to the Specialised Committee on Law Enforcement and Judicial 
Cooperation.  
Article  23: Preparation of decisions as referred to in Article LAW.PRUM.18 [Ex an te evaluation]  
1. The Council shall take a decision as referred to in Article LAW.PRUM.18 [Ex ante evaluation]  
on the basis of an evaluation report which shall be based on a questionnaire.  
2. With respect to the automated data exchange in accordance with Title II [Exchanges of DNA, 
Fingerprints and vehicle registration data] of Part Three , the evaluation report shall also be based on 
an evaluation visit and a pilot run that shall be carried out if required when the United Kingdom has 
informed the Specialised Com mittee on Law Enforcement and Judicial Cooperation that they have 
implemented the obligations imposed on them under Title II [Exchanges of DNA, Fingerprints and 
vehicle registration data] of Part Three and submit the declarations provided for in Article 22  of this 
Chapter. Further details of the procedure are set out in Chapter  4 of this Annex.  
Article  24: Statistics and reporting  
1. An evaluation of the administrative, technical and financial application of the data exchange 
pursuant to Title II [Exchanges of DNA, Fingerprints and vehicle registration data] of Part Three shall 
be carried out on a regular basis. The evaluation shall be carried out with respect to the data 
categories for which data exchange has started among the States conc erned. The evaluation shall be 
based on reports of the respective States.  
2. Each State shall compile statistics on the results of the automated data exchange. In order to 
ensure comparability, the model for statistics will be compiled by the relevant Council  Working 
Group. These statistics will be forwarded annually to the Specialised Committee on Law 
Enforcement and Judicial Cooperation.  
3. In addition, States will be requested on a regular basis not to exceed once per year to 
provide further information on the  administrative, technical and financial implementation of 
automated data exchange as needed to analyse and improve the process.  
4. Statistics and reporting made by Member States in accordance with Decisions 2008/615/JHA 
and 2008/616/JHA shall apply in relati on to this Article.  
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 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 th e DNA -procedures of Interpol. The names of those loci are provided in the following table:  
VWA  TH01  D21S11  FGA D8S1179  D3S1358  D18S51  Amelogeni
n 
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 designated147 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 store d 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:  
– Any non -numerical value except amelogenin contained in the profile (e.g. ‘o’, ‘f’ , ‘r’, ‘na’, 
‘nr’ or ‘un’) has to be automatically converted for the export to a wild card (*) and 
searched against all,  
– Numerical values ‘0’, ‘1’ or ‘99’ contained in the profile have to be automatically converted 
for the export to a wild card (*) and sea rched against all,  
– If three alleles are provided for one locus the first allele will be accepted and the remaining 
two alleles have to be automatically converted for the export to a wild card (*) and 
searched against all,  
                                                            
147 ‘Full designated’ means the handling of rare allelle values is  included.  
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937 
 – When wild card values are provided  for allele 1 or 2 then both permutations of the 
numerical value given for the locus will be searched (e.g. 12, * could match against 12,14 
or 9,12),  
– Pentanucleotide (Penta D, Penta E and CD4) micro -variants will be matched according to 
the following:  
 x.1 = x, x.1, x.2  
 x.2 = x.1, x.2, x.3  
 x.3 = x.2, x.3, x.4  
 x.4 = x.3, x.4, x + 1,  
– Tetranucleotide (the rest of the loci are tetranucleotides) micro -variants will be matched 
according to the following:  
 x.1 = x, x.1, x.2  
 x.2 = x.1, x.2, x.3  
 x.3 = x.2, x.3,  x + 1.  
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 bo th 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:  
– a human typing error at the point of entry of one of the DNA -profiles in the search request 
or the DNA -database,  
– an allele -determination or allele -calling error during the generation procedure of the DNA -
profile.  
1.3. Reporting rules  
Full mat ches, near matches and ‘No -HITs’ will all be reported.  
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 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 
poss ible follow -up requests for further available personal data and other information associated 
with the DNA -profile corresponding to the HIT in accordance with Article LAW.PRUM.14 [Supply of 
further personal data and other information].  
2. State code number table  
In accordance with Title II  [Exchanges of DNA, Fingerprints and vehicle registration data] of Part 
Three , 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  
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 Requests pursuant to Article LAW.PRUM.8 [Automated searching of DNA profiles] 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 Tra nsfer 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:  
– the format of the subject field in the message to enable/allow for an automated processing 
of the messages,  
– whether content encryption is necessary and if yes which methods should be chosen,  
– the maximum length of messages.  
4.1.3.  XML structure and principles  
The XML message is structured into:  
– the header part, which contains information about the transmission, a nd 
– the data part, which contains profile specific information, as well as the profile itself.  
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 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 
LAW.PRUM.9  [Automated comparison of DNA profiles], 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 select ion 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 repe ated, if multiple profiles sent by (….) a single SMTP message, only 
allowed for Article LAW.PRUM.9 [Automated comparison of DNA profiles] 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  
 
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 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  
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 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 LAW.PRUM.8 [Automated 
searching of DNA profiles] or LAW.PRUM.9 
[Automated comparison of DNA profiles])  
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:  
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943 
 Value  Description  
3 Requests pursuant to Article LAW.PRUM.8 [Automated 
searching of DNA profiles]  
4 Requests pursuant to Article LAW.PRUM.9 [Automated 
comparison of DNA profiles]  
 
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  
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944 
 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  
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945 
 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:  
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946 
 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 [Exchanges 
of DNA, Fingerprints and vehicle regist ration data] of Part Three, 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 sec ure 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. Takin g 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:  
 1. using the existing national access point or establishing a new national  TESTA access 
point; or  
 2. 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 [Exchanges of DNA, 
Fingerprints and vehicle registration data] of Part Three 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 s cope of Title II [Exchanges of DNA, Fingerprints and vehicle registration data] of Part Three, 
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 arch itecture 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  
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947 
  
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 [Exchanges of DNA, Fingerprints and vehicle registration 
data] of Part Three . 
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 condu cted 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 

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948 
 international level and the secure links to this tunnelling system under national responsibility. This 
virtual private tunnelling system does not have a con nection 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 p rofile 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 message s. 
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 othe r 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:  
– the sequence of the operations is: first encryption and then signing,  
– the encry ption algorithm AES (Advanced Encryption Standard) with 256 bit key length and 
RSA with 1024 bit key length shall be applied for symmetric and asymmetric encryption 
respectively,  
– the hash algorithm SHA -1 shall be applied.  
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 po pular e -mail 
encryption formats. Therefore any state -of-the-art implementations to JavaMail API will suffice for 
the requirements set by Title II [Exchanges of DNA, Fingerprints and vehicle registration data] of Part 
Three, such as the product of Bouncy Ca stle 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, Applicatio n 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.  
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 In order to provide all States with an easy integration of the componen ts 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 featu res to be implemented to get access to indexed 
databases containing DNA profiles covered by Title II [Exchanges of DNA, Fingerprints and vehicle 
registration data] of Part Three, each State can freely select its hardware and software platform, 
including da tabase 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 us e 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 Applica tion 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  

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950 
 Java DataBase Connectivity (JDBC) is an API for the Java programming language that defin es 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 diagra m. 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 TES TA 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 list s 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 har dware 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.  

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951 
  
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 in formation 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 ove r 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 bina ry 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).  

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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
952 
 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 attac hments 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 [Exchang es of DNA, Fingerprints and vehicle registration data] of Part Three 
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 [Exchanges of 
DNA, Fingerprints and vehicle registration data ]  of Part Three 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 th e 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 s ite. 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 loca tion 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:  
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953 
 ‘application -type.State -code.pruem.testa.eu’, where:  
‘State -code ’ takes the value of one of the two letter -code State codes (i.e. AT, BE, etc.);  
‘application -type ’ takes one of the values: DNA,  FP and CAR.  
By applying the above syntax, the sub domains for the States are shown in the following table:  
States’ sub domains syntax  
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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
954 
 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
955 
 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
956 
 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
957 
 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
958 
 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
959 
 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
960 
 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 defin itions 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 rec ord 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  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
961 
 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 -level s by mutual agreement. In that case, it is 
strongly recommended to use JPEG 2000 (see Appendix 7).  
1.6. Variable -Resolution Palmprint Image Record  
Type -15 tagged field image records shall be used to exchange variable -resolution palmprint images 
together wi th 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 im ages 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 7).  
2. Record format  
A transaction file shall consist of one or more logical record s. 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 conv ey 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 infor mation field may therefore 
consist of one or more subfields of information items.  
2.1. Information separators  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
962 
 In the tagged -field logical records, mechanisms for delimiting information are implemented by use of 
four ASCII information separators. The delimi ted 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 s eparators 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. T his 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 characte r 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 character s 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 tran saction 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 separa tor 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 mor e 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 Us ed 
Code  Type  Description  Hexadecimal Value  Decimal Value  
US Unit Separator  Separates information 
items  1F 31 
RS Record Separator  Separates subfields  1E 30 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
963 
 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. Thi s 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 c haracters) 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 f our 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 Logi cal 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
964 
 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 th e 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, e ach 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 subfiel d 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 othe r 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 
image s in the file.  
In case of a No -HIT, the following logical records will be returned:  
– 1 Type -1 Record,  
– 1 Type -2 Record.  
In case of a HIT, the following logical records will be returned:  
– 1 Type -1 Record,  
– 1 Type -2 Record,  
– 1-14 Type -4 Record.  
The CPS TOT is summarised in Table A.6.1 (Appendix 6).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
965 
 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 mul tiple 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:  
– 1 Type -1 Record,  
– 1 Type -2 Record.  
In case of a HIT, the following logical records will be returned:  
– 1 Type -1 Record,  
– 1 Type -2 Record,  
– 1 Type -13 Record.  
The PMS TOT is summarised in Table A.6.1 (Appendix 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:  
– 1 Type -1 Record,  
– 1 Type -2 Reco rd. 
In case of a HIT, the following logical records will be returned:  
– 1 Type -1 Record,  
– 1 Type -2 Record,  
– 1 Type -4 or Type -15 Record.  
The MPS TOT is summarised in Table A.6.4 (Appendix 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 follow ing logical records will be returned:  
– 1 Type -1 Record,  
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966 
 – 1 Type -2 Record.  
In case of a HIT, the following logical records will be returned:  
– 1 Type -1 Record,  
– 1 Type -2 Record,  
– 1 Type -13 Record.  
The MMS TOT is summarised in Table A.6.4 (Appendix 6).  
SRE: This t ransaction 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 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 logi cal records will be returned:  
– 1 Type -1 Record,  
– 1 Type -2 Record.  
The ERR TOT is summarised in Table A.6.3 (Appendix 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:  
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967 
 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 r eference 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 2.  
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968 
 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 opt ional 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 s upported 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 LAW.PRUM.11 [Dactyloscopic data] and LAW.PRUM.12 
[Automated s earching of dactyloscopic data] 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 informatio n 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 severa l 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’ characte rs 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 mi nute, 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 informatio n 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.  
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 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 wi th. 
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 withi n 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 se quence 
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 Nu mber (CRN)  
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970 
 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. H owever, 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, tw o 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 LAW.PRUM.11 [Dactyloscopic data ]and LAW. PRUM.12 
[Automated searching of dactyloscopic data] 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 Nu mber (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 o r 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 (Fie ld 
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). 
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971 
 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/E rror 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  
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972 
 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:  
These error messages are related to the validation of the ANSI/N IST records and defined as:  
<error_code 1>: IDC <idc_number 1> FIELD <field_id 1> <dynamic text 1> LF  
<error_code 2>: IDC <idc_number 2> FIELD <field_id 2> <dynamic text 2>…  
where  
– error_code is a code uniquely related to a specific reason (see Table 3),  
– field_id is the ANSI/NIST field number of the incorrect field (e.g. 1.001, 2.001, …) in the 
format <record_type>.<field_id>.<sub_field_id>,  
– dynamic text is a more detailed dynamic description of the error,  
– LF is a Line Feed separating errors if more than o ne error is encountered,  
– for type -1 record the ICD is defined as ‘ -1’. 
Example:  
201: IDC - 1 FIELD 1.009 WRONG CONTROL CHARACTER {}{LF}} 115: IDC 0 FIELD 2.003 INVALID 
SYSTEM INFORMATION  
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.  
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 5. Type -4 Logical Record: High Resolution GreySca le 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 p ixels 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 Des ignation 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 Imp ression 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  
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974 
 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 t he 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 maxim um 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  
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975 
  
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 L ine 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 rec ords 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 im age data. 
For this implementation, a binary code 1 indicates that WSQ compression (Appendix 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 alg orithm 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 whi ch 
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 designate d 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  
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976 
 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 di rection) 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 bifurcati on. 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 es tablished 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.  
– a distance of 0,064" (the 32nd pixel);  
– the end of skeleton leg that occurs between a distance of 0,02" and 0,064" (the 10th 
through the 32nd pixels); shorter legs are not used;  
– a second bifurcation is encountered within a distance of 0,064" (before the 32nd pixel).  
Figure 4  
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977 
  
The angle of the minutiæ  is determined by constructing three v irtual 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)  

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978 
 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 infor mation 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 shal l 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 ite m 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 identificatio n 
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 i s 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)  
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979 
 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 s pecify 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 num ber 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 finge r 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 
recor d. 
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> char acter. 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 initialise d 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 bifurca tion. 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 document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
980 
 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 extractio n 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 fou r 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 liste d 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 i tem, 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 co re 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 pre sent 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 v alue 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 
Numbe
r Field 
name  Char 
type  Field size per 
occurrence  Occur  count  Max 
byte 
count  
min.  max.  min max  
LEN M 13.001  LOGICA
L N 4 8 1 1 15 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
981 
 RECOR
D 
LENGT
H 
IDC M 13.002  IMAGE 
DESIGN
ATION 
CHARA
CTER  N 2 5 1 1 12 
IMP M 13.003  IMPRES
SION 
TYPE  A 2 2 1 1 9 
SRC M 13.004  SOURC
E 
AGENC
Y/ORI  AN 6 35 1 1 42 
LCD M 13.005  LATENT 
CAPTU
RE 
DATE  N 9 9 1 1 16 
HLL M 13.006  HORIZO
NTAL 
LINE 
LENGT
H N 4 5 1 1 12 
VLL M 13.007  VERTIC
AL LINE 
LENGT
H N 4 5 1 1 12 
SLC M 13.008  SCALE 
UNITS  N 2 2 1 1 9 
HPS M 13.009  HORIZO
NTAL 
PIXEL 
SCALE  N 2 5 1 1 12 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
982 
 VPS M 13.010  VERTIC
AL 
PIXEL 
SCALE  N 2 5 1 1 12 
CGA  M 13.011  COMPR
ESSION 
ALGORI
THM  A 5 7 1 1 14 
BPX M 13.012  BITS 
PER 
PIXEL  N 2 3 1 1 10 
FGP M 13.013  FINGER 
POSITI
ON N 2 3 1 6 25 
RSV  13.014  
13.019  RESERV
ED FOR 
FUTUR
E 
DEFINIT
ION — — — — — — 
COM  O 13.020  COMM
ENT A 2 128 0 1 135 
RSV  13.021  
13.199  RESERV
ED FOR 
FUTUR
E 
DEFINIT
ION — — — — — — 
UDF  O 13.200  
13.998  USER -
DEFINE
D 
FIELDS  — — — — — — 
DAT M 13.999  IMAGE 
DATA  B 2 — 1 1 — 
Key for character type:  N = Numeric; A = Alphabetic; AN = Alphanumeric; B = Binary  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
983 
 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 Typ e-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 alph a-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 laten t 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 ch aracters 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
984 
 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 
providin g 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 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 e ntry 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’, f or ‘Unknown Palm’, shall be used to reference every 
listed palmprint position.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
985 
 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 13.20 0-998: 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 textua l 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 ima ge 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 consisten cy, 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 palmpr int 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 resolut ion 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 featu re 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
986 
 Any method used to acquire the palmprint image s 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 
image s. 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 contain ed 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 palm print 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 p alm 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 th e 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 limit s. 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’ inclu de 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 s hall 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: Ima ge 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 document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
987 
 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 CC YY 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 15.00 7: 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 s ampling 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. Field Field Char Field size per Occur count  Max 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
988 
 code  number  name  type  occurrence  byte 
count  
min.  max.  min max  
LEN M 15.001  LOGICA
L 
RECOR
D 
LENGT
H N 4 8 1 1 15 
IDC M 15.002  IMAGE 
DESIGN
ATION 
CHARA
CTER  N 2 5 1 1 12 
IMP M 15.003  IMPRES
SION 
TYPE  N 2 2 1 1 9 
SRC M 15.004  SOURC
E 
AGENC
Y/ORI  AN 6 35 1 1 42 
PCD M 15.005  PALMP
RINT 
CAPTU
RE 
DATE  N 9 9 1 1 16 
HLL M 15.006  HORIZO
NTAL 
LINE 
LENGT
H N 4 5 1 1 12 
VLL M 15.007  VERTIC
AL LINE 
LENGT
H N 4 5 1 1 12 
SLC M 15.008  SCALE N 2 2 1 1 9 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
989 
 UNITS  
HPS M 15.009  HORIZO
NTAL 
PIXEL 
SCALE  N 2 5 1 1 12 
VPS M 15.010  VERTIC
AL 
PIXEL 
SCALE  N 2 5 1 1 12 
CGA  M 15.011  COMPR
ESSION 
ALGORI
THM  AN 5 7 1 1 14 
BPX M 15.012  BITS 
PER 
PIXEL  N 2 3 1 1 10 
PLP M 15.013  PALMP
RINT 
POSITI
ON N 2 3 1 1 10 
RSV  15.014  
15.019  RESERV
ED FOR 
FUTUR
E 
INCLUSI
ON — — — — — — 
COM  O 15.020  COMM
ENT AN 2 128 0 1 128 
RSV  15.021  
15.199  RESERV
ED FOR 
FUTUR
E 
INCLUSI
ON — — — — — — 
UDF  O 15.200  USER -
DEFINE— — — — — — 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
990 
 15.998  D 
FIELDS  
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 b e compressed, this field shall contain the preferred method for the compression 
of tenprint fingerprint images. Valid compression codes are defined in Appendix 7.  
8.1.12.  Field 15.012: Bits per pixel (BPX)  
This mandatory ASCII field shall contain the numbe r 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 respect ively.  
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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
991 
 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 rese rved 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 c omments 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 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
992 
 by image data in a binary representation. Each pixel of uncompressed greyscale data shall normally 
be quantised to eight bits (256 grey levels) contained i n 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 specifie d 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:  
TP/TP: ten -print against ten -print  
LT/TP: fingerprint latent against ten -print  
LP/PP: palmprint latent against palmprint  
TP/UL: ten -print against unsolved fingerprint latent  
LT/UL: fingerprint latent against unsolved fingerprint latent  
PP/ULP : palmprint against unsolved palmprint latent  
LP/ULP: palmprint latent against unsolved palmprint latent  
 
9. Appendices to Chapter 2 (exchange of dactyloscopic data)  
9.1. Appendix 1: ASCII Separator Codes  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
993 
 ASCII  Position148 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  
 
9.2. Appendix 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:  
(YY * 108 + SSSSSSSS) Modulo 23  
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 f ollowing formula:  
(YY * 106 + NNNNNN) Modulo 23  
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 Lo ok-up Table  
1-A 9-J 17-T 
2-B 10-K 18-U 
3-C 11-L 19-V 
                                                            
148 This is the position as defined in the ASCII standard.  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
994 
 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 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 4: Transaction Summary  
Type 1 Record (mandatory)  
Identifier  Field number  Field name  CPS/PMS  SRE ERR 
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995 
 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 — 
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996 
 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 LAW.PRUM.11 [Dactyloscopic data] and LAW.PRUM.12 [Automated searching of 
dactyloscopic data])  
 
9.5. Appendix 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}
} 
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
997 
 VER M 1.002  Version 
Number  N 1.002:0300{}{GS
}} 
CNT M 1.003  File Content  N 1.003:1{}{US}}1
5{}{RS}}2{}{US}}
00{}{RS}}4{}{US}
}01{}{RS}}4{}{US
}}02{}{RS}}4{}{U
S}}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{}{R
S}}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 1.009:02000000
04F{}{GS}}  
TCR C 1.010  Transaction 
Control 
Reference  AN 1.010:02000000
04F{}{GS}}  
NSR M 1.011  Native Scanning AN 1.011:19.68{}{G
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998 
 Resolution  S}} 
NTR M 1.012  Nominal 
Transmitting  
Resolution  AN 1.012:19,68{}{G
S}} 
DOM  M 1.013  Domain Name  AN 1.013: INT -
I{}{US}}4,22{}{G
S}} 
GMT  M 1.014  Greenwich 
Mean Time  AN 1.014:20050101
125959Z  
 
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 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}}  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
999 
 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/22222
22222{}{GS}}  
MN1  C 2.012  Miscellaneous 
Identification 
Number  AN 2.012:E9999999
99{}{GS}}  
MN2  C 2.013  Miscellaneous 
Identification 
Number  AN 2.013:E9999999
99{}{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:Additiona
l Information 
123{}{GS}}  
RLS M 2.064  Respondents AN 2.064:CPS{}{RS}
}I{}{RS}}001/001
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1000  
 List {}{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}}  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1001  
  
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 7: Greyscale Compression Codes  
Compression Codes  
Compression  Value  Remarks  
Wavelet Scalar Quantisation Greyscale 
Fingerprint Image Compression 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 
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1002  
 Specification  
IAFIS -IC-0010(V3), dated 19 December 
1997  resolutions > 500dpi.  
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 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 aut omated 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:  
Mandatory (M):  
The data element has to be communicated when the information is availab le in a State's national 
register. Therefore there is an obligation to exchange the information when available.  
Optional (O):  
The data element may be communicated when the information is available in a State's national 
register. Therefore there is no oblig ation to exchange the information even when the information is 
available.  
An indication (Y) is given for each element in the data set where the element is specifically identified 
as important in relation with Article LAW.PRUM.15 [Automated searching of veh icle registration 
data].  
1.2. Vehicle/owner/holder search  
1.2.1.  Triggers for the search  
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1003  
 There are two different ways to search for the information as defined in the next paragraph:  
– by Chassis Number (VIN), Reference Date and Time (optional),  
– by License Pl ate Number, Chassis Number (VIN) (optional), Reference Date and Time 
(optional).  
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 ite ms 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 par ticipating 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 return ed 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/O149 Remarks  Prüm Y/N150 
Data relating to vehicles     
Licence number  M  Y 
Chassis number/VIN  M  Y 
Country of registration  M  Y 
Make  M (D.1151) e.g. Ford, Opel, Renault, Y 
                                                            
149 M = mandatory when available in national register, O = optional.  
150 All the attributes specifically allocated by the States are indicated with Y.  
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1004  
 etc. 
Commercial type of the vehicle  M (D.3) e.g. Focus, Astra, Megane  Y 
EU Category Code  M (J) mopeds, motorbikes, cars, etc.  Y 
 
1.2.2.2.  Complete data set  
Item  M/O152 Remarks  Prüm 
Y/N 
Data relating to 
holders of the 
vehicle   (C.1153) 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 
                                                                                                                                                                                         
151 Harmonised document abbreviation, see C ouncil Directive 1999/37/EC of 29 April 1999.  
152 M = mandatory when available in national register, O = optional.  
153 Harmonised document abbreviation, see Council Directive 1999/37/EC of 29 April 1999.  
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1005  
 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 pri nted 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 N 
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1006  
 company.  
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 sp ecific 
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 
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1007  
 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 2154 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 
 
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.  
                                                            
154 In Luxembourg two separate vehicle registration docume nt ID's are used.  
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1008  
 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' register s. 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 desi gn 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 t o 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 authent icate 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 diffe rent 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 r equests 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 depe nds 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 th e request is indicated.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1009  
 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 Adminis tration, 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 Cor e System, the logging level can be set.  
Logging Levels  
The following logging levels are possible:  
Private — Message is logged: The logging is NOT available to the extract logging service but is 
available on a national level only, for audits and problem sol ving.  
None — Message is not logged at all.  
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 Sy stem of State X) are the 
following:  
 1. Request to Core System_Request message by Client;  
 2. Request to Other State_Request message by Core System of this State;  
 3. Request to Core System of this State_Request message by Core System of other 
State;  
 4. Request to Legacy Register_Request message by Core System;  
 5. Request to Core System_Request message by Legacy Register;  
 6. Response from Core System_Request message by Client;  
 7. Response from Other State_Request message by Core System of this State;  
 8. Response from Core System of this State_Request message by other State;  
 9. Response from Legacy Register_Request message by Core System;  
 10. Response from Core System_Request message by Legacy Register.  
 The following information exchanges are shown i n Figure 5:  
* Information request from State X to State Y — blue arrows. This request and response 
consists of message types 1, 2, 7 and 6, respectively;  
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1010  
 * Information request from State Z to State X — red arrows. This request and response 
consists of message types 3, 4, 9 and 8, respectively;  
* Information request from the legacy register to its core system (this route also 
includes a request from a custom client behind the legacy register) — green arrows. 
This kind of request consists of message types 5 and 10.  
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 lev el 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 le gacy systems of States using XML. The following 
picture visualises this architecture.  

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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1011  
  
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 cert ificate 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 iden tified 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 sy stem 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
155 Remark  
Network 
concept  M The concept is an ‘any -to-any’ communication.  
Physical M TESTA  
                                                            
155 M = mandatory to use or to comply with O = optional to use or to comply with.  

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1012  
 network  
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 b y 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.  
 
3.2. Functional and Non -Functional Requirements  
3.2.1.  Generic fu nctionality  
In this section the main generic functions have been described in general terms.  
No Description  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1013  
 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 response s 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, s igning 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 que ues 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 acc ess 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 g ather 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.  
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1014  
  
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 repr oducible 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.  
 
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1015  
 3.2.4.  Performance  
No Description  
26. The system can be used 24x7. This time -window (24x7) is t hen 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 scaleabl e 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 mess ages 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 provi des 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 -
tunnelli ng. 
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).  
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1016  
 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. Du e 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 p rovides 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 ser vice-desk is required.  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1017  
 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 Descri ption  
54. The system is compliant with data protection issues as stated in Regulation EC 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 according to Article LAW.PRUM.18 [Ex ante evaluation]  
Article 1: Questionnaire  
1. The relevant Working Group of the Council of the European Union (the “Council Working 
Group”) shall draw up a questionnaire concerning each of the automated data exchanges set out in 
Articles LAW.PRUM.5 [Objective] to LAW.PRUM.17 [Implementing measures].  
2. As soon as the United Kingdom considers that it fulfils the prerequisites for sharing data in 
the relevant data category, it shall answer the relevant questionnair e. 
Article 2: Pilot run  
1. If required, and with a view to evaluating the results of the questionnaire, the United 
Kingdom shall carry out a pilot run together with one or more other Member States already sharing 
data under Decision 2008/615/JHA. The pilot run takes place shortly before or shortly after the 
evaluation visit.  
2. The conditions and arrangements for this pilot run shall be identified by the relevant Council 
Working Group and be based upon prior individual agreement with the United Kingdom. The Sta tes 
taking part in the pilot run shall decide on the practical details.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
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1018  
 Article 3: Evaluation visit  
1. With a view to evaluating the results of the questionnaire, an evaluation visit shall take 
place.  
2. The conditions and arrangement for this visit shall be id entified by the relevant Council 
Working Group and be based upon prior individual agreement between the United Kingdom and the 
evaluation team. The United Kingdom shall enable the evaluation team to check the automated 
exchange of data in the data category  or categories to be evaluated, in particular by organising a 
programme for the visit, which takes into account the requests of the evaluation team.  
3. Within one month of the visit, the evaluation team shall produce a report on the evaluation 
visit and shall  forward it to the United Kingdom for its comments. If appropriate, this report may be 
revised by the evaluation team on the basis of the United Kingdom’s comments.  
4. The evaluation team shall consist of no more than three experts, designated by the Member 
States taking part in the automated data exchange in the data categories to be evaluated, who have 
experience regarding the concerned data category, have the appropriate national security clearance 
to deal with these matters and are willing to take part in at least one evaluation visit in another 
State. The evaluation team shall also include a representative of the Commission.  
5. The members of the evaluation team shall respect the confidential nature of the information 
they acquire when carrying out their task . 
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 LAW.PRUM.18 [Ex ante 
evaluation] and this Chapter, the Council, through the relevant Council Wor king Group, will take into 
account the results of the evaluation procedures, carried out in the context of the adoption of 
Council Implementing Decisions (EU) 2019/968156 and (EU) 2020/1188157. The relevant Council 
Working Group will decide on the necessity of  carrying out the pilot run referred to in Article 
LAW.PRUM.18(1) [Ex ante evaluation], 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 
LAW.PRUM.18 [Ex ante evaluation].  
  
                                                            
156  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 L 156 , 13.6.2019, p. 8).  
157  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 L 265, 12.8.2020, p. 1).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1019  
 ANNEX LAW -2:  PASSENGER NAME RECORD DATA   
Passenger name record data elements (as far as collected by air carriers):  
1. PNR record locator;  
2. Date of reservation/issue of ticket;  
3. Date or dates of intended travel;  
4. Name or names;  
5. Address, telephone number and electronic contact information of the passenger, the persons 
who made th e 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;  
6. 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);  
7. Complete travel itinerary for specific PNR;  
8. 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);  
9. Travel agency/travel agent;  
10. Travel status of passenger, including confirmations, check -in status, no -show or go -show 
information;  
11. Split/divided PNR informatio n; 
12. Other Supplementary Information (OSI), Special Service Information (SSI) and Special Service 
Request (SSR) information;  
13. Ticketing field information, including ticket number, date of ticket issuance and one -way tickets, 
automated ticket fare quote fields ; 
14. Seat information, including seat number;  
15. Code share information;  
16. All baggage information;  
17. The names of other passengers on the PNR and number of passengers on the PNR travelling 
together;  
18. Any advance passenger information (API) data collected (type, numb er, 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);  
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1020  
 19. All histori cal changes to the PNR listed in points 1 to 18.   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1021  
 ANNEX LAW -3: FORMS OF CRIME FOR WHICH EUROPOL IS COMPETENT  
— Terrorism,  
— Organised crime,  
— Drug trafficking,  
— Money -laundering activities,  
— Crime connected with nuclear and radioactive substances,  
— Immigrant smuggling,  
— Trafficking in human beings,  
— Motor vehicle crime,  
— Murder and grievous bodily injury,  
— Illicit trade in human organs and tissue,  
— Kidnapping, illegal restraint and hostage -taking,  
— Racism and xenophobia,  
— Robbery and aggravated theft,  
— Illicit trafficking in cultural goods, including antiquities and works of art,  
— Swindling and fraud,  
— Crime against the financial interests of the Union,  
— Insider dealing and financial market manipulation,  
— Racketeering and extortion,  
— Counterfeiting and product piracy,  
— Forgery of administrative documents and trafficking therein,  
— Forgery of money and means of payment,  
— Computer crime,  
— Corruption,  
— Illicit trafficking in arms, ammunition and explosives,  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1022  
 — Illicit trafficking in endangered animal species,  
— Illicit trafficking in endangered plant species and varieties,  
— Environmental crime, including ship -source pollution,  
— Illicit trafficking in hormonal substances and other growth promoters,  
— Sexual abuse and sexual exploitation, including child abuse mate rial and solicitation of children 
for sexual purposes,  
— Genocide, crimes against humanity and war crimes.   
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1023  
 ANNEX LAW -4: FORMS OF SERIOUS CRI ME FOR WHICH EUROJUS T IS COMPETENT  
— Terrorism,  
— Organised crime,  
— Drug trafficking,  
— Money -laundering activities,  
— Crime connected with nuclear and radioactive substances,  
— Immigrant smuggling,  
— Trafficking in human beings,  
— Motor vehicle crime,  
— Murder and grievous bodily injury,  
— Illicit trade in human organs and tissue,  
— Kidnapping, illegal restraint and hostage taking,  
— Racism and xenophobia,  
— Robbery and aggravated theft,  
— Illicit trafficking in cultural goods, including antiquities and works of art,  
— Swindling and fraud,  
— Crime against the financial interests of the Uni on,  
— Insider dealing and financial market manipulation,  
— Racketeering and extortion,  
— Counterfeiting and product piracy,  
— Forgery of administrative documents and trafficking therein,  
— Forgery of money and means of payment,  
— Computer crime,  
— Corruption,  
— Illicit trafficking in arms, ammunition and explosives,  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1024  
 — Illicit trafficking in endangered animal species,  
— Illicit trafficking in endangered plant species and varieties,  
— Environmental crime, including ship source pollution,  
— Illicit trafficking in hormonal  substances and other growth promoters,  
— Sexual abuse and sexual exploitation, including child abuse material and solicitation of children 
for sexual purposes,  
— Genocide, crimes against humanity and war crimes.  
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1025  
 ANNEX LAW -5: 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.158 
 
(a)  Information regardin g 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:   
                                                            
158 This warrant must be written in, or transla ted into, one of the official languages of the executing State, 
when that State is known, or any other language accepted by that State.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1026  
  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 unequivoc ally 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;  
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1027  
 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 o r 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 wit hin 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:  
………………………………………………………………………………………………… ………………………………………
……………………………………………………  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1028  
  
(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 LAW.SURR.79(4) [Scope] 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 thre e 
years:  
 ☐ participation in a criminal organisation,  
☐ terrorism as defined in Annex LAW -7 of the Agreement,  
☐ trafficking in human beings,  
☐ sexual exploitation of children and child pornography,  
☐ illicit trafficking in narcotic drugs and psy chotropic 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 t he proceeds of crime,  
☐ counterfeiting of currency,  
☐ computer -related crime,  
☐ environmental crime, including illicit trafficking in endangered animal species and in 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1029  
 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 Internationa l Criminal Court,  
☐ unlawful seizure of aircraft, ships or spacecraft,  
☐ sabotage.  
II. Full descriptions of offence(s) not covered by section I above:  
  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1030  
  
(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 -exec ution of such penalty 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1031  
 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)   
                                                            
1 In the different language versions a reference to the "holder" of the judicial authority will be included.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1032  
  E-mail:   
 Signature of the issuing judicial 
authority and/or its 
representative:   
 Name:   
 Post held (title/grade):   
 Date:   
 Official stamp (if available):  
 
 
 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1033  
 ANNEX LAW -6: EXCHANGE OF CRIMINAL  RECORD INFORMATION –  TECHNICAL AND PRO CEDURAL 
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 [Exchange of criminal record information]  of Part Three.  
Article  2: Communications network  
1. The electronic e xchange of information extracted from the criminal record between, on the 
one side, a Member State and, on the other side, the United Kingdom shall take place using a 
common communication infrastructure that provides for encrypted communications.    
2. The co mmon communication infrastructure shall be the Trans European Services for 
Telematics between Administrations (TESTA) communications network. Any further developments 
thereof or any alternative secure network shall ensure that the common communication 
infrastructure in place continues to fulfil the security requirements adequate for the exchange of 
criminal record information.  
Article  3: Interconnection software  
1. The States shall use a standardised interconnection software enabling the connection of 
their ce ntral authorities to the common communication infrastructure in order to exchange the 
information extracted from the criminal record with the other States electronically in accordance 
with the provisions of Title IX [Exchange of criminal record information ] of Part Three and this 
Annex.  
2. For the Member States, the interconnection software shall be the ECRIS reference 
implementation software or their national ECRIS implementation software, if necessary adapted for 
the purposes of information exchange with the  United Kingdom as set out in this Agreement.  
3. The United Kingdom shall be responsible for the development and operation of its own 
interconnection software. For that purpose, at the latest before the entry into force of this 
Agreement, the United Kingdom shall ensure that its national interconnection software functions in 
accordance with the protocols and technical specifications established for the ECRIS reference 
implementation software, and with any further technical requirements established by eu -LISA.  
4. The United Kingdom shall also ensure the implementation of any subsequent technical 
adaptations to its national interconnection software required by any changes to the technical 
specifications established for the ECRIS reference implementation software, o r changes to any 
further technical requirements established by eu -LISA, without undue delay. To that end, the Union 
shall ensure that the United Kingdom is informed without undue delay of any planned changes to 
the technical specifications or requirements and is provided with any information necessary for the 
United Kingdom to comply with its obligations under this Annex.  
Article  4: Information to be transmitted in notifications, requests and replies  
1. All notifications referred to in Article LAW.EXINF.123 [Notifications] shall include the 
following obligatory information:  
(a) information on the convicted person (full name, date of birth, place of birth (town and State), 
gender, nationality and – if applicable – previous name(s));  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1034  
 (b) information on the nature of th e conviction (date of conviction, name of the court, date on 
which the decision became final);  
(c) 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 a s reference to the applicable 
legal provisions); and  
(d) 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).  
2. The foll owing 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)):  
(a) the convicted person’s parents’ names;  
(b) the refere nce number of the conviction;  
(c) the place of the offence;  
(d) disqualifications arising from the conviction;  
(e) the convicted person’s identity number, or the type and number of the person’s identification 
document;  
(f) fingerprints, which have been taken from that per son;  
(g) if applicable, pseudonym and/or alias(es);  
(h) facial image.  
In addition, any other information concerning convictions entered in the criminal record may be 
transmitted.  
3. All requests for information referred to in Article LAW.EXINF.125 [Requests for infor mation] 
shall be submitted in a standardised electronic format according to the model form set out in 
Chapter 2 [FORMS] of this Annex, in one of the official languages of the requested State.  
4. All replies to requests referred to in Article LAW.EXINF.126 [Re plies to requests] shall be 
submitted in a standardised electronic format in accordance with the model form set out in Chapter 
2 [FORMS] of this Annex, and accompanied by a list of convictions, as provided for by national law. 
The requested State shall rep ly either in one of its official languages or in any other language 
accepted by both Parties. The United Kingdom , on the one side, and the Union, on behalf of any of 
its Member States, on the other side, may notify to the Specialised Committee on Law Enfor cement 
and Judicial Cooperation which language(s) it accepts in addition to the official language(s) of that 
State.  
5. The Specialised Committee on Law Enforcement and Judicial Cooperation shall adopt any 
modifications to the forms in Chapter 2 [FORMS] of thi s Annex referred to in paragraphs 3 and 4 as 
may be necessary.  
Article  5: Format of transmission of information  
1. When transmitting information in accordance with Article LAW.EXINF.123 [Notifications] 
and Article LAW.EXINF.126 [Replies to requests] relating to the name or legal classification of the 
offence and to the applicable legal provisions, the States shall refe r to the corresponding code for 
each of the offences referred to in the transmission, as provided for in the table of offences in 
Chapter 3 [STANDARISED FORMAT OF TRANSMISSION OF INFORMATION] of this Annex. By way of 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1035  
 exception, if the offence does not corr espond to any specific sub -category, the ‘open category’ code 
of the relevant or closest category of offences or, in the absence of the latter, an ‘other offences’ 
code, shall be used for that particular offence.  
2. The States may also provide available information relating to the level of completion and the 
level of participation in the offence and, if applicable, to the existence of total or partial exemption 
from criminal responsibility, or to recidivism.  
3. When transmitting information in accordance wit h Article LAW.EXINF.123 [Notifications] 
and Article LAW.EXINF.126 [Replies to requests] relating to the contents of the conviction, notably 
the sentence as well as any supplementary penalties, security measures and subsequent decisions 
modifying the enforc ement of the sentence, the States shall refer to the corresponding code for 
each of the penalties and measures referred to in the transmission, as provided for in the table of 
penalties and measures in Chapter 3 [STANDARISED FORMAT OF TRANSMISSION OF INFOR MATION] 
of this Annex. By way of exception, if the penalty or measure does not correspond to any specific 
sub-category, the ‘open category’ code of the relevant or closest category of penalties and measures 
or, in the absence of the latter, an ‘other penal ties and measures’ code, shall be used for that 
particular penalty or measure.  
4. The States shall also provide, if applicable, available information relating to the nature 
and/or conditions of execution of the penalty or measure imposed as provided for in th e table of 
parameters of Chapter 3 [STANDARISED FORMAT OF TRANSMISSION OF INFORMATION] of this 
Annex. The parameter ‘non -criminal ruling’ shall be indicated only in cases where information on 
such a ruling is provided on a voluntary basis by the State of n ationality of the person concerned, 
when replying to a request for information on convictions.  
5. 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:  
(a) the list of national offences in each of the categories referred to in the table of offences in 
Chapter 3 [STANDARISED FORMAT OF TRANSMISSION OF INFORMATION] 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;  
(b) the list of types of sentences, possible supplementary penalties and security measure s 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 [STANDARISED FORMAT OF TRANSMISSION OF INFORMATION] of this Annex. It may 
also include a short description of the specific penalty or measure.  
6. The lists and descriptions referred to in paragraph 5 shall be regularly updated by the States. 
Updated information shall be sent to the Specialised Committee on Law Enforce ment and Judicial 
Cooperation.  
7. The Specialised Committee on Law Enforcement and Judicial Cooperation shall adopt any 
modifications to the tables in Chapter 3 [STANDARISED FORMAT OF TRANSMISSION OF 
INFORMATION] of this Annex referred to in paragraphs 1 to 4  as may be necessary.  
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 allowi ng 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1036  
 the central authority of the requested State to establish the authenticity thereof, for the entire 
period of such unavailability.  
Article  7: Statistics and reporting  
1. An evaluation of the electronic exchange of information extracted from criminal records  
pursuant to Title IX [Exchange of criminal record information] of Part Three shall be carried out on a 
regular basis. The evaluation shall be based on the statistics and reports of the respective States.  
2. Each State shall compile statistics on the exchange  generated by the interconnection 
software and shall forward them every month to the Specialised Committee on Law Enforcement 
and Judicial Cooperation and to eu -LISA. The States shall also provide the Specialised Committee on 
Law Enforcement and Judicial C ooperation and eu -LISA with the statistics on the number of 
nationals of other States convicted on their territory and on the number of such convictions.  
Article  8: Technical specifications  
The States shall observe common technical specifications on the el ectronic 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 th e criminal record  
(a) 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:  
 
(b) 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):  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1037  
 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:  
 
(c) 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 co nsent 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1038  
 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 t he 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 indicat e 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 – STANDARDISED 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  [Format of transmission of information]  
 
Code  Categories and sub -categories of offences  
0100  00 
open 
category  Crimes within the jurisdiction of the International Criminal Court  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1039  
 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1040  
 0404  00 Trafficking in human beings for the purposes of slavery, practices similar to s lavery 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 traff icking 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 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1041  
 thereof  
0605  00 Unintentional environmental offence s 
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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1042  
 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 deprivati on 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1043  
 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1044  
 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 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1045  
 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 proce dures  
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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1046  
 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 a n 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1047  
 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 
cate gory  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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1048  
 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 narc otic 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 activi ty 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1049  
 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 uninte ntional 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1050  
 (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 [Format of transmission of information]  
Code  Categories and sub -categories of penalties and measures  
1000  
open 
category  Depriv ation of freedom  
1001  Imprisonment  
1002  Life imprisonment  
2000  
open 
category  Restriction of personal freedom  
2001  Prohibition from frequenting some places  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1051  
 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1052  
 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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1053  
 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) 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1054  
 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  
 
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  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1055  
 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  (7) 
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  (8) 
 
(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.  
(7)  Does not lead to avoidance of enforcement of penalty.  
(8)  This parameter will be indicated only when such information is prov ided in reply to the request 
received by the State of nationality of the person concerned.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1056  
   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1057  
 ANNEX LAW -7: DEFINITION OF TERROR ISM 
1. Scope  
For the purposes of Title IX [Exchange of criminal record information] of Part Three , point (b) of 
Article LAW.SURR.79(3) [Scope], Article LAW.SURR.79(4) [Scope], point (c) of Article LAW.SURR.82(2) 
[Political offence exception], point (a) of Article LAW.CONFISC.15(2) [Grounds for refusal], ANNEX 
LAW -5 [ARREST WARRANT] and ANNEX LAW -8 [Freezing and Confiscation ], “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 conce rt 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 str ucture.  
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:  
(a) attac ks upon a person’s life which may cause death;  
(b) attacks upon the physical integrity of a person;  
(c) kidnapping or hostage -taking;  
(d) causing extensive destruction to a government or public facility, a transport system, an 
infrastructure facility, including an inf ormation 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;  
(e) seizure of aircraft, ships or other means of public or goods transport;  
(f) manufacture, poss ession, 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;  
(g) release of dangero us substances, or causing fires, floods or explosions, the effect of which is 
to endanger human life;  
(h) interfering with or disrupting the supply of water, power or any other fundamental natural 
resource, the effect of which is to endanger human life;  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
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1058  
 (i) seriou sly 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 righ t, in cases 
where : 
i. a significant number of information systems have been affected through the use of a 
tool designed or adapted primarily for that purpose;  
ii. the offence causes serious damage;  
iii. the offence is committed against a critical infrastructure information system;  
(j) 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 infrastr ucture information system;  
(k) threatening to commit any of the acts listed in points (a) to (j).  
3.2. The aims referred to in paragraph 3.1 are:  
(a) seriously intimidating a population;  
(b) unduly compelling a government or an international organisation to perform or abs tain from 
performing any act;  
(c) 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: 
(a) directing a terrorist group;   
(b) 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1059  
 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 
contribut ing 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 t he 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 receiv ing training for terrorism as referred to in paragraphs 7  and 8 when 
committed intentionally.  
9.2. In addition, the following conduct when committed intentionally:  
 (a) 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 suc h 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 
 (b) 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 terroris m 
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 inten tionally.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1060  
 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 fac t 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 activ ities 
The following intentional acts:  
(a) aggravated theft with a view to committing one of the offences listed in paragraph 3; 
(b) extortion with a view to committing one of the offences listed in paragraph 3; 
(c) 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 referre d 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:  
(a) aiding and abetting  an offence referred to in paragraphs 3 to 8, 11  and 12; 
(b) inciting  an offence referred to in paragraphs 3 to 12 ; and  
(c) attempting  to commit an offence referred  to in paragraphs 3, 6, 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. 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1061  
 ANNEX LAW -8: FREEZING AND CONFISC ATION  
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 LAW.CONFISC.8 [Obligation to take provisional 
measures] 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 conc erned, please provide the information for each person):  
 
1. Natural person:   
 
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:     
Language(s)  which  the person  understands:     
Please  indicate  whether  this person  has the freezing  request  directed  against  him or her or owns  the property  that is 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1062  
 covered  by the freezing  request:   
 
2. Legal person:  
 
Name:    
Form  of legal  person:    
Shortened  name,  commonly  used  name  or trading  name,  if applicable:     
Registered  seat:    
Registration  number:    
Address  of the legal  person:    
Name  of the legal  person’s  representative:    
Please  indicate  whether  this legal  person  has the freezing  request  directed  against  it or owns  the property  that is 
covered  by the freezing  request:   
 
If different  from the address  above,  please  give the location  where  the freezing  measure  is to be carried  out:      
 
3. Third parties:  
 
(i) 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:  
 
(ii) In case third parties have had the opportunity to claim rights, attach documents demonstrating that this has been 
the case.  
 
4. 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:  
1. If relating to an amount of money:  
 
(i) Grounds for believing that the person has property/income in the requested State  
 
(ii)  Description and location of the property/source of income of that person  
 
(iii) Exact location of the property/source of income of that person  
 
(iv) Details of the bank account of that person (if known)  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1063  
 2. If the freezing request concerns specific item(s) of property (or property of equivalent value to such property):  
 
(i)    Grounds for believing th at the specific item(s) of property is located in the requested State  
 
(ii)    Description and location of the specific item(s) of property  
 
(iii)   Other relevant information  
 
3. 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:  
 
1. 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.       
 
 
 
 
 
 
 
 
 
 
2. Nature and legal classification of the criminal offence(s) in relation to which the freezing request relates or the 
order wa s issued and the applicable legal provision(s).  
 
 
 
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1064  
  
 
 
 
3. The following applies only in the case(s) where both the requesting and requested State have made a 
notification under Article LAW.CONFISC.15 [Grounds for refusal)] (2) of the Agreement: if applicab le, 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 c oncerns 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 LAW -7 [Definition of terrorism]  
 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, includi ng 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 xenopho bia 
 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  
 
4. 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:  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1065  
 SECTION G: Requests to more than one State  
Where a freezing request has been transmitted to more than one State, provide the following information:  
 
1. A freezing request has been transmitted to the following other State(s) (State and authority):  
 
 
2. Please indicate the reasons for transmitting freezing requests to multiple States:  
 
 
3. Value of assets, if known, in each requested State:  
 
 
4. 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:  
 
1. Date of request or issue and transmission of order:  
 
2. Authority to which it was transmitted:  
 
3. 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):  
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1066  
  
 
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:  
 
1. Type of issuing authority:  
 
 judge, court, public prosecutor  
 
 another competent authority designated by the requesting State  
 
2. Contact details:  
 
Official name of the issuing authority:    
Name of its representative:    
Post held (title/grade):    
File no:   
Address:     
Tel. No: (country code) (area/city code)   
Fax No: (country co de) (area/city code)   
E-mail:   
Languages in which it is possible to communicate with the issuing authority:   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1067  
  
 
Signature of the issuing authority and/or its representative certifying the content of the Freezing/Provisional Measures 
Request Form as accurate and correct:  
 
Name:   
Post held (title/grade):   
Date:   
 
Official stamp (if available):   
 
 
 
 
 
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  
 
Official name of the validating authority:    
Name of its representative:    
Post held (title/grade):    
File no:   
Address:     
Tel. No: (country code) (area/city code)   
Fax No: (country code) (area/city code)   
E-mail:   
Languages in which it is possible to communicate with the competent authority:   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1068  
  
SECTION M: Central Authority  
Please indicate the central authority responsible for the administrative transmission and receipt of freezing requests in 
the requesting State:  
 
Official name of the central authority:    
Name of its representative:    
Post held (title/grade):    
File no:   
Address:     
Tel. No: (country code) (area/city code)   
Fax No: (country code) (area/city code)   
E-mail:   
Languages in which it is possible  to communicate with the competent authority:   
 
 
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:  
Name/Title/Organisation:   
Address:   
E-mail/Contact Phone No:   
 
SECTION O: Annexes  
The original or d uly 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.  
 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1069  
 Confiscation Request Form  
 
SECTION A  
Requesting State: ........................................................................................................... ........................  
 
Requested State: ....................................................................................... .............................................  
 
SECTION B: Confiscation order  
Date of issue: .............................................................................................................. .............................  
Date order became fina l: ..........................................................................................................................  
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 r elation 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 pe rsons  
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):  
1. Natural person:   
 
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:     
Language(s)  which  the person  understands:     
Please  indicate  whether  this person  has the confiscation  request  directed  against  him or her or owns  the property  that is 
covered  by the confiscation  request:   
 
2. Legal person:  
 
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 Name:    
Form  of legal  person:    
Shortened  name,  commonly  used  name  or trading  name,  if applicable:     
Registered  seat:    
Registration  number:    
Address  of the legal  person:    
Name  of the legal  person’s  representative:    
If different  from the address  above,  please  give the location  where  the confiscation  request  is to be carried  out:      
 
3. Third parties:  
 
(i)   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:  
 
(ii)   In case third parties have had the opportunity to claim rights, attach documents demonstrating that this has been the 
case.  
 
4. Provide any othe r 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:  
 
1. If relating to amount of money:  
 
(i) Grounds for believing that the person has property/income in the requested State:  
 
  
(ii) Description and location of the property/source of income:  
 
 
2. If the request concerns specific item(s) of property:  
 
(i) Grounds for believing that the specific item(s) of property is/are located in the requested State:  
 
 
(ii) Description and location of the specific item(s) of property:  
 
 
3. Value of property:  
 
(i) Total amount of request (approximate amount):  
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1071  
  
(ii) Total amount requested for execution in the requested State (approximate amount):  
 
(iii) If specific type(s) of property, description and location of property:  
 
 
SECTION E: Grounds for confiscation  
    Summary o f the facts:  
1. 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 da te, place and circumstances of the offence):  
 
 
 
 
 
 
 
 
 
 
 
2. Nature and legal classification of the offence(s) in relation to which the confiscation order was issued and the 
applicable legal provision(s):  
 
 
 
 
 
 
 
 
3. The following applies only in the case where both the requesting and requested State have made a notification under 
Article LAW.CONFISC.15 [Grounds for refusal] (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 lis t of criminal offences below (corresponding to the criminal offences as 
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1072  
 described under points 1 and 2 above):  
 
 participation in a criminal organisation  
 terrorism as defined in Annex LAW -7 [Definition of terrorism]  
 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 gr owth 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  
 
4. 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:  
 
 eed to maintain the  
SECTION G: Requests to more than one State  
Where a confiscation request has been transmitted to more than one State, provide the following information:  
1. A confiscation request has been transmitted to the following other State(s) (State  and authority):  
 
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1073  
 2. Reasons for transmitting confiscation request to multiple States (select appropriate reasons):  
 
(i) 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  
 
(ii) 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:  
 
 
3. Value of assets, if known, in each requested State:  
 
 
 
4. If confiscation of the specific item(s) of property requires a ction 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  
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1074  
 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 compen sation  
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:  
 
Issuing  authority  (official  name):  
Date  of the decision:  
Reference  number  of the decision  (if available):  
Description  of the property  to be restituted  or amount  awarded  in compensation:  
Name  of the victim:  
Address  of 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:  
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1. Type of the issuing authority:  
 
 judge, court, public prosecutor  
 
 another competent authority designated by the requesting State  
 
2. Contact details:  
 
Official name of the issuing authority:    
Name of its representative:    
Post held (title/grade):    
File no:   
Address:     
Tel. No: (country code) (area/city code)   
Fax No: (country code) (area/city code)   
E-mail:   
Languages in which it is possible to communicate with the issuing authority:   
 
 
Signature of the issuing authority and/or its representative certifying the content of the Confiscation Request Form as 
accurate and correct:  
 
Name:   
Post held (title/grade) :   
Date:   
 
Official stamp (if available):   
 
 
 
 
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1076  
  
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  
 
Official name of the validating authority:    
Name of its representative:    
Post held (title/grade):    
File no:   
Address:     
Tel. No: (country code) (area/city code)   
Fax No: (country code) (area/city code)   
E-mail:   
Languages in which it is possible to communicate with the competent authority:   
 
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:  
Official name of the central authority:    
Name of its representative:    
Post held (title/grade):    
File no:   
Address:     
Tel. No: (country code) (area/city code)  
Fax No: (country code) (area/city code)   
E-mail:   
Languages in which it is possible to communicate with the competent authority:   
 
 
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 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 regardi ng 
this Confiscation Request Form:  
 
Name/ Title/ Organisation:   
Address:   
E-mail/Contact Phone No:   
 
SECTI ON P: Annexes  
The original or duly authenticated copy of the confiscation order must be provided with the Confiscation Request Form.  
 
 
  
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1078  
 ANNEX UNPRO -1: 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:  
(a) the a mounts 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 Protocol I [Programmes and activities in which the United Kingdom 
participates] of this Agreement and, if relevant, the amount of external assigned 
appropriations that do not result from financial contribution from other donors on these 
budget lines;  
(b) the amount of the participation fee referred to in Article UNPRO.2.1 (4)[F inancial conditions] 
of this Agreement;  
(c) from year N+1 of implementation of a programme included in the Protocol referred to in 
Article UNPRO.1.3 [Establishment of the participation] of this Agreement, the implementation 
of commitment appropriations corresp onding to budgetary year N and the level of 
decommitment;  
(d) for programmes to which Article UNPRO.2.2 [Programmes to which an automatic correction 
mechanism applies] 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 indi cated 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.  
4. By derogation from paragraphs 2 and 3, for the year 2021 in which the Protocol referred to 
in Article UNPRO.1.3 [Establishment of the participation] of this Agreement is concluded, the 
Commission shall issue a call for funds at the latest on 16 April 2021 if the Protocol is signed on or 
before 31 March 2021, or at the latest on the 16th of the m onth following the month in which the 
Protocol was signed if it is signed after 31 March 2021. If that call for funds is issued after 16 July of 
the year in question, there shall be a single call for funds for this year. The United Kingdom shall pay 
the am ount 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.  
5. The call for funds for a given year shall have the value established by dividing t he annual 
amount calculated in application of Article UNPRO.2.1 [Financial conditions] of this Agreement, 
including any adjustment under Article UNPRO.2.1 (8) [Financial conditions] of this Agreement, 
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1079  
 under Article UNPRO.2.2 [Programmes to which an automat ic correction mechanism applies]of this 
Agreement or UNPRO.2.3 [Financing in relation to programmes implemented through financial 
instruments or budgetary guarantees] of this Agreement, by the number of calls for funds for that 
year pursuant to paragraphs 2 and 4 of this Annex.  
6. By derogation from paragraph 5, in relation to the contribution to Horizon Europe for the 
multiannual financial framework 2021 -2027, the call for funds for a given year N shall have the value 
established by dividing:  
(a) the annual amou nt calculated  
i. by applying the following payment schedule for payments if year N is:  
-2021: 50% paid in 2021, 50% paid in 2026  
-2022: 50% paid in 2022, 50% paid in 2027  
ii. on the amount resulting from the application of Articles UNPRO.2.1 [Financial 
conditions ] and UNPRO.2.2 [Programmes to which an automatic correction mechanism 
applies] of this Agreement, including any adjustment under  Article UNPRO.2.1 (8) 
[Financial conditions] or Article UNPRO.2.2 [Programmes to which an automatic 
correction mechanism appl ies] of this Agreement for that year N, by  
(b) the number of calls for funds for that year N pursuant to paragraphs 2 and 4:  
The application of this paragraph has no bearing on establishing the calculation of the automatic 
correction under Articles UNPRO.2.2 [ Programmes to which an automatic correction mechanism 
applies] and UNPRO.3.4 [Performance review].  
For all the calculations of other amounts related to Part V of this Agreement, the annual contribution 
of the United Kingdom shall take into account this pa ragraph.  
7. Where the participation of the United Kingdom is terminated pursuant to Article UNPRO.3.2 
[Termination of the participation of the United Kingdom in a Union programme by the Union] or 
Article UNPRO.3.3. [Termination of the participation in a progr amme in the case of substantial 
modification of Union programme] of this Agreement any payments in relation to the period before 
the termination takes effect, which were postponed in accordance with paragraph 6 of this Annex, 
shall become due. The Commissi on shall issue a call for funds in relation to the amount due at the 
latest one month after the termination takes effect. The United Kingdom shall pay this due amount 
within 60 days of the issue of the call for funds.  
8. The Regulation (EU, Euratom) 2018/104 6 of the European Parliament and of the Council  
159(‘Financial Regulation’) applicable to the general budget of the European Union shall apply to the 
management of the appropriations.  
                                                            
159  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 130 4/2013, (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).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
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1080  
 9. In the absence of payment by the United Kingdom by the due date, the Commi ssion 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 Europe an 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.  
 
 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
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 ANNEX INST: RULES  OF PROCEDURE FOR DISPUTE SETTLEMENT  
I. Definitions  
1. For the p urposes of Title I [Dispute Settlement] of Part Six  of this Agreement and of these 
Rules of Procedure, the following definitions  apply:  
(a) "administrative staff", in respect of an arbitrator, means individuals under the direction and 
control of an arbitrator, other than assistants;  
(b) “adviser” means  an individual retained by a Party to advise or assist that Party in connection 
with the arbitration proceedings;  
(c) “arbitration tribunal” means a tribunal established under Article INST.15 [Esta blishment of an 
arbitration tribunal] of Title I [Dispute Settlement] of Part Six  of this Agreement ; 
(d) “arbitrator” means a member of the arbitration tribunal;  
(e) “assistant” means an individual who, under the terms of appointment and under the direction 
and c ontrol of an arbitrator, conducts research or provides assistance to that arbitrator;  
(f) “complaining Party” means any Party that requests the establishment of an arbitration 
tribunal under Article INST.14 [Arbitration Procedure] of Title I [Dispute Settlemen t] of Part Six  
of this Agreement ; 
(g)  “registry” means an external body with relevant expertise appointed by the Parties to provide 
administrative support for the proceedings;  
(h) “respondent Party” means the Party that is alleged to be in violation of the covere d 
provisions; and  
(i) “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 suppleme nting agreement.  
II.  Notifications  
2. Any request, notice, written submission or other document of:  
(a) the arbitration tribunal shall be sent to both Parties at the same time;  
(b) a Party, which is addressed to the arbitration tribunal, shall be copied to the other Party at the 
same time; and  
(c) 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.  
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1082  
 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 perio d for the delivery of the 
document shall end on the first following working day.  
III.  Appointment of arbitrators  
7. If pursuant to Article INST.15 (Establishment of an arbitration tribunal) of Title I [Dispute 
Settlement] of Part Six  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 
durin g 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 
INST.15(2) [Establishment of an arbitration tribunal] of Title I [Dispute Settlement] of Part Six of this 
Agreement , if any of the sub -lists referred in para graph 1 of Article INST.27 [List of arbitrators] of 
Title I [Dispute Settlement] of Part Six of this Agreement : 
(a) is not established, amongst those individuals who have been formally proposed by one or 
both Parties for the establishment of that particular su b-list; or  
(b) no longer  contains at least five individuals, amongst those individuals who remain on that 
particular sub -list.  
9a. The Parties may appoint a registry to assist in the organisation and conduct of specific 
dispute settlement proceedings on the b asis of ad -hoc arrangements or on the basis of 
arrangements adopted by the Partnership Council pursuant to Article INST.34A [Annexes] of Title I 
[Dispute Settlement] of Part Six of this Agreement . To that end, the Partnership Council shall 
consider no late r 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  
10. 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:  
(a) if not determined earlie r, the remuneration and expenses to be paid to the arbitrators, which 
shall in any case be in accordance with WTO standards;  
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1083  
 (b) the remuneration to be paid to assistants; the total amount of the remuneration of an 
assistant or assistants of each arbitrator s hall not exceed 50% of the remuneration of that 
arbitrator;  
(c) the timetable of the proceedings; and  
(d) 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  
11. 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  
12. The chairperson of the arbitration tribunal shall preside at all its meetings. The arbitration 
tribunal may delegate to the ch airperson the authority to make administrative and procedural 
decisions.  
13. Unless otherwise provided in Title I [Dispute Settlement] 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.  
14. 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.  
15. The drafting of any decision and report shall remain the exclusive responsibility of the 
arbitration tribunal and shall not be delegated.  
16. Where a procedural question arises that is not covered by Title I [Dispute Settlement] 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.  
17. 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 [Dispute Settlement] 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 t he reasons for the change or 
adjustment and of the time period or adjustment needed.  
VII. Replacement  
18. When a Party considers that an arbitrator does not comply with the requirements of Annex 
INST -X (Code of Conduct for arbitrators) 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.  
19. The Parties shall consult within 15 days of the no tification referred to in rule 18. 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 
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No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1084  
 arbitrato r in accordance with Article INST.15 (Establishment of an arbitration tribunal) of Title I 
[Dispute Settlement] of Part Six  of this Agreement .  
20. If the Parties fail to agree on the need to replace the arbitrator, other than the chairperson 
of the arbitr ation 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 
requirem ents of Annex INST -X (Code of Conduct for arbitrators), the new arbitrator shall be selected 
in accordance with INST.15 (Establishment of an arbitration tribunal) of Title I [Dispute Settlement] 
of Part Six  of this Agreement . 
21. If the Parties fail to agr ee 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 INST.27 (Lists of arbitrators) of Title I [Dispu te Settlement] 
of Part Six  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 sh all be final.  
If this person finds that the chairperson does not comply with the requirements of Annex INST -X 
(Code of Conduct for arbitrators), the new chairperson shall be selected in accordance with Article 
INST.15 (Establishment of an arbitration trib unal) of Title I [Dispute Settlement] of Part Six  of this 
Agreement . 
VIII. Hearings  
22. On the basis of the timetable determined pursuant to rule 10, after consulting with the 
Parties and the other arbitrators, the chairperson of the arbitration tribunal s hall 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.  
23. Unless the Parties agree otherwise, the hea ring 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.  
24. The arbitration tribunal may convene additional hearings if the Parties so agree.  
25. All arbitrators shall be present during the entirety of the hearing.  
26. Unless the Parties agree otherwise, the following persons may attend the hearing, 
irrespective of whether the hea ring is open to the public or not:  
(a) representatives of a Party;  
(b) advisers;  
(c) assistants and administrative staff;  
(d) interpreters, translators and court reporters of the arbitration tribunal;  and  
(e) experts , as decided by the arbitration tribunal pursuant to Article INST.26(2) [Receipt of 
Information] of Title I [Dispute Settlement] of Part Six  of this Agreement .  
27. 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 
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 arguments or presentations at the hearing on behalf of that Party and of oth er representatives and 
advisers who will be attending the hearing.  
28.  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 re buttal 
argument:  
Argument  
(a) argument of the complaining Party;  
(b) argument of the respondent Party.  
Rebuttal Argument  
(a) reply of the complaining Party;  
(b) counter -reply  of the respondent Party.  
29. The arbitration tribunal may direct questions to either Party at any  time during the hearing.  
30. 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 m ay consider those comments.  
31. 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  
32. 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.  
33. 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  
34. Each Party and the arbitration tribunal shall treat as con fidential 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.  
35. Nothing in these Rules of Procedure shall preclude a Party from disclosing statements of its 
own positions to the public to the ext ent that, when making reference to information submitted by 
the other Party, it does not disclose any information designated by the other Party as confidential.  
36. The arbitration tribunal shall hold the relevant parts of the session in private when the 
submission and arguments of a Party contain 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  
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 37. The arbitration tribunal shall not meet or communicate with a Party in the absence of the 
other Party.  
38. 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 arbitra tors.  
XII. Amicus curiae submissions  
39. 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:  
(a) are received by the arbitration tribunal within 10 days of the date of the establishment of the 
arbitration tribunal;  
(b) are concise and in no case longer than 15 pages, including any annexes, typed at double 
space;  
(c) are directly relevant to a factual or a legal issue under consideration by the arbitration 
tribunal;  
(d) contain a description of the person making the submission, in cluding 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;  
(e) specify the nature of the interest that the person has i n the arbitration proceedings; and   
(f) are drafted in  English.  
40. 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.  
41. The arbitration tribun al shall list in its report all the submissions it has received pursuant to 
rule 39. 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 com ments made by the 
Parties pursuant to rule 40.  
XIII. Urgent cases  
42. In cases of urgency referred to in Article INST.19 [Urgent proceedings] of Title I [Dispute 
Settlement] of Part Six  of this Agreement , the arbitration tribunal, after consulting the Par ties, 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  
43. The language of proceedings before the arbitration tribunal shall be English. Reports and 
decisions of the arbitration tribunal shall be issued in English.   
44. Each party shall bear its own costs of the translation of any documents submitted to the 
arbit ration 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  
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 48. 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 Article INST.22 (Reasonable Period of Time), Article INST.23 
(Compliance Review),  Article INST.24 (Temporary Remedies) and Article INST.25 (Review of any 
Measure taken to comply after the Adoption of Temporary Remedies) of Title I [Dispute Settlement] 
of Part Six  of this Agreement . 
  
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 ANNEX INST: CODE OF CONDUCT  FOR ARBITRATORS  
I. Definitions  
 
1. For the purposes of this this Code of Conduct, the following definitions apply:  
(a) "administrative staff" means, in respect of an arbitrator, individuals under the direction and 
control of an arbitrator, other than a ssistants;  
 
(b) “arbitrator” means a member of an arbitration tribunal;  
 
(c) "assistant" means an individual who, under the terms of appointment of an arbitrator, conducts 
research or provides assistance to that arbitrator; and  
 
(d) "candidate" means an individual who se name is on a list of arbitrators referred to in Article 
INST.27 [Lists of Arbitrators] of Title I [Dispute Settlement] of Part Six  of this Agreement or who 
is under consideration for selection as an arbitrator under Article INST.15 [Establishment of an 
arbitration tribunal] of Title I [Dispute Settlement] of Part Six  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:  
(a) get acquainted  with this Code of Conduct;  
 
(b) be independent and impartial;  
 
(c) avoid direct or indirect conflicts of interest;  
 
(d) avoid impropriety and the appearance of impropriety or bias;  
 
(e) observe high standards of conduct; and  
 
(f) 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 t he 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.  
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 III. Disclosure obligations  
7. Prior to the acceptance of his or  her appointment as an arbitrator under Article INST.15 
[Establishment of an arbitration tribunal] of Title I [Dispute Settlement] of Part Six  of this Agreement, 
a candidate requested to serve as an arbitrator shall disclose any interest, relationship or m atter 
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, relatio nships 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 Condu ct 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 p roceedings, 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 appropria te 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 arbi trator 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 c ase, 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 [Dispute Settlement] of Part Six of this Agreement.  
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 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 expen ses of his or her assistants and 
administrative staff.  
 
  
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1091  
 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 PRO VISION S 
Article 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 l egislation and in protecting VAT revenue and in recovering claims 
relating to taxes and duties.  
Article 2: Scope  
1. This Protocol lays down rules and procedures for cooperation:  
(a) to exchange any information that may help to effect a correct assessment of VA T, monitor the 
correct application of VAT, and combat VAT fraud; and  
(b) for the recovery  of: 
(i) 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 ; 
(ii) 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 o ut administrative enquiries with regard to them, 
or confirmed by administrative or judicial bodies at the request of those 
administrative authorities; and  
(iii) 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 assi stance in criminal 
matters.  
Article 3: Definitions  
For the purpose of this Protocol, the following definitions shall apply:  
(a) "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;  
(b) "applicant authority" means a central liaison office or a liaison department of a State which 
makes a request under Title III [Recovery assistance];  
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1092  
 (c) "automatic exchange" means the systemati c communication of predefined information to 
another State, without prior request;  
(d) "by electronic means" means using electronic equipment for the processing (including digital 
compression) and storage of data, and employing wires, radio transmission, optic al 
technologies or other electromagnetic means;  
(e) "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 betwee n competent authorities in the area of taxation.  
(f) "central liaison office" means the office designated pursuant to paragraph 2 of Article 4 
[Organisation] with the principal responsibility for contacts for the application of Title II 
[Administrative Coopera tion and Combating VAT Fraud] or Title III [Recovery assistance];  
(g) "competent authority" means the authority designated pursuant to paragraph 1 of Article 4 
[Organisation];  
(h) "competent official" means any official designated pursuant to paragraph 4 of Articl e 4 
[Organisation] who can directly exchange information under Title II [Administrative 
Cooperation and Combating VAT Fraud];  
(i) “customs duties” means the duty payable on goods entering or leaving the customs territory 
of each Party in accordance with the ru les set out in the customs legislation of the respective 
Parties;  
(j) “excise duties” means those duties and charges defined as such under the domestic legislation 
of the State in which the applicant authority is located;  
(k) "liaison department" means any office other than the central liaison office designated as such 
pursuant to paragraph 3 of Article 4) [Organisation] to request or grant mutual assistance 
under Title II [Administrative Cooperation and Combating VAT Fraud] or Title III [Recovery 
assistance];  
(l) "per son" means any person as defined in point (m) of Article OTH.1(l), of Title XVII [OTHER 
PROVISIONS] of Part Two of this Agreement. 160 
(m) "requested authority" means the central liaison office, the liaison department or – as far as 
cooperation under Title II [Ad ministrative Cooperation and Combating VAT Fraud] is 
concerned – the competent official who receives a request from a requesting or an applicant 
authority;  
                                                            
160 For greater certainty and in particular for the purposes of t his Protocol, it is understood that the term 
“person” includes any association of persons lacking the legal status of a legal person but recognised under 
applicable law as having the capacity to perform legal acts. It also includes any other legal arrangem ent 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 paragraph 1 of Article 2 [Scope] 
of this Protocol.  
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1093  
 (n) "requesting authority" means a central liaison office, a liaison department or a competent 
official who makes a request for assistance under Title II [Administrative Cooperation and 
Combating VAT Fraud], on behalf of a competent authority;  
(o) "simultaneous control" means the coordinated checking of the tax situation of a taxable 
person or of two or more rel ated taxable persons organised by two or more States with 
common or complementary interests;  
(p) “Specialised Committee" means the Trade Specialised Committee on Administrative 
cooperation in VAT and Recovery of Taxes and Duties;  
(q) "spontaneous exchange" means the non -systematic communication, at any moment and 
without prior request, of information to another State;  
(r) "State" means a Member State, or the United Kingdom, as the context requires;  
(s) "third country" means a country that is neither a Member State nor the  United Kingdom;  
(t) "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 4: Organisation  
1  Each State shall designate a competent authority responsible for the application of this 
Protocol.  
2. Each State shall designate:  
(a) one central liaison office with the principal responsibility for the application of Title II 
[Administrative Cooperation an d Combating VAT Fraud] of this Protocol; and  
(b) one central liaison office with the principal responsibility for the application of Title III 
[Recovery assistance]  of this Protocol.  
3. Each competent authority may designate, directly or by delegation:  
(a) liaison  departments to exchange directly information under Title II [Administrative 
Cooperation and Combating VAT Fraud] of this Protocol;  
(b) liaison departments to request or grant mutual assistance under Title III [Recovery assistance] 
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 [Administrative Cooperation and Combating 
VAT Fraud] 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 off icial sends or receives a request for 
assistance under this Protocol, it shall inform its central liaison office thereof.  
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1094  
 7. Where a central liaison office, a liaison department or a competent official receives a 
request for mutual assistance requiring act ion 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 8 [Time li mit 
for providing information] 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 author ities 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 5: S ervice 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 Specialise d Committee.  
Article 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 discl osed 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 r ecovery or precautionary measures with regard to claims referred to in point (b) 
of paragraph 1 of Article 2 [Scope].  
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 
administrativ e 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 decis ions.  
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 paragraph 1 of 
Article 2 [Scope] by the State which receives the informa tion 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 ce rtified 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 
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1095  
 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 condit ions:  
(a) the competent authority from which the information originates has consented to that 
transmission; and  
(b) 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 regardin g 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 necessa ry for care, maintenance and 
development of the electronic systems hosted by the European Commission and used by the States 
to implement this Protocol.  
TITLE II: ADMINISTRA TIVE COOPERATION AND  COMBATING VAT FRAUD  
Chapter one: Exchange of information on request  
Article 7: Exchange of information and administrative enquiries  
1. At the request of the requesting authority, the requested authority shall communicate the 
information referred to point (a) of paragraph 1 of Article 2 [Scope], including any inform ation 
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 requ est 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 authorit y 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 am ounts 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 t he 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, u nless the requested authority does not hold and 
is not required  to hold this information under domestic legislation.  
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 5. In order to obtain the information sought or to conduct the administrative enquiry 
requested, the requested authority or the administra tive 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 8: Time limit for providing information  
1. The requested authority shall provide the information referred to in Article 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 an d 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 9: Types of excha nge of information  
The exchange of information without prior request shall either be spontaneous exchanges, as 
provided for in Article 10, or automatic exchanges, as provided for in Article 11.  
Article 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 paragraph 1 of Article 2 [Scope] which has 
not been forwarded under the automatic exchange referred to in Art icle 11 [Automatic exchange of 
information] and of which it is aware of in the following cases:  
(a) where taxation is deemed to take place in another State and information is necessary for the 
effectiveness of the control system of that State;  
(b) where a State ha s grounds to believe that a breach of VAT legislation has been committed or 
is likely to have been committed in the other State;  
(c) where there  is a risk of tax loss in the other State.  
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 Article 11: Automatic exchange of information  
1. The categories of inform ation subject to automatic exchange shall be determined by the 
Specialised Committee in accordance with Article 39 [Trade Specialised Committee on 
Administrative Cooperation in VAT and Recovery of Taxes and Duties].  
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 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 deci sions 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 ind icate 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 13: Presence in administrative offices and participation in administrative enquiries  
1. By agreement between the requesting authority and the requested authority, and in 
accordance wi th 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 paragraph 1 of Article 2 [Scope]. 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 th e 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 paragraph 1 of Article 2 [Scope]. Such admi nistrative 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, h ave access to the same premises and documents as the 
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1098  
 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 co llecting and exchanging the information referred to in point (a) of paragraph 1 
of Article 2 [Scope]. Such administrative enquiries shall be carried out jointly by the officials of the 
requesting and requested authorities and shall be conducted under the d irection 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 legis lation 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 confe rred 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 reque sted 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 
paragraph s 1, 2 and 3 must at all times be able to produce written authority stating their identity 
and their official capacity.  
Article 14: Simultaneous controls  
1. The States may agree to conduct simultaneous controls whenever they consider such 
controls to be mo re 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  
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1099  
 Article 15: Conditions governi ng the exchange of information  
1. The requested authority shall provide a requesting authority with the information referred 
to in point (a) of paragraph 1 of Article 2 [Scope] or  carry out an administrative notification referred 
to in Article 12 [Administrative notification] provided that:  
(a) 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  
(b) 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, w ithout 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 o r 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 requ esting authority of the grounds for refusing a 
request for assistance.  
Article 16: Feedback  
Where a competent authority provides information pursuant to Article 7 [Exchange of information 
and administrative enquiries] or 10 [Spontaneous exchange of information], 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 prot ection applicable in its State, send feedback as soon as possible, 
provided that this does not impose a disproportionate administrative burden on it.  
Article 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.  
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1100  
 Article 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 t his Title.  
2. The content and format of the statistical data to be communicated under paragraph 1 shall 
be determined by the Specialised Committee.  
Article 19: Standard forms and means of communication  
1. Any information communicated pursuant to Articles 7  [Exchange of information and 
administrative enquiries], 10 [Spontaneous exchange of information], 11 [Automatic exchange of 
information], 12 [Administrative notification] and 16 [Feedback] and the statistics pursuant to Article 
18 [Statistical data] shall  be provided using a standard form referred to in point (d) of paragraph 2 of 
Article 39 [Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of 
Taxes and Duties], except in the cases referred to in paragraphs 7 and 8 of Article 6  
[Confidentiality]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 re quest 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 Specialise d Committee of the decisions referred to in paragraph 
2 of Article 39 [Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of 
Taxes and Duties], 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 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 paragraph 1 of Article 2 [Scope]. The req uest 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 ad ministrative enquiries necessary to obtain it.  
2. The requested authority shall not be obliged to supply information:  
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1101  
 (a) which it would not be able to obtain for the purpose of recovering similar claims on its own 
behalf;  
(b) which would disclose any commercial, industrial or professional secrets; or  
(c) 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 21: Exchange of information without prior request  
Where a refund of taxes or duties relates to a person established or resident in anoth er State, the 
State from which the refund is to be made may inform the State of establishment or residence of the 
pending refund.  
Article 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:  
(a) be present in the offices where officials of the requested State carry out their duties;  
(b) be present during administrative enquiries carried out in the territory of the requested State; 
and 
(c) assist the  competent officials of the requested State during court proceedings in tha t 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 notificatio n of documents  
Article 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 paragraph 1 of 
Article 2 [Scope] or to its recovery.  
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1102  
 The request for notification shall be accompanied by a standard form containing at least the  
following information:  
(a) name, address and other data relevant to the identification of the addressee;  
(b) the purpose of the notification and the period within which notification should be effected;  
(c) a description of the attached document and the nature and amo unt of the claim concerned; 
and 
(d) name, address  and other contact details regarding:  
(i) the office responsible with regard to the attached document; and  
(ii) 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 th e 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 particula r of the date of notification of the document to the 
addressee.  
Article 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 shall be 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 applica nt 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 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 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 o r 
the instrument permitting its enforcement are contested in the State of the applicant authority, 
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1103  
 except in cases where the third subparagraph of paragraph 4 of Article 29 [Disputed claims and 
enforcement measures] applies.  
2. Before the applicant authori ty makes a request for recovery, appropriate recovery 
procedures available in the State of the applicant authority shall be applied, except in the following 
situations:  
(a) where it is obvious that there are no assets for recovery in that State or that such pr ocedures 
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;  
(b) where  recourse to such procedures in the State of  the applicant authority would give rise to 
disproportionate difficulty.  
Article 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 in strument 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 con stitute 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 leas t the following information:  
(a) 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.;  
(b) name and other data relevant to the identification of the debtor; and  
(c) name , address and other contact details regarding:  
(i) the office responsible for the assessment of the claim; and  
(ii) 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 documen ts relating to the 
claim issued by the State of the applicant authority.  
Article 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 
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1104  
 powers and procedures provided under the laws, regulations or administrative provisions of th at 
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 th e 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 dilige nce 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 shal l inform the applicant authority of any such decision.  
5. Without prejudice to paragraph 1 of Article 35 [Costs], 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 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 enforceme nt 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 reco very 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 aut hority 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 par agraph 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
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1105  
 At the request of the applicant authority, or where otherwise deemed to be necessary by the 
requested authority, and without prejudice to Article 31 [Request for precautionary  measures], 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 aut hority.  
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 recov ery 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 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 r easons for 
amendment or withdrawal.  
2. If the amendment of the request is caused by a decision of the competent body referred to 
in paragraph 1 of Article 29 [Disputed claims and enforcement measures], 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 i nitial 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 27 [Instruments permitting enforcement in the State of the requeste d authority and other 
accompanying documents] and 29 [Disputed claims and enforcement measures] shall apply in 
relation to the revised instrument.  
Article 31: Request for precautionary measures  
1. At the request of the applicant authority, the requested au thority 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 adminis trative 
practices of the State of the applicant authority.  
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1106  
 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 ma y be accompanied by other documents relating 
to the claim.  
Article 32: Rules governing the request for precautionary measures  
In order to give effect to Article 31 [Request for precautionary measures], paragraph 2 of Article 25 
[Request for recovery], para graphs 1 and 2 of Article 28 [Execution of the request for recovery], 
Articles 29 [Disputed claims and enforcement measures] and 30 [Amendment or withdrawal of the 
request for recovery assistance] shall apply mutatis mutandis . 
Article 33: Limits to the req uested authority’s obligation  
1. The requested authority shall not be obliged to grant the assistance provided for in Articles 
25 [Request for recovery] to 31 [Request for precautionary measures] 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 
25 [Request for recovery] to 31 [Request for precautionary measures] 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 
20 [Request for information] and Articles 22 [Presence in administrative offices and participation in 
administrati ve enquiries] to 31 [Request for precautionary measures] if the initial request for 
assistance pursuant to Article 20 [Request for information], 22 [Presence in administrative offices 
and participation in administrative enquiries], 23 [Request for notifica tion of certain documents 
relating to claims], 25 [Request for recovery] or 31 [Request for precautionary measures] 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 i s 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 S tate 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.  
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1107  
 4. A State shall not be obliged to grant assistance if the total amount for which assistance is 
requested is less than GBP 5000.  
5. The requested authority shall inform the applicant authority of the grounds for refusing a 
request for assistance.  
Article 34: Questions on limitation  
1. Questions concerning periods of limitation shall be governed solely by the laws in force in 
the State of t he 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 ef fect 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 limit ation 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, susp ends or prolongs the limitation period of the claim for which the recovery or 
precautionary measures were requested, or which may have this effect.  
Article 35: Costs  
1. In addition to the amounts referred to in paragraph 5 of Article 28 [Execution of the r equest 
for recovery], 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.2. 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 ap plicant 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 los ses 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: Gene ral rules governing all types of recovery assistance requests  
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1108  
 Article 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 t he 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 23  [Request for 
notification of certain documents relating to claims] 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 parag raphs 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 langua ge agreed between the States concerned.  
Article 37: Statistical data  
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 38: Standard forms and means of communication  
1. Requests pursuant to paragraph 1 of Article 20 [Request for information] for information, 
requests pursuant to paragraph 1 of Article 23 [Request for notification of certain documents 
relating to claims] for notification, requests pursuant to paragraph 1 of Article 25 [Request for 
recovery] for recovery or requests pursuant to paragraph 1 of Ar ticle 31 [Request for precautionary 
measures] for precautionary measures, and communication of statistical data pursuant to Article 37 
[Statistical data] shall be sent by electronic means, using a standard form, unless this is impracticable 
for technical r easons. 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 th e State of the applicant authority and the other 
documents referred to in Articles 27 [Instrument permitting enforcement in the State of the 
requested authority and other accompanying documents] and 31 [Request for precautionary 
measures] shall also be sen t 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 el ectronic 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 21 [Exchange of information without prior request].  
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1109  
 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 22 [Presence in ad ministrative 
offices and participation in administrative enquiries].  
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 paragra ph 1 of Article 2 [Scope], 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 paragraph 
2 of Article 39 [ Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of 
Taxes and Duties] , the competent authorities shall make use of the rules set out in the Annex to this 
Protocol, including the standar d 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: IMPLEMENTA TION AND APPLICAT ION 
Article 39: Trade Specialised Committee on Administrative cooperation in VAT and Recovery of Taxes 
and Duties  
1. The Specialised Committee shall:  
(a) hold regular consultations; and  
(b) review the  operation and effectiveness of this Protocol at least every 5 years.   
2. The Specialised Committee shall adopt decisions or recommendations to:  
(a) determine the frequency of, the practical arrangements for and the exact categories of 
information subject to automatic exchange referred to in Article 11 [Automatic exchang e of 
information];  
(b) review the result of the automatic exchange of information for each category established 
pursuant to point (a) of paragraph 2 so as to ensure that this type of exchange takes place 
only where it is the most efficient means for the exchan ge of information;  
(c) establish new categories of information to be exchanged pursuant to Article 11 [Automatic 
exchange of information], should the automatic exchange be the most efficient means of 
cooperation;  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1110  
 (d) define the standard forms for the communication s pursuant to paragraph 1 of Article 19 
[Standard forms and means of communication] and paragraph 1 of Article 38 [Standard forms 
and means of communication];  
(e) review the availability, collection, and processing of statistical data referred to in Articles 1 8 
[Statistical data] and 37 [Statistical data], so as to ensure that the obligations set out in those 
Articles do not impose a disproportionate administrative burden on the Parties;  
(f) establish what shall be transmitted via the CCN/CSI network or other means ; 
(g) 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 d ecisions referred 
to in points (d) and (f);  
(h) 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 
paragraphs 2 and 3 of Article 4 [Organisation];  
(i) establish the practical arrangements between the central liaison offices for the 
implementation of paragraph 5 of Article 4 [Organisation];  
(j) establish implementing rules for Title III [Recovery assistance], including rules on the 
conversion of the sums to be recovered and the transfer of sums recovered; and  
(k) establish the procedure for concluding the service level agreement referred to in Article 5 
[Service level agreement ] and also conclude that service level agreement.  
TITLE V: FI NAL PROVISIONS  
Article 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 Agre ement 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 wi thin the scope of Article 2 [Scope] 
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, t he 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 relatio n 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1111  
 Article 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 Membe r States and the 
United Kingdom, insofar as their provisions are incompatible with those of this Protocol.  
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1112  
 ANNEX TO THE PROTOCOL ON ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE 
FIELD OF VALUE ADDED TAX AND ON MUTUAL ASSISTANCE FOR THE RECOVERY O F CLAIMS 
RELATING TO TAXES AND DUTIES  
Pending the adoption by the Specialised Committee of the decisions referred to in paragraph 2 of 
Article 39 [ Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of 
Taxes and Duties]  of the Pro tocol 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 “Protocol”), the following rules and standard forms apply.  
Section 1 : Organisati on of contacts  
1.1.  Until further notice, the central liaison offices having the principal responsibility for the 
application of Title II [Administrative Cooperation and Combating VAT Fraud] of the Protocol are:  
(a) for the United Kingdom: Her Majesty’s Reven ue and Customs, UK VAT Central Liaison Office;  
(b) for the Member States: the central liaison offices designated for administrative cooperation  
between the Member States in the area of VAT.  
1.2. Until further notice, the central liaison offices having the pr incipal responsibility for the 
application of Title III [Recovery assistance] of this Protocol are:  
(a) for the United Kingdom: Her Majesty’s Revenue and Customs, Debt Management;  
(b) for the Member States: the central liaison offices designated for recovery assis tance between  
the Member States.  
Section 2 : Administrative cooperation and combating fraud in the field of Value Added Tax  
2.1. Communication  
The communication of information under Title II [ Administrative Cooperation and Combating VAT 
Fraud ] of this Pro tocol 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 i n the field of VAT.  
2.2. Standard form  
For the exchange of information under Title II [ Administrative Cooperation and Combating VAT 
Fraud ] of this Protocol, the States shall use the following model:  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1113  
 Standard form for requests for information, for spontaneous exchange of information and 
for feedback between the 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:  
A) BASIC INFORMATION  
A1 
Requesting state:   Requested state:  
Requesting authority:   Requested authority:   
A2  
Official dealing with the request/exchange in the requesting 
authority:  Official dealing with the reply to the request/exchange in the 
requested authority:  
Name:   Name:   
Email:  Email:   
Telephone:   Telephone:   
Language:   Language:   
A3  
Requesting authority national reference:  
 Requested authority national reference:  
 
Space reserved for the requesting authority:  
 
 Space reserved for the requested authority:  
 
A4  
Date of transmission of the request/exchange:  Date of transmission of the reply:   
A5  
No of attachments to the request/exchange:  No of attachments to the reply:   
A6 A7 
○ General request/exchange  □ I, requested authority, will not be able to reply within the 
following deadlines:  
   ○ Request for information      ○ 3 months  
   ○ Spontaneous exchange of information      ○ 1 month for information that is already in my possession  
        □ Feedback on  spontaneous exchange of information is 
requested  Reason for delay:  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1114  
    ○ Anti-fraud request/exchange  
   ○ Request for information  
   ○ Missing Trader Fraud - Registration control/Business 
activity  
   ○ Spontaneous supply of information   
 
 
 
       □ Feedback on spontaneous information is requested  
    
    
  □ Expected time of reply:  
 □ The requested authority of the state authorises the 
transmission of the information to another state (Article  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  
Pursuant to Article 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 t he 
basis of a reasoned request, permit the use of the information received for purposes other than those referred to in Article 2(1) 
of the Protocol.  
B) REQUEST FOR GENERAL INFORMATION  
Requesting authority  Requested authority  Requested authority161 
B1 VAT identification number (if not, tax 
identification number)  
 
 
VAT number:  B1 VAT identification number (if not, tax 
identification number)  
○ Please fill in  
○ Please confirm  
 
VAT number:   
 
○ I confirm    ○ I do not confirm  
VAT number:  
□ VAT number not available  □ VAT number not available  □ VAT number not available  
Tax identification number:   
 Tax identification number:   
 Tax identification number:   
 
B2 Name  B2 Name   
                                                            
161 In thi s 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 c onfirm" ticked and information provided in the second column).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1115  
  
 
 
 ○ Please fill in  
○ Please confirm  
 
  
○ I confirm    ○ I do not confirm  
Name:  
 
B3 Trading name  
 
 
 
 B3 Trading name  
○ Please fill in  
○ Please confirm  
 
  
 
○ I confirm    ○ I do not confirm  
Trading name:  
 
B4 Address  
 
 
 
 B4 Address  
○ Please fill in  
○ Please confirm  
 
  
 
○ I confirm    ○ I do not confirm  
Address:  
 
B5 The following dates in the format 
(YYYY/MM/DD):  
 
 B5 The following dates in the format 
(YYYY/MM/DD):  
○ Please fill in  
○ Please confirm   
 
○ I confirm    ○ I do not confirm  
(a) issue of the VAT/tax identification 
number  
 (a) issue of the VAT/tax identification 
number  
 (a) issue of the VAT/tax identification 
number  
 
(b) cancellation of the VAT/tax 
identification number  
 (b) cancellation of the VAT/tax 
identification number  
 (b) cancellation of the VAT/tax 
identification number  
 
(c) Incorporation  
 (c) Incorporation  
 (c) Incorporation  
 
B6 Date of commencement of activity  
 
 
 
 B6 Date of commencement of activity  
○ Please fill in  
○ Please confirm  
Date of commencement of activity  
  
 
○ I confirm    ○ I do not confirm  
Date of commencement of activity  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1116  
 B7 Date of cessation of activity  
 
 
 
 B7 Date of cessation of activity  
○ Please fill in  
○ Please confirm  
Date of cessation of activity  
  
 
○ I confirm    ○ I do not confirm  
Date of cessation of activity  
 
B8 Names of the managers/directors  
 
 
 B8 Names of the managers/directors  
○ Please fill in  
○ Please confirm  
  
 
○ I confirm    ○ I do not confirm  
 
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  
○ Please confirm  
  
 
 
○ I confirm    ○ I do not confirm  
 
B10 Nature of the activity  
 
 
 
 B10 Nature of the activity  
 
○ Please fill in  
○ Please confirm   
 
 
○ I confirm    ○ I do not confirm  
(a) Legal status of the business  
  (a) Legal status of the business  
 (a) Legal status of the business  
 
(b) Actual principal activity162 
  (b) Actual principal activity  
 (b) Actual principal activity  
 
B11 Nature of the transaction  
 
 
 Nature of the transaction  
B11 Goods/services involved  
○ Please fill in  
○ Please confirm  Nature of the transaction  
B11 Goods/services involved  
 
○ I confirm    ○ I do not confirm  
                                                            
162 Actual principal activity means the real main activity carried out by the business (as opposed to another 
possibly declared one).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1117  
   
Period and amount to which the 
request/exchange relates  
B12 Supply of goods from one country 
to another   
 
  
 
 
 
From  Period  Period   
 
To Amount  Amount   
Sources: □ VAT information exchange 
system  (VIES)  □ Other  
    
B13 Supply of services from one 
country to another   
  
 
From  Period  Period   
 
To Amount  Amount   
Sources: □ VIES □ Other  
   
  
 
C) ADDITIONAL INFORMATION  
Registration  
□ 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.  
 
 
 
□ 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 be en made before the date of registration. Please explain.  
 
 Transactions of goods/services  
□ 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1118  
 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 e ither:  
     ○ 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.   
□ I attach copies of documents  in my possession.  
□ 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.   
□ C5 Please provide the addresses where the goods were deliver ed. 
Addresses:  
 
 
□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.  
 
 
Prior/o nward movement of the goods  
□ C7 From whom were the goods purchased? Please provide names, trading names and VAT numbers in box C40.  
□ C8 To whom were the goods sold on? Please provide names, trading names and VAT numbers in box C40.  
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 rece ived the service;  
     ○ declared having receiving the service for a different amount and the declared amount is:  
           Please investigate and explain.   
□ 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 □ 
 □ 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1119  
 VIES or other sources. Please investigate and explain.   
□ C11 Please provide the addresses where the services were provided.  
Addresses:  
 
 
□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.  
 
 
Transport of goods  
□ C13 Please provide the name/VAT identification number and the address of the transporter.  
Name and/or VAT identification number and address:  
 
 
□ C14 Who ordered and paid the transportation of the goods?  
Name and/or VAT identification number and address:  
 
 
□ C15 Who is the owner of the means of transport used?  
Name and/or VAT identification number and address:  
 
 
Invoices  
□ C16 Please provide the amount invoiced and currency.  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1120  
  
Payment  
□ C17 Please provide the amount paid and currency.  
 
 
□ 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.  
From:  
   Name of the account holder:   
  IBAN number or account number:  
  Bank:  
To: 
  Name of the account holder:   
  IBAN number or account number:  
  Bank:  
□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 p arty payments? If yes, please provide additional information in box C40   ○ Yes               
○ No 
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.   
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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1121  
 □ C26 Exemption under Customs Procedure 42XX / 63XX.  
□ C27 Gas and electricity.  
□ C28 Call -off stock arrangements.  
□ C29 Others:  
 
 
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, en tertainment 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  
 
 
C41 Free text reply box  
 
 
D) REQUEST FOR DOCUMENTS  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1122  
 Please provide copies of the following documents (where applicable see amount and period in part B12 and B13)  
□ D1 Invoices  ○ Provided  ○ Not available  
□ D2 Contracts  ○ Provided  ○ Not available  
□ D3 Orders  ○ Provided  ○ Not available  
□ D4 Evidence of payments  ○ Provided  ○ Not available  
□ D5 Transport documentation  ○ Provided  ○ Not available  
□ D6 Creditor's ledger for the taxable person in the 
requesting state  ○ Provided  ○ Not available  
□ D7 Debtor's ledger for the taxable person  in the requesting 
state ○ Provided  ○ Not available  
□ D8 Call -off stock registers  
    From                                       To  ○ Provided  ○ Not available  
□ D9 One-stop-shop/import one -stop-shop records  
    From                                       To  ○ Provided  ○ Not available  
□ D10 Bank account statements  
    From                                       To  ○ Provided  ○ Not available  
□ D11 Others  
 
 ○ Provided  ○ Not available  
 
E) SPONTANEOUS SUPPLY OF INFORMATION (GENERAL)  
□ 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 pers on 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1123  
 □ 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.  
F) MISSING TRA DER FRAUD: REGISTRATION CONTROL / BUSINESS ACTIVITY  
(A) Identification of the business  
Requesting authority  Requested authority  Requested authority163 
F1 VAT identification number (if not, tax 
identification number)  
 
 
 
VAT number:  F1 VAT identification number (if not, tax 
identification number)  
○ Please fill in  
○ Please confirm  
VAT number:   
 
 
○ I confirm    ○ I do not confirm  
VAT number:  
□ VAT number not available  □ VAT number not available  □ VAT number not available  
Tax identification number:   
 Tax identification number:   
 Tax identification number:   
 
F2 Name  
 
 
 
 F2 Name  
○ Please fill in  
○ Please confirm  
 
  
 
○ I confirm    ○ I do not confirm  
Name:  
 
F3 Address  
 
 
 
 F3 Address  
○ Please fill in  
○ Please confirm  
 
  
 
○ I confirm    ○ I do not confirm  
Address:  
 
F4 The following dates in the format  
(YYYY/MM/DD):  F4 The following dates in the format 
(YYYY/MM/DD):   
                                                            
163 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).  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1124  
  
 ○ Please fill in  
○ Please confirm   
○ I confirm    ○ I do not confirm  
 
(a) issue of the VAT/tax identification 
number  
 (a) issue of the VAT/tax identification 
number  
 (a) issue of the VAT/tax identification 
number  
 
(b) cancellation of the VAT/tax 
identification number  
 (b) cancellation of the VAT/tax 
identification number  
 (b) cancellation of the VAT/tax 
identification number  
 
(c) Incorporation  
 (c) Incorporation  
 (c) Incorporation  
 
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  
○ Please confirm   
 
○ I confirm    ○ I do not confirm  
(a) Name  
  (a) Name   
 (a) Name   
 
(b) Address  
  (b) Address  
 (b) Address  
 
(c) Date of birth  
  (c) Date of birth  
 (c) Date of birth  
 
(d) Nationality  
  (d) Nationality  
 (d) Nationality  
 
F6 Managers/directors  
 
 
 F6 Managers/directors  
○ Please fill in  
○ Please confirm   
 
○ I confirm    ○ I do not confirm  
(a) Name  
  (a) Name   
 (a) Name   
 
(b) Address  
  (b) Address  
 (b) Address  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1125  
 (c) Date  of birth  
  (c) Date of birth  
 (c) Date of birth  
 
(d) Nationality  
  (d) Nationality  
 (d) Nationality  
 
(B) Information requested  
□ F7 Are the persons referred to in F5 and F6 (with date of 
birth if known) contained in any of your databases?   
○ Yes   ○ No 
□ 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 
□ 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 
□ F10 Are those persons referred to in F5 and F6 either 
resident at or connected with the address given?   
○ Yes   ○ No 
□ F11 Is the stated address residential/business /temporary 
accommodation/accountant/other?  
 ○ Yes 
○ No 
 
□ F12 What is the business activity?   
 
□ F13 Is the business's tax compliance suspect?   
○ Yes   ○ No 
□ F14 What is the reason for the cancellation of the VAT 
number?   
 
□ F15 Please advise of any associated business164 including 
their VAT  identification numbers and any views as to their 
credibility.   
 
□ F16 Please provide details of known bank accounts of the 
business in the requested state and any associated 
businesses.   
 
                                                            
164 This is any business with common directors or other legal, economic or financial links with the business 
referred to in Heading  A.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1126  
 □ F17 Please provide  information from recapitulative 
statements or from Customs declarations on the 
supplies/purchases of goods/services for the year(s):  
 
  
 
 
□ F18 Please provide information from VAT 
declarations/about payments for the year(s):  
 
  
□ F19 Any additional  comments:  
 
  
  
 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1127  
 G) SPONTANEOUS SUPPLY OF INFORMATION (MISSING TRADER FRAUD)  
Sending authority  Receiving authority  
Identification of the business  
G1 VAT identification number (if not, tax identification 
number)   
 
VAT number:  Identification of the business  
G1 VAT identification number (if not, tax identification 
number)   
 
VAT number:  
□ VAT number not available  □ VAT number not available  
Tax identification number:   
 Tax identification number:   
 
G2 Name   
 G2 Name   
 
G3 Address   
 G3 Address  
 
G4 The following dates in the format (YYYY/MM/DD):  G4 The following dates in the format (YYYY/MM/DD):  
(a) issue of the VAT/tax identification number  
 (a) issue of the VAT/tax identification number  
 
(b) cancellation of the VAT/tax identification number  
 (b) cancellation of the VAT/tax identification number  
 
(c) Incorporation  
 (c) Incorporation  
 
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  
(a) Name  
 (a) Name  
 
(b) Address  
 (b) Address  
 
(c) Date of birth  
 (c) Date of birth  
 
(d) Nationality  
 (d) Nationality  
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1128  
 G6 Managers, directors  
 G6 Managers, directors  
 
(a) Name  
 (a) Name  
 
(b) Address  
 (b) Address  
 
(c) Date of birth  
 (c) Date of birth  
 
(d) Nationality  
 (d) Nationality  
 
Any additional comments  
 
 
 
H) FEEDBACK165 
Results  related to the information provided:  
1) The information provided:  
□ Resulted in an additional assessment of VAT or of other taxes. Please provide details on the type and amount of tax 
assessed:  
    Type of tax:   
 
    Additional assessment:  
 
    Penalty:   
□ Resulted in VAT registration.  
□ Resulted i n 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.  
                                                            
165 To be provided by the competent authority receiving the information.”  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1129  
 □ Led to a presence in administrative office or to participation in administrative enquiry.  
□ Led to Multilater al control (MLC).  
□ Resulted in other actions:  
 
 
□ Did not result in any substantial action.  
2) Other comments:  
 
 
Date of transmission:  
 
Section 3 : Recovery assistance  
Article 3.1: Communication  
A request sent by electronic means for the application of Title III of the 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 u sed 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 ty pes of claims 
mentioned in the documents to be notified.  
Article 3.2: Implementing rules relating to the uniform instrument permitting enforcement in the 
requested State  
1. The administrative penalties, fines, fees and surcharges and the interest and costs  referred 
to in point (b) of paragraph 1 of Article 2 of the Protocol which, in accordance with the rules in force 
in the applicant State, may be due from the date of the initial instrument permitting enforcement 
until the day before the date on which the recovery request is sent, may be added in the uniform 
instrument permitting enforcement in the requested State.  
2. A single uniform instrument permitting enforcement in the requested State may be issued in 
respect of several claims and several persons, cor responding to the initial instrument or instruments 
permitting enforcement in the applicant State.  
3. In so far as initial instruments permitting enforcement for several claims in the applicant 
State have already been replaced by a global instrument permit ting enforcement for all those claims 
in that State, the uniform instrument permitting enforcement in the requested State may be based 
on the initial instruments permitting enforcement in the applicant State or on that global instrument 
regrouping those in itial instruments in the applicant State.  
4. Where the initial instrument referred to in paragraph 2 or the global instrument referred to 
in paragraph 3 contains several claims, one or more of which have already been collected or 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1130  
 recovered, the uniform ins trument permitting enforcement in the requested State shall only refer to 
those claims for which recovery assistance is requested.  
5. Where the initial instrument referred to in paragraph 2 or the global instrument referred to 
in paragraph 3 contains sever al claims, the applicant authority may list those claims in different 
uniform instruments permitting enforcement in the requested State, in line with the tax type related 
division of competences of the respective recovery offices in the requested State.  
6. If a request cannot be transmitted by CCN network and is transmitted by post, the uniform 
instrument permitting enforcement in the requested State shall be signed by a duly authorised 
official of the applicant authority.  
Article 3.3: Conversion of the sum s to be recovered  
1. The applicant authority shall express the amount of the claim to be recovered in the 
currency of the applicant State and in the currency of the requested State.  
2. For requests sent to the United Kingdom, the exchange rate to be used f or the purposes of 
the recovery assistance shall be the exchange rate published by the European Central Bank 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 la test exchange rate published by the European Central Bank 
before the date the request is sent.  
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.  
3. In order  to convert the amount of the claim resulting from the adjustment, referred to in 
paragraph 2 of Article 30 of the Protocol, into the currency of the State of the requested authority, 
the applicant authority shall use the exchange rate used in its initial request.  
Article 3.4: Transfer of recovered amounts  
1. The transfer of the recovered amounts shall take place within two months of the date on 
which recovery was effected, unless otherwise agreed between the States.   
2. However, if recovery measures applie d 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:  
(a) the requested authority finds it likely that the outcome of this contestation will be favourable 
to the party concerned; and  
(b) 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.  
3. If the applicant authority has made a declaration to reimburse in accordance with point (b) 
of the second paragraph, it shall return the recovered amounts alre ady transferred by the requested 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1131  
 authority within one month of the receipt of the request for reimbursement. Any other 
compensation due shall, in that case, be borne solely by the requested authority.  
Article 3.5:  Reimbursement of recovered amounts  
The re quested 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 informe d 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 app licant authority shall transfer the sums reimbursed 
and the compensation paid within two months of the receipt of that request.  
Article 3.6: Standard forms  
1. For the uniform notification form accompanying the request for notification, referred to in 
Artic le 23 of the Protocol, the States shall use the form established in accordance with model A.  
2. For the uniform instrument permitting enforcement in the requested State, referred to in 
Article 27 of the Protocol, accompanying the request for recovery or th e request for precautionary 
measures, or the revised uniform instrument permitting enforcement in the requested State, 
referred to in paragraph 2 of Article 30 of the Protocol, the States shall use the form established in 
accordance with model B.  
3. For the request for information referred to in Article 20 of the Protocol, the States shall use 
the form established in accordance with model C.  
4. For the request for notification referred to in Article 23 of the Protocol, the States shall use 
the form establ ished in accordance with model D.  
5. For the request for recovery or for precautionary measures referred to in Articles 25 and 31 
of the Protocol, the States shall use the form established in accordance with model E.  
6. Where forms are transmitted by elect ronic means, their structure and lay -out may be 
adapted to the requirements and possibilities of the electronic communication system, provided 
that the set of data and information contained therein is not substantially altered when compared to 
the models s et out below.  
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1132  
 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 23 of the Protocol 
between the European Union and the United Kingdom on administrative cooperation and combating 
fraud in the field of Value Added Tax and on mutual assistance for the recovery o f claims relating to 
taxes and duties.  
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 un der 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 notificati on, 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 p arty 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)]   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1133  
 ☐ 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 noti fication 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   
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1134  
 ☐ 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 29 of the a bove 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 put in Italic are optional.  
 
  
Model B  
Uniform instrument permitting enforcement of claims covered by Article 27 of the Protocol 
between the European Union and the United Kingdom 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   (1)  
☐   UNIFORM INSTRUMENT PERMITTING ENFORCEMENT OF CLAIMS  
— Date of issue:   
— Reference number:   
☐   REVISED UNIFORM INSTRUMENT PERMITTING ENFORCEMENT OF CLAIMS  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1135  
 — 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 27 of the above Protocol.   
☐ a revised uniform instrument permitting enforcement, in accordance with  Article 30 of the above 
Protocol (to take account of the decision of the competent body referred to in Article 29(1) of that 
Protocol).   
This doc ument 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 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:  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1136  
 ☐ 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  
a) 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   
 
b) the following person(s) is (are) also m entioned 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:  
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1137  
  
(1)  The elements put in Italic are optional.  
 
 
 
 
 
 
  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1138  
 Model form C - request for information  
REQUEST FOR INFORMATI ON 
 
Based on Article 20 of the Protocol between the European Union and the United Kingdom 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  
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RI  
Nature of the claim(s):  
 
1. STATE OF THE APPLIC ANT 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 REQUES TED 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:  
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1139  
 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.  
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1140  
 4. INFORMATION  RELATING TO THE PERS ON CONC ERNED  
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 concerne d is: 
 the principal debtor  
 a co-debtor  
 a person other than the (co -)debtor, liable for settlement of the taxes, duties and o ther 
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 -)debt or, 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 measur es concerning other persons.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1141  
 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 FO R 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.  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1142  
 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 nr.:  
 Details of address:  
 Postcode and town:  
 Country:  
 Telephone:  
 Fax: 
 E-mail:  
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1143  
  e 
 Financial situation:  
 Bank account(s) known :  
Bank account number (IBAN): …  
Bank identification code (BIC): …  
Name of the bank: …  
 Employment details:  Employee —  Self-emplo yed — 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 nr:  
…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  applicant authority or  requested authority :  
      
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1144  
 Model form D – request for notification  
REQUEST FOR NOTIFICAT ION 
 
Based on Article 23 of the Protocol between the European Union and the United Kingdom 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  
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RN  
Nature of the claim(s):  
 
1. STATE OF THE APPLIC ANT 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 REQUEST ED 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  
 Final date for notification of these documents in order to avoid problems with the limitation period 
(if necessary) : 20YY/MM/DD  
 
 Other comments:       
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1145  
  
4. IDENTIFICATION OF THE  ADDRESSEE OF THE NO TIFICATION  
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:  
 
B. Other relevant information concerning the above persons:       
  
 
5 PURPOSE OF THE NOTIFICATION: see the attached uniform notification form . 
 
 
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1146  
 6 DESCRIPTION OF THE NOTIFIED DOCUMENT(S): see the attached uniform notification form.   
 
 
 
7. FOLLOW -UP OF THE REQUEST FO R NOTIFICATION  
Date  Nr Message  Applicant authority  Requested authority  
date  1 
 I, requested authority, acknowledge receipt of the request.  
 
date  
 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 I 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 taxes to which the request relates.  
b the claim(s) is/are older than foreseen in the Protocol.  
c the amount of the claim(s) is below the threshold.  
d the applicant authority did not provide all the required additional information  
e Other reason:        
date   7 
 I, applicant authority, ask to be informed about the present status of my request.   
date  8 I, requested authority, certify:  
  
 
 
 
 
 
 
 
 
 
 
 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 date.  
 
The notification was made in the following manner:  
 to the addressee in person  
 by mail  
 by electronic mail  
 by registered mail  
 by bailiff  
 by another procedure  
b that the above -mentioned document(s) could not be notified to the person 
concerned for the following reasons : 
 addressee(s) not known  
 addressee(s) deceased  
 addressee(s) has (have) left the State. New address:  
 other:       
This document has been agreed between the European Union and the United Kingdom and is provided for information only. 
No rights may be derived from it until the date of application. The numbering of the articles is provisional.  
 
1147  
 date   9 
 I, applicant authority, withdraw my request for notification.  
date  10 
 Other: comment  from  applicant authority or  requested authority  
      
 
 
 
 Model form E – request for recovery or precautionary measures  
. 
REQUEST FOR  RECOVERY MEASURES  
 
Based on Article 25 of the Protocol between the European Union and the United Kingdom 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  
AND/OR  PRECAUTIONARY MEASUR ES 
Based on Article 31 of the Protocol between the European Union and the Unit ed Kingdom 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  
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RR(RP)  
Nature of the cl aim(s):  
 
1. STATE OF THE APPLIC ANT 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 REQUES TED 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:  
 
 
 
1149  3. INFORMATION ABOUT THE  REQUEST  
 
 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 preca utionary measures is based on the reasons described in the attached 
document(s).  
 
 This request is accompanied by an instrument permitting precautionary measures in the applican t 
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 favorable to the party concerned.  
 Sensitive case:       
 
4. PAYMENT INSTRUCTIONS  
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:  
B. Payment by instalment is : 
 acceptable without further consultation  
 only acceptable after consultation (Please use box 7, point 20 for this co nsultation)  
 not acceptable  
 
 
 
1150  5. INFORMATION ABOUT THE PERSON CONCERNED BY THE REQUEST  
A Recovery/precautionary measures are 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/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 conc erning this person:       
 
-  Legal representative  
Name:  
Details of address:  known —  assumed  
Street and number:  
Postcode and town:  
Country:  
 
 
B Other relevant information concerning this request  and/or person  
 
1151   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) c o-debtor(s):       
 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:       
 
 
1152   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 per son:  
 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:       
 
 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 re lating 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 ot her person:       
 
6. DESCRIPTION OF THE CLAIM(S): see the attached uniform instrument permitting enforcement in the 
requested State.  
 
 
 
1153  7. FOLLOW -UP OF THE REQUEST  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 provid e assistance and close the case because:  
a I do not have competence for the claims to which your request relates.  
b I do not have competence for the following claim(s) of your request:  
c the claim(s) is/are older than foreseen in the Protocol.  
d the total amount is less than the threshold foreseen in the Protocol.  
e the applicant authority did not provide all the required additional information.  
f Other reason:        
date   7 
 I, applicant authority, ask to be informed about the present status of my request.   
date 8 I, requested authority, will not take the requested action(s), for the following reasons:  
 a  my national legislation and practice does not allow recovery measures for claims that 
are contested.  
 b
  my national legislation and practice does not allow precautionary measures for claims 
that are contested.  
 9 I, requested authority, have conducted the following procedures for recovery and/or 
precautionary measures:  
date   a I established contact with the debtor and requested payment on 20YY/MM/DD . 
date   b I am negotiating payment by instalment.  
date   c I have commenced enforcement procedures on 20YY/MM/DD . 
The following actions have been taken:       
 
 d I have commenced precautionary measures on 20YY/MM/DD . 
The following actions have been taken:       
 
 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:  
 suspension  
 interruption  
 prolongation  till 20YY/ MM/DD  −  with xx years/months/weeks/days  
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.  
 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 request ed 
State.  
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.  
 
1154  date  10 
 Procedures are still going on. I, requested authority, will inform applicant authority when 
changes occur.  
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 : …  
 b My national laws do not provide for the suspension, interruption or prolongation of the 
period of limitation.  
 12 I, requested authority, inform the applicant authority that:  
date   a the claim has been fully recovered on 20YY/MM/DD  
- of which the following amount (indicate the currency of the State of the requested 
authority) relates to the claim as mentioned in the request:  
- of which the following amount relates to the interest charged under the laws of the 
State of the requested authority:  
date   b the claim has been partly recovered on 20YY/MM/DD , 
- for the amount of (indicate the currency of the State of the requested authority) : 
- of which the following amount relates to the claim as mentioned in the request:  
 
- of which the following amount relates to the interest charged under the laws of the 
State of the requested authority:  
 I will take no further action.  
 I will continue recovery procedures.  
date   c precautionary measures have been taken.  
(The requested authority is invited to indicate the nature of these measures:      ) 
date   d the following payment by instalment has been agreed:  
 
date  13 I, requested authority, confirm that all or part of the claim could not be recovered/ 
precautionary measures will not be taken, a nd the case will be closed because:  
 
 
 
 
 
 
 a The person concerned is not known.  
b The person concerned is known, but moved to:  
c The person concerned is known, but moved to an unknown address.  
d The person concerned is deceased on YYYY/MM/DD.  
e Debtor/co -debtor is insolvent.  
f Debtor/co -debtor is bankrupt and the claim has been lodged.  
Date of order:       --- Date of release :       
g Debtor/co -debtor is bankrupt / no recovery possible  
h Others:        
date  14 
 I, applicant authority, confirm that the case is closed.  
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 wi ll suspend enforcement procedures.  
Further,  
 
 
 a I have taken precautionary measures to ensure recovery of the claim on      . 
b I ask the applicant authority to inform me whether I should recover the claim.  
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,  
 a  ask the requested authority to suspend any action which it has undertaken.  
 b ask the requested authority to take precautionary measures to ensure recovery of the 
claim.  
 c ask the requeste d authority to (continue to) recover the claim.  
 
1155  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).  
date  
 18 I, applicant authority,  
 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:      . 
 
 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  applicant authority or  requested authority  
      (Please start  each comment by indicating the date)  
 
 
 
 
 
 
 
 
 
  
 
1156  PROTOCOL ON MUTUAL ADMINISTRATIVE ASSISTANCE IN CUSTOMS MATTERS  
Article 1: Definitions  
1. For the purposes of this Protocol:  
(a) “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;  
(b) “operations in breach of customs legislation” means any violation or attempted violation of 
customs legislation;  
(c) “requested  authority” means a co mpetent 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 [Customs and Trade 
Facilitation] of Title I [Trade in Goods] of Heading One [Trade] of Part Two [Trade, transport and 
fisheries] of this Agreement also apply to this Protocol.  
Articl e 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 
assistanc e 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 duti es. 
Article 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 corre ctly 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:  
(a) goods ex ported 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;  
 
1157  (b) 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 app licable laws and regulations to ensure special surveillance of and to 
provide the applicant authority with information on:  
(a) natural or legal persons in respect of whom there are reasonable grounds for believing that 
they are or have been involved in operati ons in breach of customs legislation;  
(b) 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;  
(c) places where stocks of g oods 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;  
(d) 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 
(e) premises suspected by the applicant authority of being used to commit breaches of customs 
legislation.  
Article  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 cons titute operations in breach of customs legislation and which may 
be of interest to the other Party. The information shall focus in particular on:  
(a) goods known to be subject to operations in breach of customs legislation;  
(b) persons in respect of whom there are  reasonable grounds for believing they are or have been 
involved in operations in breach of customs legislation;  
(c) 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  
(d) new means or methods employed in carrying out operations in breach of customs legislation.  
Article 5: Form and substance of requests for assistance  
1. Requests pursuant to this Protocol shall be made in writing either in pri nt 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:  
(a) the applicant authority and requesting official;  
 
1158  (b) the information and/or type of assistance requested;  
(c)  the object of and the reason for the request;  
(d) the laws and regulations and other legal elements involved;  
(e) indications as exact and comprehensive as possible on the goods or persons who are the 
target of the investigations;  
(f) a summary of the relevant facts and of the enquiries already carried out; and  
(g) any a dditional 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 langu age. 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 paragraphs 1 to 3, the 
requested authority may require the correction or the completion of the  request; pending such 
correction or completion, precautionary measures may be ordered.  
Article 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 
prov ision 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 urg ency of the request.  
2. Requests for assistance shall be executed in accordance with the laws and regulations of the 
requested  Party.  
Article 7: Form in which information is to be communicated  
1. The requested authority shall communicate results of enquiries con ducted 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 prov isions 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 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 
 
1159  other concerned authority referred to in paragraph 1 of Artic le 6  [Execution of requests] 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, an d 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 9: Delivery and notification  
1. At the request of the applicant authority, the request ed 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 resid ing 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 10: Automatic exchange of information  
1. The Parties may, by mutual arrangement in accordance with Article 15 of this Protocol 
[Implementation]:  
(a) exchange any information covered by this Protocol on an automatic basis;  
(b) exchange specific informa tion 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 point s (a) and (b) 
of paragraph 1.  
Article 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:  
(a) 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;  
(b) be likely to prejudice public policy, security or other essential interes ts; or  
(c) 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.  
 
1160  3. Where the applicant authority seeks assistance which it would itself be unable to provi de 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 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 subjec t 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 whic h 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 accor dance 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 13: Experts and witnesses  
The r equested 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, docum ents 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 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. Expen ses 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.  
 
1161  Article 15: Implementation  
1. The implementation of this Protocol shall be entru sted 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 practic al 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 i n 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 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 th e Union and the United Kingdom insofar as the provisions of 
those bilateral agreements are incompatible with those of this Protocol.  
Article 17: Consultations  
In respect of the interpretation and implementation  of this Protocol, the Parties shall consult e ach 
other to resolve the matter in the framework of the [Trade Specialised Committee on customs 
cooperation and rules of origin].  
Article 18: Future developments  
With a view to supplementing the levels of mutual assistance provided for in this Protocol, th e 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.  
 
  
 
1162   
PROTOCOL ON SOCIAL SECURITY COORDINATION  
TITLE  I: GENERAL PROVISIO NS 
Article SSC.1:  Definitions  
For the purposes of this Protocol, the following definitions apply:  
(a) "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;  
(b) "activity as a self -employed person" means any activity or equivalent situation treated as such 
for the purposes of the social security legisla tion of the State in which such activity or 
equivalent situation exists;  
(c) “assisted conception services” means any medical, surgical or obstetric services provided for 
the purpose of assisting a person to carry a child;  
(d) “benefits  in kind” means:  
(i) for the purposes of Chapter 1 [Sickness, maternity and equivalent paternity benefits] 
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;  
(ii) for the purposes of Chapter 2 [Accidents at work and occupational diseases] of Title III, 
all benefits in kind relating to accidents at work and occupational diseases as defined 
in point (i) and provided for un der the States' accidents at work and occupational 
diseases schemes;  
(e) “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;  
(f) “civil servant" means a person considered to be such or treated as such by the Stat e to which 
the administration employing them is subject;  
(g) "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 questio n; 
(h) “comp etent institution" means:  
(i) the institution with which the person concerned is insured at the time of the 
application for benefit; or  
(ii) the institution from which the person concerned is or would be entitled to benefits if 
that person or a member or m embers of their family resided in the State in which the 
institution is situated; or  
 
1163  (iii) the institution designated by the competent authority of the State concerned; or  
(iv) in the case of a scheme relating to an employer's obligations in respect of the benefits 
set out in Article SSC.3(1) [ Matters covered] , either the employer or the insurer 
involved or, in default thereof, the body or authority designated by the competent 
authority of the State concerned;  
(i) "competent State" means the State in which the competent  institution is situated;  
(j) "death grant" means any one -off payment in the event of death, excluding the lump -sum 
benefits referred to in point (w);  
(k) "family benefit" means all benefits in kind or in cash intended to meet family expenses;  
(l) "frontier worker" m eans 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;  
(m) “home base” means the place from where the crew member normally s tarts 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;  
(n) "institution" means, in respect of each State, the body or authority r esponsible for applying all 
or part of the legislation;  
(o) "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 t he 
competent authority of the State concerned;  
(p) "insured person", in relation to the social security branches covered by Chapters 1 [Sickness, 
maternity and equivalent paternity benefits]  and 3 [Death grants] of Title III [Special 
provisions concerning the  various categories of benefits], means any person satisfying the 
conditions required under the legislation of the State competent under Title II [Determination 
of the legislation applicable] in order to have the right to benefits, taking into account the 
provisions of this Protocol;  
(q) "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) [Matters covered], but exc ludes 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 obligator y 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 Europe an Union;  
(r) “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 perso n or persons to carry out essential 
activities of daily living for an extended period of time in order to support their personal 
 
1164  autonomy; this includes benefits granted for the same purpose to a person providing such 
assistance;  
(s) "member  of the family" me ans: 
(i) (A) 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;  
 
(B) with regard to benefits in kind pursuant to Title III [Special provisions concerning 
the various categories of benefits], Chapter 1 [Sickness, maternity and equivalent 
paternity benefits], 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 pers on resides;  
 
(ii) if the legislation of a State which is applicable under subparagraph 1 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;  
 
(iii) if, under the legislation which is applicable under subparagraphs (1) and (2), 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;  
 
(t) "period of employment" or "period of self -employment" mean periods so defin ed 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;  
(u) "period of insurance" means periods o f 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 eq uivalent to periods of insurance;  
(v) "period of residence" means periods so defined or recognised by the legislation under which 
they were completed or considered as completed;  
(w) "pension" covers not only pensions but also lump -sum benefits which can be substit uted for 
them and payments in the form of reimbursement of contributions and, subject to the 
provisions of Title III [Special provisions concerning the various categories of benefits], 
revaluation increases or supplementary allowances;  
(x) “pre -retirement bene fit" 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 entitlemen t age is 
reached and which either continues to be provided once the said age is reached or is replaced 
by another old -age benefit;   
 
1165  (y) "refugee" has the meaning assigned to it in Article 1 of the Convention relating to the Status 
of Refugees, signed in Genev a on 28 July 1951;  
(z) “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;  
(aa) "residence" me ans the place where a person habitually resides;  
(bb) “spe cial non -contributory cash benefits’’ means those non -contributory cash benefits which:  
(i) are intended to provide either:  
(A) supplementary, substitute or ancillary cover against the risks covered by the 
branches of social security referred to in Article SSC.3(1) [Matters covered], and 
which guarantee the persons concerned a minimum subsistence income having 
regard to the economic and social situation in the State concerned; or  
(B) solely  specific protection f or the disabled, closely linked to the said person's social 
environment in the State concerned, and  
(ii) where the financing exclusively derives from compulsory taxation intended to cover 
general public expenditure and the conditions for providing and for calcu lating 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;  
(cc) “special scheme for civil se rvants" 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;  
(dd) "stateless person" ha s 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;  
(ee) "stay"  means temporary residence.  
 Article SSC.2:  Persons covered  
This Protocol shall apply to persons, inc luding 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 shall apply to the following branch es of social security:  
(a) sickness benefits;  
(b) maternity and equivalent paternity benefits;  
(c) invalidity benefits;  
(d) old-age benefits;  
 
1166  (e) survivors’ benefits;  
(f) benefits in respect of accidents at work and occupational diseases;  
(g) death grants;  
(h) unemployment benefits;  
(i) pre-retirement benefits.  
2. Unless otherwise provided for in Annex SSC -6 [Special provisions for the application of the 
legislation of the Member States and of the United Kingdom], this Protocol shall apply to general and 
special social security schemes, whet her contributory or non -contributory, and to schemes relating 
to the obligations of an employer or ship -owner.  
3. The provisions of Title III [Special provisions concerning the various categories of benefits] 
shall not, however, affect the legislative provis ions of any State concerning a ship -owner's 
obligations.  
4. This Protocol  shall not apply to:  
(a) special non -contributory cash benefits listed in Part 1 [Special non -contributory cash benefits] 
of Annex SSC -1 [Certain benefits in cash to which the Protocol sha ll not apply];  
(b) social and medical assistance;  
(c) 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, as sassination 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;  
(d) long -term care benefits which are li sted in Part 2 [Long -term care benefits] of Annex SSC -1 
[Certain benefits in cash to which this Protocol shall not apply];  
(e) assisted conception services;  
(f) payments which are connected to a branch of social security listed in paragraph (1) and which 
are:  
(i) paid to meet expenses for heating in cold weather; and  
(ii) listed in Part 3 [Payments which are connected to a branch of social security  listed in 
Article SSC.3(1) [Matters covered] and which are  paid to meet expenses for heating in 
cold weather (point (f) of Article SSC.3(4) [Matters covered]] of Annex SSC -1 [Certain 
benefits in cash to which this Protocol shall not apply];  
(g) 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 -discri mination between the Member States of the Union.  
 
1167  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 thi s Protocol, as regards the branches of social security 
covered by Article SSC.3(1) [Matters covered], 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 
natio nals thereof.  
2. This provision  does not apply to the matters referred to in Article SSC.3(4) [Matters 
covered].  
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:  
(a) 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;  
(b) 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 it s 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 c ompleted 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:  
(a) the acquisition, retention, duration or recovery of the right to benefits;  
(b) the coverage  by legislation; or  
(c) the access to or the exemption from compulsory, optional continued or voluntary insurance.  
Article SSC.8: Waiving of residence rules  
The States sha ll ensure the application of the principle of exportability of cash benefits in accordance 
with paragraphs (a) and (b):  
(a) Cash benefits payable under the legislation of a State or under this Protocol shall not be 
subject to any reduction, amendment, suspensi on, 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.  
(b) Point  (a) does not apply to the cash benef its covered by points (c) and (h) of Article SSC.3(1) 
[Matters covered].   
 
1168  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 r ules 
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 conse quence 
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.12 [ Pursuit of activities in two or more States]  and SSC.13 [ Voluntary 
insurance or optional continued insurance] :  
(a) a person pursuing an activity as an employed or self -employed person in a State shall be 
subject to the legislation of that State;  
(b) a civil servant shall be subject to the legislation of the State to which the administration 
employing  them is subject;  
(c) 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 
remunerate d 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 remunerati on 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 l ocated.  
Article SSC.11: Detached workers  
1. By way of derogation from Article SSC.10(3) [General rules] 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 a pplicable legislation shall apply between the Member States listed in Category 
A of Annex SSC -8 [Transitional provisions regarding the application of Article SSC.11]  and the United 
Kingdom:  
(a) 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 
 
1169  perform work on that employer’s behalf shall continue to be subject to th e legislation of the 
first State, provided that:  
(i) the duration of such work does not exceed 24 months; and  
(ii) that person is not sent to replace another detached worker.  
(b) 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:  
(a) Category A: The Member State has notified the Union that it wishes to derogate from Article 
SSC.10 [General rules]  in accordance with this article;  
(b) Category B: The Member State has notified the Union that it does not wish to derogate from 
Article SSC.10 [General rules] ; or 
(c) Category C: The Member State has not indicated whether it wishes to derogate from Article 
SSC.10 [General rules] or not.  
3. The docu ment referred to in paragraph 2 shall become the content of Annex SSC -8 
[Transitional provisions regarding the application of Article SSC.11]  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 Sta te 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 Committe e 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 [T ransitional provisions  regarding the 
application of Article SSC.11]  as soon as possible thereafter. For the purpose of paragraph 1, Annex 
[SSC -8] [T ransitional provisions regarding the application of Article SSC.11]  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 [T ransitional provisions regarding the 
application of Article SSC.11]  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 remov ed from Category A of Annex SSC -8 [T ransitional provisions 
regarding the application of A rticle SSC.11]  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 [T ransitional provisions regarding the 
 
1170  application of Article SSC.11] , which shall apply as from the first day of the second month following 
the receipt of the request by the Specialised Committee on Socia l Security Coordination.  
9. Where a person is in a situation referred to in paragraph 1 before the publication of an 
updated Annex SSC -8 [T ransitional provisions regarding the application of Article SSC.11]  in 
accordance with paragraph 8, paragraph 1 shall c ontinue 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 the United Kingdom shall be subject to:  
(a) the legislation of the State of residence if that person pursues a substantial part of their 
activity in that State; or  
(b) if that  person does not pursue a substantial part of their activity in the State of resi dence:  
(i) 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  
(ii) 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  
(iii) the legislation of the State in which the regis tered 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 an d the United Kingdom, one of which is 
the State of residence; or  
(iv) 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 diffe rent 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 the United Kingdom shall be subject to:  
(a) the legislation of the State of residence if that person purs ues a substantial part of their activity in 
that State; or  
(b) 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.  
 
 
1171  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:  
(a) is employed by one or more undertakings or employers, all of which have  their registered 
office or place of business in the United Kingdom;  
(b) 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;  
(c) 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 
(d) 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 p erson 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 pro visions, 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 [General rules] and SSC.12 [ Pursuit of activities in two or more States]  shall 
not apply to voluntary insurance or to optional continued insurance unless, in respect of one of the 
branches referred to in Article SSC.3 [Matters covered], only a voluntary scheme of i nsurance 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 respec t 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 
 
1172  an activity as an employed or self -employed person and if such overlapping is explicitly or implicitly 
allowed under the legislation of t he 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, Article SSC.6(b) [ Equal tr eatment of benefits, income, facts or 
events]  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 P ROVISIONS CONCERNING  THE VARIOUS CATEGOR IES 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 inst itution of the place of residence, in accordance with the provisions of the 
legislation it applies, as though that person were insured under the said legislation.  
Article SSC.16: Stay in the competent State when residence is in another State – special rul es 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 [ Residence in a State other than the competent State]  shall also 
be ent itled 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 provisions of 
the legislation it applies, as though the persons concerned res ided 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 [Restriction of rights to benefits in kind for 
members of the family of a frontier worker] 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) [Stay outside the 
competent State].  
 
1173 Article SSC.17:  Stay outside the competent State  
1. Unless otherwise provided for by paragraph 2, an insu red 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 its legislation, as though the person were insured under that legislation, where:  
(a) 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;  
(b) 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  
(c) a val id entitlement document is presented in accordance with Article SSCI.22(1) [ Stay in a 
State other than the competent State ] of Annex SSC -7 [Implementing Part].  
2. Appendix SSCI -2 [Entitlement document ] 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 
appropriat e treatment outside the State of residence  
1. Unless otherwise provided for by 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 instituti on. 
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, b y the institution of the place of stay, in 
accordance with the provisions of 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 benefit s 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 co urse of their illness.  
3. Paragraphs 1 and 2 shall 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 o f paragraph 1, 
the institution of the place of residence of the members of the family shall be considered to be the 
competent institution.   
 
1174  Article SSC.19:  Cash benefits  
1. An insured person and members of their family residing or staying in a State othe r 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 be nefits 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 stipulate s 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 contrib ution 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 shall 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 t hat 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 t he 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 [Right to benefits in kind 
under the legislation of the State of residence] to 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] . 
Section 2:  Special provisions for pensioners and members of their families  
Artic le 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 un der 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 th e legislation of that State.  
 
1175  Article SSC.22: No right to benefits in kind under the legislation of the State of residence  
1. A person who:  
(a) resides in a State;  
(b) receives  a pension or pensions under the legislation of one or more States; and  
(c) is not entitled t o 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 S tate 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 th ough 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:  
(a) 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;  
(b) 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 subje ct for the longest period 
of time;  
(c) if the  application of the rule in subparagraph (b) would result in several States being 
responsible for the cost of those benefits, the cost shall be borne by the competent institution 
of the State to whose legislation t he 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 l egislation 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 their pensions determined in accordance with Article SSC.22(2 ) [No right to benefits in 
kind under the legislation of the State of residence], to the extent that the person and the members 
of their family would be entitled to such benefits if that person resided in that State .  
Article SSC.24: Residence of members o f the family in a State other than the one in which the 
pensioner resides  
Where a person:  
(a) receives a pension or pensions under the legislation of one or more States; and  
(b) resides in  a State other than the one in which members of his or her family reside,  
 
1176  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 legisla tion 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 [Stay outside the competent State] shall apply mutatis mutandis  to:  
(a) 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);  
(b) the members  of their family,  
 who are staying in a State other than the one in which t hey reside.  
2. Article SSC.16(1) [ Stay in the competent State when residence is in another State – special 
rules for the members of the families of frontier workers]  shall apply 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 thi s and is listed in Annex SSC -3 [More rights for 
pensioners returning to the competent State].  
3. Article SSC.18 [Travel with the purpose of receiving benefits in kind – authorisation to 
receive appropriate treatment outside the State of residence] shall ap ply 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 fo r 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 [ Cash benefits]  shall apply mutatis mutandis.  
2. Paragraph 1 shall also apply to the members of a pensioner's family.  
 
1177  Article SSC.27:  Contributions by pensioners  
1. The institution of a State which is responsib le 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 [Right to benefits in kind under 
the legislation of the State of residence] to SSC.24 [Residence of members of the family in a State 
other than the one in which the pensioner resides] is to b e borne by an institution of that State.  
2. Where, in the cases referred to in 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] , the acqu isition 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 [Right to benefits in kind under the legislation of the State of residence] to SSC.27 
[Contributions by pensioners] shall not apply to a pensioner or the mem bers of their 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 a case, the person concerned shall be subject, for the purposes of this 
Chapter, to Articles SSC. 15 [Residence in a State other than the competent State]  to SSC.19 [Cash 
benefits].  
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 otherwi se provided for by paragraph 2, 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 f amily.  
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:  
(a) 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  
(b) 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.  
 
1178  2. The reimbursements referred to in paragraph 1 shall be determined and effected in 
accordance with the arrangements set out in Annex SSC -7 [Implementing Part], 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, 
Articles SSC.15 [ Residence in a State other than the competent State] , SSC.16(1) [ Stay in the 
competent State when residence is in another State – special rules for the members of the families 
of frontier workers], SSC.17(1) [ Stay outside the competent State]  and 18(1) [Travel with the 
purpose of receiving benefits in kind – authorisation to receive appropriate treatment outside the 
State of residence]  shall 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) [Travel with the purpose of receiving benefits in kind – authorisation to receive 
appropriate treatment outside the State of residence] to a person who has sustained an accident at 
work or who has contracted an occupational disease and is entitled to benefits char geable 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 [ Cash benefits]  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 tha t 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 provid es 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 a t the time of the accident.  
 
1179  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:  
(a) 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 questio n, 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;  
(b) if the person concerned, while in receipt of benefits, has pursued such an ac tivity 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 shal l 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;  
(c) 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 o f 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 r esides 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 eve nt 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 
insti tution that is competent for the benefits in kind under the legislation of the competent State.  
3. Article SSC.6 [ Equal treatment of benefits, income, facts or events]  shall apply 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 o f incapacity, the right to benefits or the amount thereof, 
on condition that:  
 
1180  (a) 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  
(b) 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 be en 
confirmed.  
Article SSC.36: Reimbursements between institutions  
1. Article SSC.30 [ Reimbursements between institutions]  shall also apply 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 perso n 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 institutio n 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 o r 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 [ No right to benefits in kind under the legislation of the State of 
residence]  and 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] , the death grants payable 
under the legislation administered by that institution shall be pro vided 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 shall apply 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 [ Aggregation of periods], w here, under the legislation of the State 
competent under Title II [Determination of the legislation applicable] 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 
 
1181  completed under the legislation of another State fo r 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 benefi ts conditional upon the completion of periods of insurance or residence shall, 
where necessary, apply Article SSC.46 [ Special provisions on aggregation of periods]  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 [Old -
age and survivors’ pensions].  
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 [ General provisions] , 
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 ser vants  
Articles SSC.7 [Aggregation of periods], SSC.39 [Calculation of invalidity benefits], SSC.41 
[Aggravation of invalidity], SSC.42 [Conversion of invalidity benefits into old -age benefits] and 
paragraphs 2 and 3 of Article SSC.55 [Special provisions fo r civil servants] shall 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 [Determination of 
the legislation applicable], no child -raising period is taken into account, the institution of the State 
whose legislation, according to Title II [Determination of the legislation applicable], was applica ble 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 rem ain 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 legisla tion 
of another State due to the pursuit of an employed or self -employed activity.  
 
1182  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 co ncerned 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 p erforming the calculation in accordance with points (a) or (b) of Article SSC.47(1) 
[Award of benefits] , 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 lo wer 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 
fulfil led 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 pa ragraphs 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 empl oyed 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 com pleted 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 sat isfy 
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 ge neral 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 ta ken 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 [ Periods 
of insurance or residence of less than one year] .  
 
1183  Article SSC.47:  Award of benefits  
1. The competent institution shall calculate the amount of the benefit that would be due:  
(a) under the legislation it applies, only where the conditions for entitlement to benefits have 
been satisfied exclusively under national law (independent benefit);  
(b) by calculating a theoretical amount and subsequently an actual amount (pro rata benefit), as 
follows :  
(i) the theoretical amount of the benefit is equal to the b enefit which the person 
concerned could claim if all the periods of insurance 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;  
(ii) the competent institution shall then establish the actual amount of the pro rata 
benefit by app lying 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 legisla tions 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 legisla tion it applies, within the limits provided for by Articles SSC.48 [Rules to 
prevent overlapping]   to SSC.50 [Overlapping of benefits of a different kind].  
3. The person concerned shall be entitled to receive from the competent institution of each 
State th e 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 ben efit, calculated in accordance 
with point (b) of paragraph 1, the competent institution shall waive the pro rata calculation, 
provided that:  
(a) such a situation is set out in Part 1 of Annex SSC -4 [Cases in which the pro rata 
calculation shall be waived or shall not apply].  
(b) no legislation containing rules against overlapping, as referred to in Articles SSC.49 
[Overlapping of benefits of the same kind]  and SSC.50 [ Overlapping of benefits of a 
different kind] , is applicable unless the conditions laid down in Article SSC.50(2) 
[Overlapping of benefits of a different kind] , are fulfilled; and  
(c) Article SSC.52 [ Periods of insurance or residence of less than one year]  is not 
applicable in relation to periods completed under the legislation of another State in 
the s pecific circumstances of the case.  
5. Notwithstanding the provisions of 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 su ch schemes being listed in part 2 of Annex SSC -4 [Cases in which the pro 
rata calculation shall be waived or shall not apply]. In such cases, the person concerned shall be 
entitled to the benefit calculated in accordance with the legislation of the State c oncerned.  
 
1184  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 be nefits 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:  
(a) 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;  
(b) the competent institution shall take into accou nt 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 suc h deductions, under the conditions and the procedures laid down in 
Annex SSC -7 [Implementing Part];  
(c) the competent institution shall not take into account the amount of benefits acquired under 
the legislation of another State on the basis of voluntary insur ance or continued optional 
insurance;  
(d) if a single State applies rules to prevent overlapping because the person concerned receiv es 
benefits of the same or of a different kind under the legislation of other States or income 
acquired in other States, the ben efit 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 overlap ping 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) a benefit the amount of which does not depend on the duration of periods of insurance or 
residence; or  
(b) 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 materiali sed and a later date, overlapping 
with:  
(i) 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  
(ii) a benefit referred to in point (a).  
 
1185  The benefits and agreements referred to in points (a) and (b) are listed in Annex SSC -5 [Benefits and 
agreements which allow the application of Article SSC.49 [Overlapping of benefits of the same kind]].  
Article SSC.50:  Overlapping of benefits of a diffe rent 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:  
(a) 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 subparagraph cannot deprive the person concerned o f 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 [Implementing Part];  
(b) one or more pro rata benefits, the competent institutions shall take into account the b enefit 
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 or residence 
established for the calculation referred to in point (b)(ii) of Articl e SSC.47(1) [Award of 
benefits];  
(c) 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 or residence referred to in point (b)(ii) of Article SSC.47(1) 
[Award of benefits] .  
3. Paragraphs 1 and 2 shall apply mutatis mutandis  where the legislation of one or more Sta tes 
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) [Award of benefits], the following rules shall apply:  
(a) where the total length of the periods of insurance 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 i nto 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 i t applies. This provision shall not apply to benefits the amount of which 
does not depend on the length of insurance;  
(b) the procedure for taking into account overlapping periods is laid down in Annex SSC -7 
[Implementing Part];  
 
1186  (c) 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 instituti on shall:  
(i) determine the basis for calculation of the benefits in accordance only with periods of 
insurance completed under the legislation it applies;  
(ii) use, in order to determine the amount to be calculated in accordance with the periods 
of insurance or residence completed under the legislation of the other States, the 
same elements determined or recorded for the periods of insurance completed under 
the l egislation it applies;  
where necessary in accordance with the procedures laid down in Annex SSC -6 [Special 
provisions for the application of the legislation of the Member States and of the 
United Kingdom] for the State concerned;  
(d) 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 res pect 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 ad ministers 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 appro priate, 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 ins urance or residence of less than one year  
1. Notwithstanding point (b) of Article SSC.47(1) [Award of benefits], 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:  
(a) the duration of the said periods is less than one year, and  
(b) 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 s hall take into account the 
periods referred to in paragraph 1, for the purposes of point (b)(i) of Article SSC.47(1) [Award of 
benefits].  
3. If the effect of applying paragraph 1 would be to relieve all the institutions of the States 
concerned of their ob ligations, 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 Articles SSC.7 [ Aggrega tion of periods]  and 
SSC.46(1) and (2) [ Special provisions on aggregation of periods]  had been completed under the 
legislation of that State.  
 
1187  4. This Article shall not apply to schemes listed in Part 2 [Cases in which Article 47(5) applies] of 
Annex SSC -4 [Cases in which the pro rata calculation shall be waived or shall not apply].  
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 payabl e 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 ins titution 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: Recalculati on 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 [Award of benefits].  
2. On the other hand, if, by reason of an increase in the cost of living or changes in the le vel 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 [Award of  benefits], without the need for a 
recalculation.  
Article SSC.55:  Special provisions for civil servants  
1. Articles SSC.7 [ Aggregation of periods] , SSC.45 [ General provisions] , SSC.46(3) [ Special 
provisions on aggregation of periods]  and SSC.47 [ Award of benefits ] to SSC.54 [ Recalculation and 
revaluation of benefits]  shall 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 rec overy 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 do es 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  
 
1188  Article SSC.56: Special provisions on a ggregation 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 applie s. 
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 unl ess 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 rec ently completed, in accordance with the legislation under which the benefits are 
claimed:  
(a) periods of insurance, if that legislation requires periods of insurance,  
(b) periods of employment, if that legislation requires periods of employment, or  
(c) 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 [  
Aggregation of periods]  shall not apply.  
TITLE IV: MISCELLANE OUS 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 
 
1189  covered by Article SSC.3 [Matters covered] 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 Coordin ation, 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 the Protocol.  
3. For the purposes of this Prot ocol, the authorities and institutions of the Member States and 
of the United Kingdom shall lend one another their good offices and act as though implementing 
their own legislation. The administrative assistance given by the said authorities and institutio ns 
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 th e 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 famil y 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 nati onal 
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 Pro tocol.  
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 co ntact 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, inst itutions 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 prog ressively 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.  
 
1190  3. An electronic document sent or issued by an  institution in conformity with the Protocol and 
Annex SSC -7 [Implementing Part] 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 corr esponding 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 forme r 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 the ir 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 [Implementing Part] or agreed between the competent authorities of the States concerned.  
2. Medical exa minations 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 contribution s 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.   
 
1191  2. Enforceable decisions of the judicial and administrative authorities relating to the collection 
of contributions, interest and any o ther 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 d own 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 institu tion 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 [Implementing Part] 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 f or the injury shall be governed by the 
following rules:  
(a) 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 re cognised by each State;  
(b) 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 injur y 
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 comp etent 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 Articles SSC.30(3) [ Reim bursements between institutions ] or 
36(2) [ Reimbursements between institutions] , two or more States or their competent authorities 
have concluded an agreement to waive reimbursement between institutions under their jurisdiction, 
or, where reimbursement doe s not depend on the amount of benefits actually provided, any rights 
arising against a liable third party shall be governed by the following rules:  
(a) 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;  
(b) for the applicat ion of (a):  
(i) the person receiving benefits shall be deemed to be insured with the institution of the 
place of residence or stay, and  
 
1192  (ii) that institution shall be deemed to be the institution responsible for providing 
benefits;  
(c) 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 
[Special provisions for the application of the legislation of the Member States and of the United 
Kingdom].  
TITLE V: FINAL PROVI SIONS  
Article SSC.67: Protection of individual rights  
1. The Parti es 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 these provisions, so that legal or na tural persons can invoke the 
said 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 possibil ity 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 FINPROV.8 [Termination], each Party may at any moment terminate this 
Protocol, by written notific ation 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 [Termination of this Protocol], Article 
SSC.70 [Sunset clause] or Article FINPROV.8 [Termination], the rights of insured persons regarding 
entitlements which are based on periods c ompleted or facts or events that occurred before this 
Protocol ceases to apply shall be retained. The Partnership Council may lay down additional 
 
1193  arrangements setting out appropriate consequential and transitional arrangements in good time 
before this Prot ocol ceases to apply.   
 
1194  ANNEX SSC -1: CERTAIN BENEFITS IN CASH TO WHICH THE PROTOCOL SHALL NOT APPLY  
Part 1: Special non -contributory cash benefits (point (a) for Article SSC.3(4)[Matters covered])  
(i) UNITED KINGDOM  
(a) State Pension Credit (State Pension Credit Ac t 2002 and State Pension Credit Act (Northern 
Ireland) 2002)  
(b) Income -based allowances for jobseekers (Jobseekers Act 1995 and Jobseekers (Northern 
Ireland) Order  1995)  
(c) Disability Living Allowance, mobility component (Social Security Contributions and Benefits Act 
1992 and Social Security Contributions and Benefits (Northern Ireland) Act 1992)  
(d) Personal Independence Payment, mobility component (Welfare Reform Act 2012 (Part 4) and 
Welfare Reform (Northern Ireland) Order 2015 (Part 5))  
(e) Employment and Supp ort Allowance Income -related (Welfare Reform Act 2007 and Welfare 
Reform Act (Northern Ireland) 2007)  
(f) Best Start Foods payment (Welfare Foods (Best Start Foods) (Scotland) Regulations 2019 (SSI 
2019/193))  
(g) 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))  
(h) Funeral  Support Payment (Funeral Expense Assistance (Scotland) Regulations 2019 (SSI 
2019 /292)).  
(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 19 78 on Social insurance for farmers — BSVG).  
BELGIUM  
(a) Income replacement allowance (Law of 27 February 1987)  
(b)  Guaranteed income for elderly persons (Law of 22 March 2001).  
BULGARIA  
Social Pension for old age (Article 89 of the Social Insurance Code).  
CYPRUS  
(a) Social Pension (Social Pension Law of 1995 (Law 25(I)/95), as amended)  
(b) 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)  
(c) Special grant to blind persons (Special Grants Law of 1996 (Law 77(I)/96), as amended).  
 
1195  CZECH REPUBLIC  
Social allowance (State Social Support Act No 117/1995 Sb.).  
DENMARK  
Accommodation expenses for pensioners (Law on individual accommodation assistance, 
conso lidated by Law No 204 of 29 March 1995).  
ESTONIA  
(a) Disabled adult allowance (Social Benefits for Disabled Persons Act of 27 January 1999)  
(b) State unemployment allowance (Labour Market Services and Support Act of 29 September 
2005).  
FINLAND  
(a) Housing allowance for pensioners (Act concerning the Housing Allowance for pensioners, 
571/2007)  
(b) Labour market support (Act on Unemployment Benefits 1290/2002)  
(c) Special assistance for immigrants (Act on Special Assistance for Immigrants, 1192/2002).  
FRAN CE  
(a) Supplementary allowances of:  
(i) the Special Invalidity Fund; and  
(ii) the Old  Age Solidarity Fund in respect of acquired rights  
(Law of 30 June 1956, codified in Book VIII of the Social Security Code);  
(b) Disabled adults’ allowance (Law of 30 June 1975, codified in Book VIII of the Social Security 
Code)  
(c) Special allowance (Law of 10 July 1952, codified in Book VIII of the Social Security Code) in 
respect of acquired rights  
(d) Old-age solidarity allowance (ordinance of 24 June 2004, codified in Book VIII of the Social 
Security Code) as of 1 January 2006.  
GERMANY  
(a) Basic subsistence income for the elderly and for persons with reduced earning capacity under 
Chapter 4 of Book XII o f the Social Code  
(b) Benefits to cover subsistence costs under the basic provision for jobseekers unless, with 
respect to these benefits, the eligibility requirements for a temporary supplement following 
receipt of unemployment benefit (Article 24(1) of Book II of the Social Code) are fulfilled.  
GREECE  
Special benefits for the elderly (Law 1296/82).  
 
1196  HUNGARY  
(a) Invalidity annuity (Decree No 83/1987 (XII 27) of the Council of Ministers on Invalidity Annuity)  
(b) Non -contributory old age allowance (Act III of 1993 on Social Administration and Social 
Benefits)  
(c) Transport allowance (Government Decree No 164/1995 (XII 27) on Transport Allowances for 
Persons with Severe Physical Handicap).  
IRELAND  
(a) Jobseekers' allowance (Social Welfare Consolidation Act 2005, Part 3, Ch apter 2)  
(b) State pension (non -contributory) (Social Welfare Consolidation Act 2005, Part 3, Chapter 4)  
(c) Widow’s (non -contributory) pension and widower’s (non -contributory) pension (Social 
Welfare Consolidation Act 2005, Part 3, Chapter 6)  
(d) Disability allowanc e (Social Welfare Consolidation Act 2005, Part 3, Chapter 10)  
(e) Mobility allowance (Health Act 1970, Section 61)  
(f) Blind pension (Social Welfare Consolidation Act 2005, Part 3, Chapter 5).  
ITALY  
(a) Social pensions for persons without means (Law No 153 of 30 April 1969)  
(b) 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)  
(c) Pensions and allowances for the deaf and dumb (Laws No 381 of 26 May 1970 and No 508 of 
23 No vember 1988)  
(d) Pensions and allowances for the civilian blind (Laws No 382 of 27 May 1970 and No 508 of 23 
November 1988)  
(e) 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)  
(f) Benefits supplementing disability allowances (Law No 222 of 12 June 1984)  
(g) Social allowance (Law No 335 of 8 August 1995)  
(h) Social increase (Article 1(1) and (12) of Law No 544 of 29 December 1988 and successive 
amendments).  
LATVIA  
(a) State Social Security Benef it (Law on State Social Benefits of 1 January 2003)  
(b) Allowance for the compensation of transportation expenses for disabled persons with 
restricted mobility (Law on State Social Benefits of 1 January 2003).  
LITHUANIA  
 
1197  (a) Social assistance pension (Law of 2005 on State Social Assistance Benefits, Article 5)  
(b) Relief compensation (Law of 2005 on State Social Assistance Benefits, Article 15)  
(c) Transport compensation for the disabled who have mobility problems (Law of 2000 on 
Transport Compensation, Article 7).  
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 envi ronment.  
MALTA  
(a) Supplementary allowance (Section 73 of the Social Security Act (Cap. 318) 1987)  
(b) Age pension (Social Security Act (Cap. 318) 1987).  
NETHERLANDS  
(a) Work and Employment Support for Disabled Young Persons Act of 24 April 1997 (Wet Wajong)  
(b) Supplementary Benefits Act of 6 November 1986 (TW).  
POLAND  
Social pension (Act of 27 June 2003 on social pensions).  
PORTUGAL  
(a) Non -contributory State old -age and invalidity pension (Decree -Law No 464/80 of 13 October 
1980)  
(b) Non -contributory widowhood pension (Regulatory Decree No 52/81 of 11 November 1981)  
(c) Solidarity supplement for the elderly (Decree – Law No 232/2005 of 29 December 2005, 
amended by Decree – Law No 236/2006 of 11 December 2006).  
SLOVAKIA  
(a) Adjustment awarded before 1 January 2004 to pensions constituting the sole source of 
income  
(b) Social pension which has been awarded before 1 January 2004.  
SLOVENIA  
(a) State pension (Pension and Disability Insurance Act of 23 December 1999)  
(b) Income support fo r pensioners (Pension and Disability Insurance Act of 23 December 1999)  
(c) Maintenance allowance (Pension and Disability Insurance Act of 23 December 1999).  
SPAIN  
(a) Minimum income guarantee (Law No 13/82 of 7 April 1982)  
 
1198  (b) Cash benefits to assist the elderly and invalids unable to work (Royal Decree No 2620/81 of 24 
July 1981):  
(i) Non -contributory invalidity and retirement pensions as provided for in Article 38(1) of 
the Consolidated Text of the General Law on Social Security, approved by Royal 
Legislative Decree  No 1/1994 of 20 June 1994; and  
(ii) 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 situa tion in the 
Comunidades Autonómas concerned;  
(c) Allowances to promote mobility and to compensate for transport costs (Law No 13/1982 of 7 
April 1982).  
SWEDEN  
(a) Housing supplements for persons receiving a pension (Law 2001:761);  
(b) Financial support for the eld erly (Law 2001:853).  
 
Part 2: Long -term care benefits (point (d) of Article SSC.3(4) [Matters covered] of the Protocol)  
(i) UNITED KINGDOM  
(a) 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)  
(b) Carer’s Allowance (Social Security Contributions and Benefits Act 1992, The Social Secu rity 
(Invalid Care Allowance) Regulations 1976, Social Security Contributions and Benefits 
(Northern Ireland) Act 1992) and The Social Security (Invalid Care Allowance) Regulations 1976 
(Northern Ireland)  
(c) 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 Ir eland) 1992)  
(d) 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 Prov isions) Regulations 
(Northern Ireland) 2016 and Personal Independence Payment (Transitional Provisions) 
(Amendment) Regulations (Northern Ireland) 2019)  
(e) Carer’s Allowance Supplement (The Social Security (Scotland) Act 2018)  
 
1199  (f) Young Carer’s Grant (The Carer’s  Assistance (Young Carer Grants) (Scotland) Regulations 2020 
(as ame nded)).  
 
(ii) MEMBER STATES  
AUSTRIA  
(a) Federal Long -term care allowance Act (Bundespflegegeldgesetz, BPGG), original version BGBl. 
no. 110/1993, last amendment BGBl - I no. 100/2016  
(b) Regulation on the staging of the Federal long -term care allowance (Einstufungsverordnung 
zum Bundespflegegeldgesetz (EinstV)):  
(c) Regulation of the Federal minister for Labour, Social affairs and Consumer protection on 
needs assessments of care for children and young peopl e in accordance with the Federal 
Nursing Care Act. (Bundespflegegeldgesetz , Kinder -EinstV)  
(d) Numerous applicable statutory bases, e.g. Agreement between the Federal Government and 
the Länder on joint measures for persons in need of care. Social Assistance A cts and Disability 
Acts of the Länder  
(e) Care Fund Law (Pflegefondsgesetz, PFG), Original version: Official Journal (BGBI. I) No. 
57/2011  
(f) Care Services Statistics Ordinance 2012 (Pflegedienstleistungsstatistik -Verordnung 2012)  
(g) Support for the 24 -hour care: Fe deral Long -term care allowance Act 
(Bundespflegegeldgesetz,BPGG):  
(h) Guidelines for the support of the 24 -hour care (§ 21b of the Federal Long -term care allowance 
Act (Bundespflegegeldgesetz))  
(i) Guidelines for granting benefits to support caring family members (§ 21a of the Federal Long -
term care allowance Act (Bundespflegegeldgesetz))  
(j) Care recourse interdiction  
(k) Federal Act on a specific supplement due to the abolition of access to funds when housing 
people in inpatient care facilities  
(l) Federal Act on a specific supplement due to the abolition of access to funds when housing 
people in inpatient care facilities for 2019 and 2020, BGBl. I No 95/2019.  
BELGIUM  
(a) 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  
(b) Act of 27 February 1987 on allowances for persons with disabilities (Loi relative aux allocations 
aux personnes handica pées/Wet betreffende de tegemoetkomingen aan gehandicapten)  
 
1200  (c) 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 bescherm ing/) and Orders of the Flemish government of 30 November 2018  
(d) Walloon Code for Social Action and Health (Code wallon de l’Action sociale et de la Santé), 
decretal part. Part 1, book IIIter, instituted by Decree of 8 November 2018  
(e) Walloon Regulatory Code f or Social Action and Health, part I/1 instituted by Walloon 
Government Decree of 21 December 2018  
(f) 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 Unt erstützungsbedarf sowie 
über die Palliativpflege)  
(g) Decree of 4th June 2007 on psychiatric nursing homes (Dekret über die psychiatrischen 
Pflegewohnheime)  
(h) Government Decree of 20 June 2017 on mobility aids (Erlass über die Mobilitätshilfen)  
(i) 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)  
(j) Royal Decree of 5th March 1990 on the allowance for assistance to the elderly (Arrêté royal du 
5 mars 1990 relatif à l'allocation pour l'aide aux personnes âgées)  
(k) Government Decree of 19 December 2019 on transitional arrangements relating to the 
procedure for obtaining a prior authorization or an approval for the cove rage or the sharing of 
costs of long -term rehabilitation abroad (Erlass der Regierung zur übergansweisen Regelung 
des Verfahrens zur Erlangung einer Vorabgeehmigung oder Zustimmung zwecks 
Kostenübernahme oder Kostenbeteiligung für eine Langzeitrehabilitati on im Ausland)  
(l) Order of 21 December 2018 on Brussels health insurance bodies in the field of health care and 
assistance to people (Ordonnance du 21 décembre 2018 relative aux organismes assureurs 
bruxellois dans le domaine des soins de santé et de l'aide a ux personnes)  
(m) Cooperation between federated entities:  
(n) 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  
(o) Cooperation agreement of 31 December 2018 between the Flemish Community, the Walloon 
Region, the French Community, the Joint Community Commission, the French Community 
Commission and the German -speaking Community concerning the financing of c are when 
using care institutions located outside the limits of the federated entity.  
BULGARIA  
(a) Social Insurance Code (Кодекс за социално осигуряване), 1999 title amended 2003  
(b) Law on Social  Assistance  (Закон за социално подпомагане), 1998  
(c) Regulation  on the Implementation  of the Law on Social  Assistance  (Правилник за прилагане 
на Закона за социално подпомагане), 1998  
 
1201  (d) Law on Integration of People with Disabilities 2019 (Закон за хората с увреждания), 2019  
(e) Personal Assistance Act 2019 (Закон за личната помощ) 2019 which will enter into force on 
1st September 2019  
(f) Regulation on the Implementation of the Law on Integration of People with Disabilities 
(Правилник за прилагане на Закона за интеграция на хората с увреждания), 2004  
(g) Ordinance on the medical expertise ( Наредба за медицинската експертиза) 2010  
(h) Tariff of the Fees for Social Services Financed by the State Budget (Тарифа за таксите за 
социални услуги, финансирани от държавния бюджет), 2003.  
CROATIA  
(a) Social Welfare Act (Zakon o socijalnoj skrbi) of 2013, OJ no. 157/13, 152/14, 99/15, 52/16, 
16/17, 130/17 and 98/19)  
(b) Foster Families Act (Zakon o udomiteljstvu) OJ no. 90/11 and 78/12, as amended  
(c) Ordinance on minimum requirements for delivery of social services (Pravilnik o minimalnim 
uvjetima za pružanje socijal nih usluga) of 2014, OJ no 40/14 and 66/15  
(d) Ordinance on participation and method of payment of beneficiaries in the maintenance costs 
of accommodation outside the family (Pravilnik o sudjelovanju i načinu plaćanja korisnika I 
drugih obveznika uzdržavanja u  troškovima smještaja izvan vlastite obitelji) of 1998, OJ no. 
112/98 and 05/02, as amended  
(e) Ordinance on the content and manner of keeping records of individuals who are professionally 
engaged in social services delivery as a profession (Pravilnik o sadrža ju I načinu vođenja 
evidencije fizičkih osoba koje profesionalno pružaju socijalne usluge) of 2015, OJ no. 66/15.  
CYPRUS  
(a) Social  Welfare  Services  (Υπηρεσίες Κοινωνικής Ευημερίας):  
(b) The Guaranteed Minimum Income and in General the Social Benefits (Emergency N eeds 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]  
(c) Adult Day -Care Centres Laws ( Οι περί Κέντρων Ενηλίκων Νόμοι)(L. 38(Ι)/1997 and 
L.64(Ι)/2011).  
(d) 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]  
(e) Welfare Benefits Administration Service (Υπηρεσία Διαχείρισης Επιδομάτων Πρόνοιας):  
(f) The Guaranteed Minimum Income and generally for Welfare Benefits Law of 2014 as it is 
amended or supersed ed 
(g) The Guaranteed Minimum Income and generally for Welfare Benefits Regulations and Decrees 
as they are amended or superseded.  
 
1202  CZECH REPUBLIC  
(a) Act. No. 108/2006 on social services (Zákon o sociálních službách)  
(b) Act No. 372/2011 on Health Services (Zákon o zd ravotních službách)  
(c) Act No. 48/1997 on Public Health Insurance (Zákon o veřejném zdravotním pojištění).  
DENMARK  
(a) Consolidated Act No 988 of 17 August 2017 on Social Services (om social service)  
(b) Consolidated Act No 119 of 1 February 2019 on Social Housing (om almene boliger).  
ESTONIA  
Social Welfare Act (Sotsiaalhoolekande seadus) 2016.  
FINLAND  
(a) Services and Assistance for the Disabled Act (Laki vammaisuuden perusteella järjestettävistä 
palveluista ja tukitoimista) of 3 April 1987  
(b) Act on Supporting the Functional Capacity of the Ageing Population and on Social and Health 
Care Services for Older People (Laki ikääntyneen väestön toimintakyvyn tukemisesta sekä 
iäkkäiden sosiaali - ja terveyspalveluista) of 28 December 2012  
(c) Social Welfare Act (Sosiaalihuoltol aki) of 30 December 2014  
(d) Health Care Act (Terveydenhuoltolaki) of 30 December 2010  
(e) Primary Health Care Act (Kansanterveyslaki) of 28 January 1972  
(f) Act on Informal Care Support (Laki omaishoidon tuesta) of 2 December 2005  
(g) Family Care Act (Perhehoitolaki) of 20 March 2015.  
FRANCE  
(a) Supplement for a third party (majoration pour tierce personne, MTP):  
(b) Articles L. 341 -4 and L. 355 -1 of the Social Security Code (Code de la sécurité sociale)  
(c) Supplementary benefit for recourse to a third party (prestation complémentai re pour recours 
à tierce personne): Article L. 434 -2 of the Social Security Code  
(d) 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  
(e) Disability compensa tion 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).  
(f) 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  
 
1203  (a) Long -term care insurance (Pflegeversicherung):  
(b) Social long -term care insurance for persons insured under statutory sickness insurance an d 
private compulsory long -term care insurance for persons insured under private sickness 
insurance: Social CodeSozialgesetzbuch, Book XI (SGB XI), last amended by Article 2 of the Act 
of 21 December 2019 (BGBl. I p. 2913).  
GREECE  
(a) Law No. 1140/1981, as amended  
(b) Legislative Decree No. 162/73 and Joint Ministerial Decision No. Π4β/5814/1997  
(c) Ministerial Decision No. Π1γ/ΑΓΠ/οικ.14963 of 9 October 2001  
(d) Law No. 4025/2011  
(e) Law No. 4109/2013  
(f) Law No. 4199/2013 art. 127  
(g) Law No. 4368/2016 art. 334  
(h) Law No. 4483/2017 art. 153  
(i) 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  
(a) Long -term care services providing personal social care (social services):  
(b) Act III of 1993  on Social Administration and Social Assistance (törvény a szociális igazgatásról 
és szociális ellátásokról) supplemented by Government and Ministerial decrees.  
IRELAND  
(a) Health Act 1970 (No. 1 of 1970)  
(b) Nursing Homes Support Scheme Act 2009 (No. 15 of 2009)  
(c) Social Welfare Consolidation Act 2005:  
(d) Constant Attendance Allowance  
(e) Carer's Benefit  
(f) Carer's Allowance  
(g) Carer’s Support Grant  
(h) Domiciliary Care Allowance.  
ITALY  
(a) 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)  
 
1204  (b) 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)  
(c) 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)  
(d) Legislative Decree No. 112 of 31 Mar ch 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 ent i locali, in attuazione del capo I della Legge 15 Marzo 1997, n. 59)  
(e) Regulation (CE) 883/04.on social security coordination of the European Parliament and Council 
(Regolamento (CE) 883 del 29 aprile 2004 del Parlamento Europeo e del Consiglio, relativo al 
coordinamento dei sistemi di sicurezza sociale - SNCB – art 70 and Annex X)  
(f) 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 20 10, art. 
24 - Modifiche alla disciplina in materia di permessi per l’assistenza a portatori di handicap in 
situazione di gravità)  
(g) 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  
(a) Law on Social Services and Social Assistance (Sociālo pakalpojumu un sociālās palīdzības 
likums) 31/10/2002  
(b) Medical Treatme nt Law (Ārstniecības likums) 12/06/1997  
(c) Law on Patient Rights (Pacientu tiesību likums) 30/12/2009  
(d) 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  
(e) 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 Lo cal 
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  
(f) 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.  
LITHUANIA  
(a) Law on Target compensations (Tikslinių kompensacijų įstatymas) of 29 June 2016 (No. XII -
2507)  
(b) Law on Social Services (Socialinių paslaugų įstatymas) of 19 January 2006 (No. X -493)  
 
1205  (c) Law on Health Insurance (Sveikatos draudimo įstatymas) of 21 May 1996 (No I -1343)  
(d) Law on H ealthcare system (Sveikatos sistemos įstatymas) of 19 July 1994 (No I -552)  
(e) Law on Health Care Institutions (Sveikatos priežiūros įstaigų įstatymas) of 6 June 1996 (No. I -
1367).  
LUXEMBOURG  
Law of 19 June 1998 introducing the dependency insurance, amended by  the Law of 23 December 
2005 and the Law of 29 August 2017.  
MALTA  
(a) Social Security Act (Att dwar is -Sigurta' Socjali) (Cap. 318)  
(b) Subsidiary Legislation 318.19: State -Owned Institutions and Hostels Rates Regulations 
(Regolamenti dwar it -Trasferiment ta' Fondi għal Hostels Statali Indikati)  
(c) Subsidiary Legislation 318.17: Transfer of Funds (Government Financed Beds) Regulations 
(Regolamenti dwar it -Trasferiment ta' Fondi għal Sodod Iffinanzjati mill -Gvern)  
(d) Subsidiary Legislation 318.13: State Financed Resid ential Services Rates Regulations 
(Regolamenti dwar Rati għal Servizzi Residenzjali Finanzjali mill -Istat).  
THE NETHERLANDS  
Long term care act (Wet langdurige zorg (WLZ)), Law of 3 December 2014.  
POLAND  
(a) Law on Health Care Services financed from Public Means (Ustawa o świadczeniach opieki 
zdrowotnej finansowanych ze środków publicznych) of 27 August 2004  
(b) Law on Social Assistance (Ustawa o pomocy społecznej) of 12 March 2004  
(c) Law on Family Benefits (Ustawa o świadczeniach rodzinnych) of 28 November 2003  
(d) Law on Social Pension (Ustawa o rencie socjalnej) of 27 June 2003  
(e) Law on Social Insurance Fund Pensions (Ustawa o emeryturach i rentach z Funduszu 
Ubezpieczeń Społecznych) of 17 December 1998  
(f) Law on Vocational and Social Rehabilitation and Employment of Disa bled Persons (Ustawa o 
rehabilitacji zawodowej i społecznej oraz zatrudnianiu osób niepełnosprawnych) of 27 August 
1997  
(g) Law on support for pregnant women and their families “For life” (Ustawa o wsparciu kobiet w 
ciąży i rodzin “Za życiem”) of 4 November 20 16 
(h) Law on supplementary benefit for persons unable to live independently (Ustawa o 
świadczeniu uzupełniającym dla osób niezdolnych do samodzielnej egzystencji) of 31 July 2019  
PORTUGAL  
(a) Social insurance and guaranteeing sufficient resources:  
 
1206  (b) Statutory Decree 265/99 of 14 July 1999 on the long -term care supplement (complemento por 
dependência), as amended on several occasions  
(c) Act 90/2009 of 31 August 2009 on the special protection system in case of disability (regime 
especial de proteção na invalidez), r e-published in consolidated version by Statutory Decree 
246/2015 of 20 October 2015, amended  
(d) Social security system and National Health Service:  
(e) Statutory Decree 101/06 of 6 June 2006 on the National network of integrated continuing care 
(rede de cuidados continuados integrados), re -published in a consolidated version in Statutory 
Decree 136/2015 of 28 July 2015  
(f) Decree -Law n° 8/2010 of 28 January 2010, amended and republished by Decree -Law n° 
22/2011 of 10 February 2011 on the creation of units and teams fo r integrated continuous 
care in mental health (unidades e equipas de cuidados continuados integrados de saúde 
mental)  
(g) Decree n° 343/.2015 of 12 October 2015 on standards governing hospital and ambulatory 
paediatric care as well as the discharge management teams and the paediatric care teams 
within the framework of the national network of long -term integrated care (condições de 
instalação e funcionamento das unidades de internamento de cuidados integrados pediátricos 
e de ambulatório pediátricas, bem como as  condições a que devem obedecer as equipas de 
gestão de altas e as equipas de cuidados continuados integrados destinadas a cuidados 
pediátricos da Rede Nacional de Cuidados Continuados Integrados)  
(h) Law n° 6/2009 of 6 September on the status of informal care r (Estatuto do cuidador informal).  
ROMANIA  
(a) Law 17 of 6 March 2000 on Social Assistance of Senior Persons (Legea privind asistenta sociala 
a persoanelor varstnice), with subsequent amendments  
(b) Law 448 of 6 December 2006 on Protection and Promotion of the Rights of Persons with 
Disability (Legea privind protectia si promovarea drepturilor persoanelor cu handicap), with 
subsequent amendments  
(c) Social Assistance Law (Legea asistentei sociale) No. 292 of 20 December 2011.  
SLOVAKIA  
(a) Law on Social Services (Zákon o  sociálnych službách) No. 448/2008  
(b) Law on Financial Benefits for Compensation of Disabled Persons (Zákon o peňažných 
príspevkoch na kompenzáciu ťažkého zdravotného postihnutia) No. 447/2008  
(c) Law on Health Care and Services Related to Health Care (Zákon o zd ravotnej starostlivosti a 
službách súvisiacich s poskytovaním zdravotnej starostlivosti) No. 576/2004  
(d) Law on Health Care Providers, Medical Workers and Professional Medical Associations (Zákon 
o poskytovateľoch zdravotnej starostlivosti, zdravotníckych pra covníkoch a stavovských 
organizáciách v zdravotníctve) No. 578/2004  
(e) Law on Subsistence Minimum (Zákon o životnom minime) No. 601/2003  
 
1207  (f) Law on Family (Zákon o rodine) No. 36/2005  
(g) Law on Social and legal protection of children and social guardianship (Zákon o  sociálno -
právnej ochrane detí a sociálnej kuratele) No. 305/2005  
(h) Law on Social Work (Zákon o sociálnej práci) No. 219/2014.  
SLOVENIA  
No specific law related to long -term care.  
Long -term care benefits are included in the following acts:  
(a) Pension and Disability Insurance Act (Zakon o pokojninskem in invalidskem zavarovanju) 
(Official Gazette of the Republic of Slovenia, no. 96/2012, and subsequent amendments)  
(b) Financial Social Assistance Act (Zakon o socialno vartsvenih prejemkih) (Official Gazette of t he 
Republic of Slovenia, no. 61/2010, and subsequent amendments)  
(c) 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)  
(d) Social Protecti on Act (Zakon o socialnem varstvu) (Official Gazette of the Republic of Slovenia, 
no. 3/2004 – official consolidated text, and subsequent amendments)  
(e) Parental Care and Family Benefits Act (Zakon o starševskem varstvu in družinskih prejemkih) 
(Official Gaze tte of the Republic of Slovenia, no. 110/2006 – official consolidated text, and 
subsequent amendments)  
(f) Mentally and Physically Handicapped Persons Act (Zakon o družbenem varstvu duševno in 
telesno prizadetih oseb) (Official Gazette of the Republic of Slove nia, no. 41/83, and 
subsequent amendments)  
(g) 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)  
(h) War Veterans Act (Zakon o vojnih veteranih) (Official Gazette of the Republic of Slovenia, no 
59/06 official consolidated text, and subsequent amendments)  
(i) War Disability Act (Zakon o vojnih invalidih) (Official Gazette of the Republic of Slovenia, no 
63/59 official consolidated text, and subsequent amendments)  
(j) Fiscal Balance Act (Zakon za uravnoteženje javnih finance (ZUJF)) (Official Gazette of the 
Republic of Slovenia, no. 40/2012, and subsequent amendments)  
(k) Act Regulating Adjustments of Transfers to Indiv iduals 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  
(a) Law No. 39/2006 on the Promotion of Personal Autonomy and Assistance to persons in 
situations of dependence of 14 December 2006, as amended  
 
1208  (b) Social Security General Act (Ley General de la Seguridad Social) approved by Legislative Royal 
Decree No. 8/2015 of 30 October 2015  
(c) Ministerial Order of 15 April 1969  
(d) Royal Decree No. 1300/95 of 21 July 1995, as amended  
(e) Royal Decree No. 1647/97 of 31 October 1997, as amended.  
SWEDEN  
(a) Social Services Act (Socialtjänstlagen (2001:453)) of 2001  
(b) The Health Care Act  (Hälso - och sjukvårdslag (2017:30)) of 2017.  
Part 3: Payments which are connected to a branch of social security listed in Article SSC.3(1) 
[Matters covered] of the Protocol and which are paid to meet expenses for heating in cold weather 
(point (f) of Article SSC.3(4)[Matters covered] of the 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).  
(iii) MEMBER STATES  
 DENMARK  
(a) Act on Social and state pensions, LBK no. 983 of 23/09/2019  
(b) Regulations on social and state pensions, BEK no. 1602 of 27/12/2019.   
 
1209  ANNEX SSC -2: RESTRIC TION OF RIGHTS TO BENEFITS IN KIND FOR MEMBERS OF THE FAMILY OF A 
FRONTIER WORKER  
(referred to in Article SSC.16(2)[Stay in the competent State when residence is in another State – 
special rules for the members of the families of frontier workers])  
CROATIA  
DENMARK  
IRELAND  
FINLAND  
SWEDEN  
UNITED KINGDOM  
 
 
  
 
1210  ANNEX SSC -3: MORE RIGHTS FOR PENSIONERS RETURNING TO THE COMPETENT STATE  
(Article SSC.25(2)[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])  
AUSTRIA  
BELGIUM  
BULGARIA  
CYPRUS  
CZECH REPUBLIC  
FRANCE  
GERMANY  
GREECE  
HUNGARY  
LUXEMBOURG  
THE NETHERLANDS  
POLAND  
SLOVENIA  
SPAIN  
SWEDEN  
  
 
1211  ANNEX SSC -4: CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED OR SHALL NOT 
APPLY  
(Articles SSC.47(4) and 47(5) [Award of benefits])  
PART 1: CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED PURSUANT TO ARTICLE 
SSC.47(4)  [AWARD OF BENEFITS ] 
AUSTRIA  
(a) 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 1 1 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);  
(b) All applications for survivors’ pensions based on a pension account pur suant to the General 
Pensions Act (APG) of 18 November 2004, with the exception of cases under Part 2;  
(c) All applications for survivors’ pensions of the Austrian Provincial Chambers of Physicians 
(Landesärztekammer) based on basic provision (basic and any su pplementary benefit, or basic 
pension);  
(d) All applications for survivors’ support from the pension fund of the Austrian Chamber of 
Veterinary Surgeons;  
(e) All applications for benefits from widows and orphans pensions according to the statutes of 
the welfare i nstitutions of the Austrian bar associations, Part A;  
(f) 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] [BENEFITS AND AGREEMENTS WHICH ALLOW THE APPLICATION OF 
ARTICLE SSC.49 [Overlapping of benefits of the same kind]]  
IRELAND  
All applicat ions for state pension (transition), state pension (contributory), widow's (contributory) 
pension and widower’s (contributory) pension.  
LATVIA  
(a) All applications for survivor’s pensions (Law on State pensions of 1 January 1996; Law on State 
funded pensions of 1 July 2001).  
LITHUANIA  
 
1212  All applications for State social insurance survivor’s pensions calculated on the basis of the basic 
amount of surv ivor’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 an d 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 perio ds 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.  
SLOVAKIA  
(a) All applications for survivors’ pension (widow’s pension, widower’s and orphan’s pension) 
calculate d according to the legislation in force before 1 January 2004, the amount of which is 
derived from a pension formerly paid to the deceased;  
(b) All applications for pensions calculated pursuant to Act No 461/2003 Coll. on social security as 
amended.  
SWEDEN  
(a) Applications for an old -age pension in the form of a guaranteed pension (Chapters 66 and 67 
of the Social Insurance Code).  
(b) Applications for an old -age pension in the form of a supplementary pension (Chapter 63 of the 
Social Insurance Code).  
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:  
(i) the party concerned had comp leted 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;  
(ii) the per iods 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 
 
1213  purposes of point (b) of Article SSC.47(1) of the 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)  [AWARD OF BENEFITS ] APPLIES   
AUSTRIA  
(a) 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;  
(b) 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);  
(c) Retirement and early retirement pensions of the Austrian Provinc ial 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);  
(d) Old-age support from the pension fund of the Austrian Chamber of Veterinary Surgeons;  
(e) 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;  
(f) Benefits by the welfare institutions of the Federal Chamber of Architects and Consulting 
Engineers under the Austrian Civil Engineers’ Chambe r 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;  
(g) Benefits according to the statute of the welfare institution of th e 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 Individ ual 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).  
CZECH REPUBLIC  
 
1214  Pensions paid from the Second Pillar scheme established by Act N o 426/2011 Coll., on pension 
savings.  
DENMARK  
(a) Personal pensions;  
(b) Benefits in the event of death (accrued based on contributions to Arbejdsmarkedets 
Tillægspension related to the time before 1 January 2002);  
(c) 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) 942:200 9.  
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 (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).  
 
1215  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.  
  
 
1216  ANNEX SSC -5: BENEFITS AND AGREEMENTS WHICH ALLOW THE APPLICATION OF ARTICLE SSC.49 
[Overlapping of benefits of the same kind]  
I. Benefits referred to in point (a) of Article SSC.49(2) [Overlappin g of benefits of the same kind] of 
the 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) [Award of benefits].  
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)  
Guaranteed pension and guaranteed compensation which replaced the full state pensions provided 
under the legislation on the state pension which applied before 1 January 1993, and the full state 
pension awarded under the transitional rules of the legislati on applying from that date  
 
1217  II. Benefits referred to in point (b) of Article SSC.49(2) [Overlapping of benefits of the same kind] of 
the 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 La w on 
State Pensions of 1 January 1996)  
LITHUANIA  
(a) State social insurance work incapacity pensions, paid under the Law on State Social Insurance 
Pensions  
(b) 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 f rom 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 ac tivity compensation in the form of guarantee compensation (Chapter 
35 of the Social Insurance Code)  
 
1218  Survivors' pension calculated on the basis of credited insurance periods (Chapters 76 -85 of the Social 
Insurance Code)  
III. Agreements referred to in poin t (b)(i) of Article SSC.49(2) [Overlapping of benefits of the same 
kind]of the 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 so cial security of 18 August 2003.  
  
 
1219  ANNEX SSC -6: SPECIAL PROVISIONS FOR THE APPLICATION OF THE LEGISLATION OF THE MEMBER 
STATES AND OF THE UNITED KINGDOM  
(Articles SSC.3(2)[Matters covered], SSC.51(1)[Additional provisions for the calculation of benefits] 
and SSC.66 [Implementation of legislation])  
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 Insuran ce 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 cal culation of the pro rata benefit referred to in point (b) of Article SSC.47(1) [Award 
of benefits], special increments for contributions for supplementary insurance and the miners’ 
supplementary benefit under Austrian legislation shall be disregarded. In t hose 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 [Aggregation of periods] of the 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 an d 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.  
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 [Sickness, maternity and equivalent paternity benefits] of 
Title III  [Special provisions concerning the various categories of benefits] of the Protocol.  
CYPRUS  
For the purpose of applying the provisions of Articles SSC.7 [Aggregation of periods], SSC.46 [Special 
provisions on aggregation of periods] and SSC.56 [Special provisions on aggregation of periods of 
insurance, employment or self -employment], 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 applic able 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.  
CZECH REPUBLIC  
 
1220  For the purposes of defining members of the family in accordance with point (s) o f Article SSC.1 
[Definitions] of the Protocol, ‘spouse’ includes registered partners as defined in the Czech act no. 
115/2006 Coll., on registered partnership.  
DENMARK  
1.  
(a) For the purpose of calculating the pension under the ‘lov om social pension’ (Soci al 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 Denmar k 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 tho se 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.  
(b) 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 perio ds 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.  
(c) 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 calculatio n 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 consid eration if the annual amount of the said 
pension is less than half the basic amount of the social pension.  
2.  
(a) Notwithstanding the provisions of Article SSC.7 [Aggregation of periods] of the 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 [Equality of trea tment] of the Protocol, Article SSC.8 [Waiving of residence 
rules] of the Protocol does not apply to a Danish social pension to which entitlement has been 
acquired by such persons.  
(b) The provisions referred to in point (a) do not apply to Danish social pensi on 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 (fl exible job' scheme) (Law No 455 of 10 June 1997) is covered by Chapter 6 
 
1221  [Unemployment Benefits] of Title III [Special provisions concerning the various categories of 
benefits] of the 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) [Rules to prevent overlapping], 
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.  
ESTONIA  
For the purpose of calculating parental benefits, periods  of employment in States other than Estonia 
shall be considered to be based on the same average amount of Social Tax as paid during the periods 
of employment in Estonia with which they are aggregated. If during the reference year the person 
has been employ ed only in other States, the calculation of the benefit shall be considered to be 
based on the average Social Tax paid in Estonia between the reference year and the maternity leave. 
FINLAND  
1. For the purposes of determining entitlement and of calculating  the amount of the Finnish 
national pension under Articles SSC.47 [Award of benefits] to 49 [Overlapping of benefits of the 
same kind], 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) [Award of benefits] for the purpose of 
calculating earnings for the credited period under Finnish legislation on earnings -related pensions, 
where an individual has pension insurance periods b ased 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 p eriod 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 Articles SSC.15 [Residence in a 
State other than the c ompetent State], SSC.24 [Residence of members of the family in a State other 
than the one in which the pensioner resides] of the Protocol who are resident in the French 
departments of Haut -Rhin, Bas -Rhin or Moselle, benefits in kind provided on behalf of t he 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 [Old -age and survivors’ pensions] 
of Title III [Special provisions concerning the various categor ies of benefits] 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 [Equal treatment of benefits, income, facts o r 
events] of the Protocol and Article 5(4) point 1 of the Sozialgesetzbuch VI (Volume VI of the Social 
 
1222  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 pensio n insurance scheme.  
2. Notwithstanding point (a) of Article SSC.6 [Equal treatment of benefits, income, facts or 
events]  of the Protocol and Article 7 of the Sozialgesetzbuch VI (Volume VI of the Social Code), a 
person who is compulsorily insured in anoth er 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 
§200(2) of the Reichsversicherungsordnung 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 (fi xed 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 applic able 
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 la w 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 (Bundesvertriebenengeset z) continues to apply 
within the scope of application of the 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) 
[Award of benefits], 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 entitle ment 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 [Equal treatment of benefits, income, facts or 
events] of the Protocol and Article 34 of Law 1140/1981, a person who receives a pension in respect 
of accidents at work or occupational diseases u nder the legislation of another State may request to 
 
1223  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  
1. Notwithstanding Articles SSC.19(2) [Cas h benefits] and SSC.57 [Calculation of unemployment 
benefits], 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 pr ovisions for civil servants  
(a) Solely for the purposes of the application of Articles SSC.43 [Special provisions for civil 
servants] and SSC.55 [Special provisions for civil servants] of the 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) and the Prisons Act (Chapter 260 of the Laws of Malta) shall be 
treated as civil servants;  
(b) 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 [Definitions] of the 
Protocol, be considered as ‘special schemes for civil servants’.  
NETHERLANDS  
1. Health care insurance  
(a) 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 [Sickness, maternity and 
equivalent paternity benefits] and 2 [Benefits in respect of accidents at work and occupational 
diseases] of Title I II of the Protocol shall mean:  
(i) persons who, under Article 2 of the Zorgverzekeringswet (Health Care Insurance Act), 
are obliged to take out insurance under a health care insurer; and  
(ii) 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 the Protocol, are entitled to health care in their s tate 
of residence, the costs being borne by the Netherlands.  
(b) 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 pe rsons referred to in point 1(a)(ii) must register with the College voor 
zorgverzekeringen (Health Care Insurance Board);  
(c) The provisions of the Zorgverzekeringswet (Health Care Insurance Act) and the Algemene Wet 
Bijzondere Ziektekosten (General Act on Exce ptional 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 
 
1224  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;  
(d) 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).;  
(e) Persons entitled to benefits in kind by virtue of the legis lation 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 pl ace 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);  
(f) For the purposes of Articles SSC.21 [Right to benefits in kind under the legislation of the State 
of residence] to SSC.27 [Contributions by pensioners]  of the Protocol, the following benefits 
(in addition to pensions  covered by Chapters 4 [Invalidity benefits] and 5 [Old -age and 
survivors’ pensions] of Title III [Special provisions concerning the various categories of 
benefits] of the Protocol shall be treated as pensions due under Dutch legislation:  
- pensions awarded  under the Law of 6 January 1966 on pensions for civil 
servants and their survivors (Algemene burgerlijke pensioenwet) 
(Netherlands Civil Service Pensions Act),  
- pensions awarded under the Law of 6 October 1966 on pensions for 
military personnel and their s urvivors (Algemene militaire pensioenwet) 
(Military Pensions Act),  
- benefits for incapacity for work awarded under the Law of 7 June 1972 on 
benefits for incapacity for work for military personnel 
(Wetarbeidsongeschiktheidsvoorziening militairen) (Military Personnel 
Incapacity for Work Act),  
- pensions awarded under the Law of 15 February 1967 on pensions for 
employees of the NV Nederlandse Spoorwegen (Dutch Railway Company) 
and their survivors (Spoorwegpensioenwet) (Railway Pensions Act),  
- pensions awarded under the Reglement Dienstvoorwaarden Nederlandse 
Spoorwegen (governing conditions of employment of the Netherlands 
Railway Company),  
- benefits awarded to retired persons before reaching the pensionable age 
of 65 years under a pension designed to provide in come for former 
employed persons in their old age, or benefits provided in the event of 
premature exit from the labour market under a scheme set up by the state 
or by an industrial agreement for persons aged 55 or over,  
 
1225  - benefits awarded to military person nel and civil servants under a scheme 
applicable in the event of redundancy, superannuation and early 
retirement.  
(g) For the purposes of Article SSC.16(1) [Stay in the competent State when residence is in 
another State – special rules for the members of the families of frontier workers] of the 
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 Netherla nds 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)  
(a) 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:   
- resided in the Netherlands between the ages of 15 and 65,  
- while residing in another State, worked in the Netherlands for an employer 
established in the Netherlands, or  
- worked in another State during periods regarded as periods of insurance 
under the Du tch social security system.  
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.  
(b) The re duction 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 te rritory 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 (a) of this paragraph, provid ed 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.  
(c) 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:  
- resided in the Nethe rlands between the ages of 15 and 65, or  
- while residing in another State, worked in the Netherlands for an employer 
established in the Netherlands, or  
 
1226  - worked in another State during periods regarded as periods of insurance 
under the Netherlands social sec urity system.  
(d) 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 u nder 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 (a) of this paragraph, 
provided that the couple’s marriage subsisted duri ng that time.  
(e) Points 2(a), 2(b), 2(c) and 2(d) shall not apply to periods which coincide with:  
- periods which may be taken into account for calculating pension rights 
under the old -age insurance legislation of a State other than the 
Netherlands, or  
- period s for which the person concerned has drawn an old -age pension 
under such legislation.  
Periods of voluntary insurance under the system of another State shall not be 
taken into account for the purposes of this point.  
(f) 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.  
(g) 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 no t 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 vol untary 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 unde r 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 un der the AOW, with the income to be taken into account 
being deemed to have been received in the Netherlands.  
(h) The authorisation referred to in point 2(g) shall not be granted to anyone insured under 
another State’s legislation on pensions or survivors’ ben efits;  
(i) 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.  
 
1227  3. Application of the Algemene nabestaandenwet (ANW) (General Surviving Relatives Act)  
(a) Where the surviving spouse is entitled to a survivor’s pension under the ANW (General 
Surviving Relatives Act) pursuant to Article SSC.46(3) [Special provisions on aggregation of 
periods] of the Protocol, that pension shall be calculated in accordance with point (1)(b) of 
Article SSC.47 [Award of benefits] of the Protocol.  
For the application of these provisions, periods of insurance prior to 1 October 1959 shall als o be 
regarded as periods of insurance completed under Dutch legislation if during those periods the 
insured person, after the age of 15:  
- resided in the Netherlands, or  
- while resident in another State, worked in the Netherlands for an employer 
established  in the Netherlands, or  
- worked in another State during periods regarded as periods of insurance 
under the Dutch social security system.  
(b) 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;  
(c) For the purposes of point (b) of Article SSC.47(1) [Award of benefits] of the Protocol, only 
periods of insurance completed under Dutch legislation after the age of 15 shall be taken into 
account as periods of insurance;  
(d) 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 the 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 AN W.  
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 determin ation 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 determinat ion 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  
 
1228  In calculating benefits under  either the WAO, WIA or the WAZ, the Netherlands institutions shall 
take account of:  
- periods of paid employment, and periods treated as such, completed in the 
Netherlands before 1 July 1967,  
- periods of insurance completed under the WAO,  
- periods of insurance completed by the person concerned, after the age of 
15, under the Algemene Arbeidsongeschiktheidswet (General Act on 
Incapacity for Work), in so far as they do not coincide with the periods of 
insurance completed under the WAO,  
- period s of insurance completed under the WAZ,  
- periods of insurance completed under the WIA.  
SPAIN  
1. For the purpose of implementing point (1)(b) of Article SSC.47(1) [Award of benefits] of the 
Protocol, the years which the worker lacks to reach the pensionab le 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 e vent 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.  
(a) Under point (1)(c)  of Article SSC.51 [Additional provisions for the calculation of benefits], 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 cl osest in time to the reference 
periods shall be used for those periods, taking into account the development of the retail price 
index.  
(b) 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 o f Article SSC.51 [Additional provisions for the calculation of benefits], 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 Soc ial Security shall be applicable to all beneficiaries under the Protocol who have 
 
1229  contributions to their name under the Spanish legislation prior to 1 January 1967; it shall not be 
possible, by application of Article SSC.6 [Equal treatment of benefits, inc ome, facts or events] of the 
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 the 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 t he transitional provisions in the Swedish legislation on entitlement to 
guarantee pension for persons born in or before 1937 who have been resident in Sweden for a 
specified period before applying for a pension (Act 2000:798).  
2. For the purpose of calcul ating income for notional income -related sickness compensation 
and income -related activity compensation in accordance with Chapter 8 of the Lag (1962:381) om 
allmän försäkring (the National Insurance Act), the following shall apply:  
(a) where the insured pers on, 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 in Sweden, calculated 
by dividing the earnings in Sweden by the number of years over which those earnings accrued;  
3.  
(a) For the purpose of calculating notional pension assets for income -based survivor’s pension 
(Act 2000:461), if the requirement in Swedish legislation for pension entitlement in respect of 
at least three out of the 5 calendar years immediately preceding the insured person’s death 
(reference period) is not met, accou nt shall also be taken of insurance periods completed in 
other States as if they had been completed in Sweden. Insurance periods in other States shall 
be regarded as based on the average Swedish pension base. If the person concerned has only 
1 year in Swed en with a pension base, each insurance period in another State shall be 
regarded as constituting the same amount.  
(b) 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 4 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, thos e 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:  
(a) the contributions of a former spouse a re taken into account as if they were that person’s own 
contributions; or  
 
1230  (b) 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 [Old -age and survivors’ pensions] of Title III 
[Special provisions concerning the various categories of benefits]  of the Protocol shall apply in 
order to determine entitlement under United Kingdom legislation. In that case, references in 
Chapter 5 [Old -age and survivors’ pensions]  of Title III [Special provisions concerning the 
various categories of benefits] of the  Protocol to ‘periods of insurance’ shall be construed as 
references to periods of insurance completed by:  
(i) 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  
(ii) 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 b efore 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) [Award of 
benefits] of the  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 applying Article SSC.8 [Waiving of residence rules] of the 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 legis lation 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.  
3.  
(1) For the purpose of calculating an earnings factor in order to determine entitlement 
to benefits und er 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.  
(2) For the purposes of point (b) of Article SSC.47(1)  [Aw ard of benefits] of the 
Protocol, where:  
 
1231  (a) 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 appl ication 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) [Award of benefits] of the Protocol, they shall be deemed to have been 
insured for 52 weeks in that year in that Member State;  
(b) 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) [Award of benefits] of the Protocol, 
any periods of insurance, employment or residence completed in that year shall 
be disregarded.  
(3) For the purpose of converting an earnings factor into periods of insurance, the 
earnings factor achieved in the rele vant 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.  
  
 
1232  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 [Definitions] apply.  
2. In addition to the definitions referred to in paragraph 1:  
(a) “access point” means an entity providing:  
(i) an electronic contact point;  
(ii) automatic routing based on the address; and  
(iii) intelligent routing based on software that enables automatic checking and routing (for 
example, an artificial intelligence application) or human intervention;  
(b) “liaison body” means any body designated by the competent authority of a State for one or 
more o f the branches of social security referred to in Article SSC.3 [Matters covered] of the 
Protocol to respond to requests for information and assistance for the purposes of the 
application of the Protocol and of this Annex and which has to fulfil the tasks a ssigned to it 
under Title IV [Financial provisions] of this Annex;  
(c) “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 
opera tion of the Protocol and this Annex;  
(d) “Structured Electronic Document” means any structured document in a format designed for 
the electronic exchange of information between States;  
(e) “transmission by electronic means” means the transmission of data using elec tronic 
equipment for the processing (including digital compression) of data and employing wires, 
radio transmission, optical technologies or any other electromagnetic means;  
(f) “fraud” means any deliberate act or deliberate omission to act, carried out with t he intention  
to either:  
(i) 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 the Protocol are not met; or  
(ii) 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 the Protocol.  
CHAPTER 2: PROVISIONS CONCERNING COOPERATION AND EXCHANGES  OF DATA  
 
1233  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 the 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 r ights and obligations of persons to whom the 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 res ponding 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 sha ll ensure that the necessary information is made available to the persons 
concerned in order to inform them of the provisions introduced by the Protocol and this Annex to 
enable them to assert their rights. They shall also provide for user -friendly service s. 
2. Persons to whom the 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 o bligations and to determine the applicable 
legislation and their obligations under it.  
3. To the extent necessary for the application of the Protocol and this Annex, the relevant 
institutions shall forward the information and issue the documents to the person s 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 [Interim provisions for forms and documents] and Appendix SSCI -2 
[Entitlement document], the structure, content and format of forms and documents issued on 
behalf of the States for  the purposes of implementing the Protocol shall be agreed by the Specialised 
Committee on Social Security Coordination.  
 
1234  2. The transmission of data between the institutions or the liaison bodies may, subject to the 
approval of the Specialised Committee on S ocial 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.   
3. 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.  
4. In their communications with the persons concerned, the relevant institutions shall use the 
arrangements appropriate to each case, and favour the use of elec tronic 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 the 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 the y 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 necess ary 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 pro vided 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 th e 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 C oordination 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 poin ts 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:  
(a) 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;  
 
1235  (b) 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;  
(c) 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 shoul d 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 th e 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 aro se. 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 differe nce 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 
provisional ly 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 Title IV, Chapter 2 [Recover y of benefits provided but not 
due, recovery of provisional payments and contributions, offsetting and assistance with recovery], 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 [Financial provisions] of this 
Annex.  
Article SSCI.7: Provisional calculation of benefits and contributions  
1. Unless  otherwise provided for in this Annex to the Protocol, where a person is eligible for a 
benefit, or is liable to pay a contribution in accordance with the 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 o r 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 THE PROTOCOL  
 
1236  Article SSCI.8: Other pr ocedures 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 the Appendix SSCI -1 [Implementing provisions for bilateral 
agreements remaining in force and new bilateral implementing agreements].  
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 
[Implementing provisions for bilateral agreements remaining in force and new bilateral 
implementing agreements].  
Article SSCI.9 : Prevention of overlapping of benefits  
Notwithstanding other provisions in the 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 the 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 in clude, as 
appropriate:  
(a) the duration and continuity of presence on the territory of the States concerned;  
(b) that person’s situation, including:  
(i) 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;  
(ii) that person’s family status and family ties;  
(iii) the exercise of any non -remunerated activity;  
(iv) in the case of students, the source of that student’s income;  
(v) that pers on’s housing situation, in particular how permanent it is;  
(vi) 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 agreeme nt between the institutions concerned, the person’s intention, 
 
1237 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 interest 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 shall apply mutatis mutandis to the family members of the student.  
Article SSCI.11:  Aggregation of periods  
1. For the purposes of applying Article SSC.7 [Aggregation of periods] of the Protocol 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 comple ted 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 p urposes of applying Article SSC.7 [Aggregation of periods] of the 
Protocol, 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 coi ncides 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 peri od 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 int o 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 eve nt 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 fi rst 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 [Aggregation of periods]  of the Protocol shall be carried out under 
the following rules:  
(a) 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;  
 
1238  (b) in the case of schemes wher e 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  
(c) in the case of schemes where the periods are expressed in units other than days,  
(i) three months or 13 weeks shall be equivalent to one quarter, and vice versa;  
(ii) one year shall be equivalent to four quarters, 12 months or 52 weeks, and vice versa;  
(iii) 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);  
(d) in the case of periods expressed in fractions, thos e 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;  
(e) if the conversion under this paragraph r esults 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)  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 
legis lation 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 express ed in days, it shall at the same time 
indicate whether the scheme it administers is based on five days, six days or seven days.  
  
 
1239  TITLE II: DETERMINATION OF THE LEGISLATION APPLICABLE  
Article SSCI.13: Details relating to Articles SSC.11 [Detached workers] and SSC.12 [Pursuit of activities 
in two or more States] of the Protocol  
1.  For the purposes of the application of point (a) of Article SSC.11(1) [Detached workers], a 
‘person who pursues an activity as an employed person in a State for an employer which nor mally 
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 perso n 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) [Detached workers] of 
the Protocol, the words ‘which normally carries out its activ ities 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 
activitie s 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) [De tached workers],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 m ust 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 est ablished, 
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) [Detached workers], 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 pur sued 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) [ Pursuit of activities in two or 
more States]  of the Protocol, a person who ‘normally pursues an activity as an employed person’ in 
‘one or more Member States as well as the United Kingdom’, or in ‘two or more Member States’ 
respectively, shall refer to a person wh o 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)  [Pursuit of activities in two or mo re States]  of 
the 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 [Definition s] of the Protocol, is located.  
7. Marginal activities shall be disregarded for the purposes of determining the applicable 
legislation under Article SSC.12 [ Pursuit of activities in two or more States]  of the Protocol. Article 
SSCI. 15 [Procedure for the application of Article SSC.12]  of this Annex shall apply to all cases under 
this Article.  
8. For the purposes of the application of Article SSC.12(2) and (6) [ Pursuit of activities in two or 
more States]  of the Protocol, a person who ‘normally pursues an act ivity as a self -employed person’ 
 
1240  in ‘one or more Member States as well as 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 from the 
situations described in Article SSC.11(1) [Detached workers] of the Protocol, the durati on 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)   [Pursuit of activities in 
two or more States]  of the Protocol, a ‘substantial part of employed or self -employed act ivity’ 
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 o f the activities is pursued in a State, the following 
indicative criteria shall be taken into account:  
(a) in the case  of an employed activity, the working time or the remuneration; and  
(b) in the case of a self -employed activity, the turnover, working time, numb er 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) [ Pursuit of activities in 
two or more States]   of the Protocol, the ‘centre of interest’ of the activities of a self -employed 
person shall be determined by taking account of all the aspe cts 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 pe rson 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 p erson 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 Article SSC.10(3)(b) and Article SSC.10(4) [General 
rules] and Article SSC.11  [Detached workers]  of the Protocol (on the provision of information to the 
insti tutions concerned)  
1. Unless otherwise provided for by Article SSCI.15 [Procedure for the application of Article 
SSC.12]  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 pu rsue an activity as an employed person, the 
 
1241  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) [Provision of information to persons concerned and employers]  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) [General rules] or Article SSC.11 
[Detached workers] of the 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) [General rules] of the Protocol who has 
an employee on board a vessel flying the flag of another St ate 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) [General rules] of the 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 [Pursuit of activities in two or more 
States]  of the Protocol  
1. A person who pursues activities in two or more States, or where Article SSC.12(5) or (6) 
[Pursuit of activities in two or more St ates]   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, hav ing regard to Article SSC. 12 [Pursuit of activities in 
two or more States]  of the Protocol and Article SSCI.13 [Details relating to Articles SSC.11 [Detached 
workers] and SSC.12 [Pursuit of activities in two or more States] of this Annex. That initial 
dete rmination 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 paragra ph 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 t he 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 competen t 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 [ Pursuit of activities in two or more States]  of 
the Protocol and the relevant provisions of Article SSCI.13 [Details relating to Articles SSC.11 
[Detached workers] and SSC.12 [Pursuit of activities in two or more States]] 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 
[Provisional application of legislation and provisional granting of benefits] of this Annex shall apply.  
5. The competent i nstitution of the State whose legislation is determined to be applicable 
either provisionally or definitively shall without delay inform the person concerned.  
 
1242  6. If the person concerned fails to provide the information referred to in paragraph 1, this 
Articl e 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 informa tion to persons concerned and employers  
1. The competent institution of the State whose legislation becomes applicable pursuant to 
Title II [Determination of the legislation applicable] of the 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 ins titution of the 
State whose legislation is applicable pursuant to Title II [Determination of the legislation applicable] 
of the Protocol 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 [Determination of the legislation applicable] 
of the 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 [Determination of the legislation applicable] of the 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 whi ch 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 s ubstantiate 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 ins ured 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 docum ent has committed 
fraud, it shall withdraw or rectify the document without delay and with retroactive effect.   
 
1243  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 [ Equal treatment of benefits, income, facts or 
events]  of the Protocol, a State may become responsible for the c ost of benefits in accordance with 
Article SSC.20 [Pension claimants] of the 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 [Right to 
benefits in kind un der the legislation of the State of residence] to SSC.27 [Contributions by 
pensioners] of the 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  [Residence in a State other than the competent State] , SSC.17(1) 
[Stay outside the competent State] , SSC.18  [Travel with the purpose of receiving benefits in kind – 
authorisation to receive appropriate treatment outside the State of residence], SSC.20 [ Pension 
claimants], SSC.22 [No right to benefits in kind under the legislation of the State of residence]  and 
SSC.24 [Residence of members of the family in a State other than the one in which the pensioner 
resides] of the Protocol shall be those of the legis lation on the general scheme for employed 
persons.  
Article SSCI.21:  Residence in a State other than the competent State  
Procedure and scope of right  
1. For the purposes of the application of Article SSC.15 [Residence in a State other than the 
competent State] , of the 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.  
2. The document referred to in paragraph 1 shall remain valid until the competent institution 
informs the institution of the p lace 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.  
 
3. This Article shall apply mutatis mutandis  to the persons referred to in Articles SSC.20 
[Pension claimants], SSC.22 [No right to benefits in kind under the legislation of the State of 
residence]  and SSC.23 [Pensions under the legislation of one or more States other than the State of 
residence, wh ere there is a right to benefits in kind in the latter State] , SSC.24 [Residence of 
members of the family in a State other than the one in which the pensioner resides] of the Protocol.  
 
1244  Reimbursement  
4. Where a person  or the members of that person’s family:  
(a) have been issued with the document  referred to in paragraph 1;  
(b) have registered that document with the institution of the place of residence in accordance 
with paragraph 1; and  
(c) a health fee has been paid by or on behalf of the person or members of their fam ily 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.  
4. 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.               
5. Where the period of validity of the document r eferred 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.  
6. Whe re 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  
1. For the purposes  of the application of Article SSC.17 [Stay outside the competent State]  of 
the 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.  
2. That document shall indicate  that the insured person is entitled to benefits in kind under the 
conditions  laid down in Article SSC.17 [Stay outside the competent State]  of the 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.  
3. The benefits in kind referred to in Article SSC.17(1) [Stay outside the competent State]  of the 
Protocol shall refer to the benefits in kind which  are provided in the State of stay, in accordance wit h 
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 an d arrangements for meeting the costs and providing reimbursement of benefits in kind  
4. 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 [Stay outside the competent Stat e] of the Protocol 
and if the legislation applied by the institution of the place of stay enables reimbursement of those 
 
1245  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.  
5. If the reimbursement of such costs has not be en 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 [Principles ] of this Annex had applied in the case concerned.  
The institution of the place of stay shall provide the competent institutio n, upon request, with all 
necessary information about these rates or amounts.  
6. 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 
reimb ursement rates laid down in its legislation, provided that the insured person has agreed to this 
provision being applied to them.  
7. If the legislation of the State of stay does not provide for reimbursement pursuant to 
paragraphs 4 and 5 in the case concerne d, 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.  
8. The reimbursement to the insured person shall not, in a ny event, exceed the amount of 
costs actually incurred by them.  
9. 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  
10. Paragraphs 1 to 9 shall apply mutatis mutandis  to the members of the family of the insured 
person.  
Reimbursement for students  
11. Where a person:  
(a) holds a valid entitlement document referred to in Appendix SSCI -2 issued by the 
competent institution;  
(b) 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 l eading 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 c ompulsory training;  
(c) 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  
(d) a health fee has been paid by or on behalf of that person to the S tate 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;  
 
1246  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.  
12. 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.  
13. 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 pa id, the 
amount of the health fee reimbursed shall be the amount paid which corresponds to the period of 
validity of that document.  
14. 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.  
15. Paragraphs 11 to 14 shall apply mutatis mutandis  to the members of the family of that 
person.  
16. This Article shall enter into force 12 months after the date of entry into force of this 
Agreement . 
17. A person who satisfied the conditions i n 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.  
18. By way of derogation from Article SSC.5(1) [Equality of treatment], 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) [S tay outside the competent State] 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  
1. For the purposes of the application of Article SSC.18(1) [Travel with the purpose of receiving 
benefits in kind – authorisation to receive appropriate treatment outside the State of residence ] of 
the 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 sc heduled treatment; in the cases referred to in Article 
SSC.18(4) [Travel with the purpose of receiving benefits in kind – authorisation to receive 
appropriate treatment outside the State of residence ] and SSC.25(5) [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]  of the Protocol, in which the 
benefits in kind provided in the State of residence are reimbur sed on the basis of fixed amounts, the 
competent institution shall mean the institution of the place of residence.  
2. 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.  
 
1247  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) [Travel with the purpose o f receiving 
benefits in kind – authorisation to receive appropriate treatment outside the State of residence ] of 
the Protocol are met in the State of residence.  
The competent institution may refuse to grant the requested authorisation only if, in accordanc e 
with the assessment of the institution of the place of residence, the conditions set out in the second 
sentence of Article SSC.18(2) [Travel with the purpose of receiving benefits in kind – authorisation to 
receive appropriate treatment outside the State  of residence ]  of the 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 o f 
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.  
3. If an insured person who does not reside in the competent Party is in need of urgent v itally 
necessary treatment, and the authorisation cannot be refused in accordance with the second 
sentence of Article SSC.18(2) [Travel with the purpose of receiving benefits in kind – authorisation to 
receive appropriate treatment outside the State of res idence ] of the 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 sha ll 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.  
4. 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.  
5. 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  
6. Without prejudice to paragraph 7, Art icle SSCI.22(4) and (5)  [Stay in a State other than the 
competent State]  of this Annex shall apply mutatis mutandis .  
7. 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 actual ly 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.  
 
1248  Meeting the costs of travel and stay as part of scheduled treatment  
8. 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 ac company them, shall be 
assumed by this institution when an authorisation is granted in the case of treatment in another 
State.  
Family members   
9. Paragraphs 1 to 8 shall 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  
1. If the legislation of the competent State requires that the insured person pr esents a 
certificate in order to be entitled  to cash benefits relating to incapacity for work pursuant to Article 
SSC.19(1) [Cash benefits] of the Protocol, the insured person shall ask the doctor of the State of 
residence who established that person’s sta te of health to certify his or her incapacity for work and 
its probable duration.  
2. The insured person shall send the certificate to the competent institution within the time 
limit laid down by the legislation of the competent State.  
3. Where the doctors provi ding 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 r esidence. 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.  
4. 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  
5. At the request of the comp etent 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 examin ing 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   
6. The competent institution  shall reserve the right to have the insured person examined by a 
doctor of its choice.  
 
1249  7. Without prejudice to the second sentence of Article SSC.19(1) [Cash benefits] of the 
Protocol, the competent institution shall  pay the cash benefit s directly to the person concerned and 
shall, where necessary, inform the institution of the place of residence thereof.  
8. For the purposes of the application of Article SSC.19(1) [Cash benefits] of the Protocol, the 
particulars of the certificate of incapac ity 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.  
9. If the competent institution refuses t he 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  
10. Paragraphs 1 to 9 shall apply mutatis mutan dis 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 the 
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 Title III, Chapter I [Sickness, maternity and equivalent paternity 
benefits], of the 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 o f 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 compe tent State  
1. For the purposes of the application of Article SSC.31 [Right to benefits in kind and in cash] of 
the Protocol, the procedures laid down in Articles SSCI.21 [Residence in a State other than the 
competent State] to SSCI.24 [Cash benefits relating to incapacity for work in the event of stay or 
residence in a State other than the competent State]  of this Annex shall apply mutatis mutandis .  
2. When providing special benefits in kind in connection with accidents at work and 
occupational diseases under th e national legislation of the State of stay or residence, the institution 
of that State shall without delay inform the competent institution.  
 
1250  Article SSCI.28: Procedure in the event of an accident at work or occupational disease which occurs 
in a State oth er 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 d eclaration 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 u pon 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 pen sion.  
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) [Right to benefits in kind and in 
cash] of the 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 a t work or occupational disease benefits 
from the date on which the accident at work occurred or the occupational disease was first 
medically diagnosed.  
 
1251  3. The second subparagraph of Article SSCI.6(5) [Provisional application of legislation and 
provisional granting of benefits] of this Annex shall apply 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 [Benefits for an occupational disease where the 
person suffering from such a disease has been exposed to the same risk in several States] of the 
Protocol, the declaration or notificati on 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 de claration 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 su rvivors 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 dis ease, 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 und er 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 institut ion 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 again st 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) 
[Procedure in the event of exposure to the risk of an occupational disease in two or more States]  of 
this An nex, 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 payme nts, 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 advan ce 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 
[Benefits received u nduly] and 57 [Provisionally paid benefits in cash or contributions] of this Annex.  
3. The second subparagraph of Article SSCI.6(5) [Provisional application of legislation and 
provisional granting of benefits] of this Annex shall apply mutatis mutandis . 
 
1252  Artic le SSCI.32:  Aggravation of an occupational disease  
In the cases covered by Article SSC.34 [Aggravation of an occupational disease] of the 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 inst itution or the body designated 
by the competent authority of the State in question shall:  
(a) upon request by the competent institution of another State, provide information concerning 
the degree of the previous or subsequent incapacity for work, and where po ssible, 
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;  
(b) 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 pensio n 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 plac e 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 applying Articles SSC.37 [ Right to grants where death occurs in a State other 
than the competent one]  and SSC.38 [Provision of benefits in the event of the death of a pensioner] 
of the Protocol, the claim for death grants shall be sent either t o 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.  
 
1253  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 Article SS C.47(1)(b) [Award of benefits] of the Protocol, the rules provided for in 
Article SSCI.11(3), (4), (5) and (6) [Aggregation of periods] of the Annex shall apply.  
2. Where periods of voluntary or optional continued insurance have not been taken into 
account under Article SSC.11(3)[Aggregation of periods] of this Annex , the institution of the State 
under whose legislation those periods were completed shall calculate th e amount corresponding to 
those periods under the legislation it applies. The actual amount of the benefit, calculated in 
accordance with Article SSC.47(1)(b) [Award of benefits] of the 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 Article 
SSC.48(3)(c) [Rules to p revent overlapping] of the 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 a mount.  
Article SSCI.37:  Claims for benefits  
A. Submission of claims for old -age and survivors’ pensions  
1. 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.  
2. The date of subm ission  of the claim shall apply in all the institutions concerned.  
3. 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 dat e 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 legislatio n 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) [Claims for benefits] of this 
Annex, and be accompanied by the supporting documents required by that legislation. In particular, 
the claimant shall supply all available relevant informa tion 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.  
 
1254  2. Where, in accordance with Article SSC.45(1) [General Provisions] of the Protocol, the 
claimant requests deferment of the award of old -age benefits under the legislation of one or more 
States, the claimant shall stat e 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 t o 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  
1. The institution  to which the claim for benefits is submitted or forwarded in accordance with 
Article SSCI.37(1) [Claims for benefits] of this Annex to the Protocol 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, this 
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 the Protocol, and keep the claimant informed of its 
progress.  
Investigation of claims for old -age and survivors pensions  
2. The contact institution shall, without delay, send cl aims 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 i nstitution 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.  
3. 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.  
4. Each of the institutions in question shall calculate the amount of benefi ts in accordance with 
Article SSC.47 [Award of benefits] of the 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 Articl es SSC.48 [Rules to prevent overlapping] to SSC.50 [Overlapping of 
benefits of a different kind] of the Protocol.  
5. 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) [Periods of insurance or residence of less than one 
year] of the Protocol is applicable, it shall inform the contact institution and the other institutions 
concerned.   
 
1255  Article SSCI.40:  Notification of decisions to the claimant  
1. Each institution shall n otify 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 instituti on, 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 t he 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 a dversely 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 t ime 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 in formation 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 [Provisional calculation of benefits and contributions] 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) [Award of  benefits], 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 e ntitled to a 
payment from an institution under point (b) of Article SSC.47(1) [Award of benefits] of the 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 u nder point (b) of Article SSC.47(1) [Award of benefits] of 
the Protocol.  
3. Each institution which is obliged to pay the provisional benefits or advance payment under 
paragraphs 1 or 2 shall inform the claimant without delay, specifically drawing the claiman t’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 Article SSC.45(4) [General 
provisions] and 54(1) [Recalculation and revaluation of benefits] of the Protocol, Article SSCI.42 
[Provisional instalments and advance payment of a benefit] of this Annex shall be applicable mutatis 
mutandis .  
 
1256  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:  
(a) exchange with or make available to institution s 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 mean s to access their identification elements directly;  
(b) 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 instituti ons 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 applying 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 applying 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 [Special provisio ns on aggregation of periods] of the 
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 s hall not be affected by the 
provisions of the Protocol and of this Annex.  
CHAPTER 5:  UNEMPLOYMENT BENEFITS  
Article SSCI.46:  Aggregation of periods and calculation of benefits  
1. Article SSCI.11(1) [Aggregation of periods] of this Annex shall apply mutatis mutandis  to 
Article SSC. 56 [ Special provisions on aggregation of periods of insurance, employment or self -
employment]  of the 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 
 
1257  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 l egislation.  
2. For the purposes of applying Article SSC.57 [Calculation of unemployment benefits] of the 
Protocol, the competent institution of a State whose legislation provides that the calculation of 
benefits varies with the number of members of the famil y 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 i s 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 
[Reimbursements between institutions] AND ARTICLE SSC.36 [Reimbursements between 
institutions] OF THE PROTOCOL  
Section 1:  Reimbursement on the basis of actual expenditure  
Article SSCI.47: Principles  
1. For the purposes of applying Article SSC.30 [Reimbursements between institutions] and 
Article SSC. 36 [Reimbursements between institutions] of the 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 w here Article SSCI.57 
[Provisionally paid benefits in cash or contributions]  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 prov ided 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 refer red 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) [Reimbursements between institutions] of the 
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 Appendi x SSCI -3 to this Annex, the amount of benefits in 
kind supplied to:    
(a) family  members  who do not reside in the same State as the insured person, as provided for 
in  Article SSC.15 [ Residence in a State other than the competent State]  of the Protocol; and 
to   
 
1258  (b) pensioners and members of their family, as provided for in Article SSC.22(1) [ No right to 
benefits in kind under the legislation of the State of residence] , Articles SSC.23 [Pensions 
under the legislation of one or more States other than the State of re sidence, where there is a 
right to benefits in kind in the latter State]  and SSC.24 [ Residence of members of the family in 
a State other than the one in which the pensioner reside]  of the 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 tota l fixed amount  
1. For each creditor State, the monthly fixed amount per person (F i) for a calendar year shall 
be  determined by dividing the annual average cost per person (Y i), broken down by age group (i), by 
12  and by applying a reduction (X) to the resul t in accordance with the following formula:    
Fi = Y i*1/12*(1 -X)   
Where:   
- the index (i = 1, 2 and 3) represents the three age groups used for calculating 
the fixed amounts:    
- i = 1: persons aged under 20,   
- i = 2: persons aged from 20 to 64,  
- i = 3: persons aged 65 and over,  
- Yi represents the annual average cost per person in age group i, as defined in 
paragraph 2,   
- the coefficient X (0.20 or 0.15) represents the reduction as defined in 
paragraph 3.   
2. The annual average cost per person (Y i) 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 nu mber 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 
[Regime applicable in the event of the existence of more than one regime in the  State of residence 
or stay] of this Annex.  
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 [More rights for pensioners returning to the competent 
State].  
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 monthl y fixed amounts per 
person by the number of months completed by the persons concerned in the creditor State in that 
age group.  
 
1259  The number of months completed by the persons concerned in the creditor State shall be the sum 
of  the calendar months in a calen dar 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 inven tory 
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 pa yments 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 paragraphs 1 to 5.  
Article SSCI.50:  Notificatio n 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. The 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 [ Reimbursements between institutions] and SSC.36 
[Reimbursements between institutions] of the Protocol, shall be made via the liaison body. There 
may be a separate liaison body for reimbursements under Article SSC.30 [Reimbursements between 
institutions] an d Article SSC.36 [Reimbursements between institutions] of the 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 of fixed amounts for a calendar year shall be introduced to the liaison body of the 
debtor State within the 12 -month period fo llowing 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) [Calculation method of the monthly fixed amounts and the 
total fixed amount]of this Annex shall be presented by the end of the year following the reference 
year.  
 
1260  3. In the case referred to in the second subparagraph of Article SSCI.7(5) [Provisional 
calculation of benefits and contributions] of this Annex, 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 
[Procedure for reimbursement between institutions] of this Annex, 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 S tate. 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 introdu ced.  
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)  [Deadl ines for the 
introduction and settlement of claims] of this Annex, 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 intro duced, a down payment of at least 90% of the 
total claim introduced pursuant to Article SSCI.52(1) or (2) [Deadlines for the introduction and 
settlement of claims] of this Annex. 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.53(6)  of 
this Annex.  
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 Committe e 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 Specialised  Committee on Social Security Coordination’s report. To this end, the liaison 
bodies shall notify the Speci alised 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 conte sted (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 
 
1261  paragraph 1 in order, in particular, to ensure that th ey 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 [Collection of contributions and recovery of benefits] of 
the 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 [Benefits received unduly] to SSCI.58 [Costs relating to offsetting] of this Annex. If it is no t 
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 [ Definitions and common provisions]  to 
SSCI.69 [ Costs related to recovery]  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 S tate 
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 S tate 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 Chapter 3 [Death grants] and 4 
[Invali dity benefits] of Title III [Special provisions concerning the various categories of benefits] of 
the 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 instit ution 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 whic h 
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.  
 
1262  This provision shall apply 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 institutio n 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 procedu re 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 [P rovisional application of legislation and 
provisional granting of benefits] of this Annex, at the latest three months after the applicable 
legislation has been determined or the institution responsible for paying the benefits has been 
identified, the insti tution 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 ded uct 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 o ffsetting 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 perso n 
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) 
[Provisional application of legislation and provisional grantin g of benefits] of this Annex.  
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 
deem ed 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 provision ally 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 [Benefits received unduly] and SSCI.57 [Provisionally paid benefits in cash or 
contributions] of this Annex.  
  
 
1263  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 
informa tion, 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  
[Forms, documents and methods of exchanging data]  of this Annex, 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 ma ke 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 i nformation 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 su pply information:  
(a) which  it would not be able to obtain for the purpose of recovering similar claims arising in its 
own territory;  
(b) which would  disclose any commercial, industrial or professional secrets; or  
(c) the disclosure  of which would be liable to prejudi ce 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.   
 
1264  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 thos e 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 
debt or 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 app licant 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:  
(a) it also provides to the requested party an offi cial 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) [ Payment arrangements and deadline]  of this Annex;   
(b) the claim or instrument permitting its enforcemen t are not contested in its own State;   
(c) 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;  
(d) the period of limitation  according to its own legislation  has not expired.  
3. The request for recovery shall indicate:  
(a) 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;  
(b) the name, address and any other relevant information relating to the identification of the 
applicant party   
(c) a reference to the instrument permitting its enforcement, issued in the State of the  applicant 
party   
(d) 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   
 
1265  (e) the date of not ification of the instrument to the addressee by the applicant party or by the 
requested party   
(f) the date from which and the period during which enforcement is possible under the laws in 
force in the State of the applicant party  
(g) any other relevant informatio n. 
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) [Collection of contributions and recovery of benefits]  of 
the 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 pe rmitting 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 terri tory 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 a pplies. 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 sho uld give rise to a dispute in connection with the claim or the instrument 
permitting enforcement issued by the applicant party,  Article SSCI.65 [Contestation concerning the 
claim or the instrument permitting enforcement of its recovery and contestation concerning 
enforcement measures] of this Annex 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 t o 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) [Instrument permitting 
enforcement of recovery]  of this Annex, or accepted, recognised, supplemente d or replaced in 
accordance with Article SSCI.63(2) [ Instrument permitting enforcement of recovery]  of this Annex to 
the Protocol, interest shall be charged for late payment under the laws, regulations and 
 
1266  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 app licant 
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 
applica nt 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 
[Precautionary measures]  of this Annex , it may take precautionary measures to g uarantee 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 f orce 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 
subseque ntly 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 ac cordance 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 pe rmitting enforcement’ within the meaning of Articles 
SSCI.62 [Request for recovery] and SSCI.63 [Instrument permitting enforcement of recovery]  of the 
Annex 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:  
(a) to grant the assistance provided for in Articles SSCI.62 [Request for recovery] to SSCI.65 
[Contestation concerning the claim or the instrument permitting enforcement of its recovery 
and contestation concerning enforcement measures] of this Annex, 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;  
 
1267  (b) to grant the assistance provided for in Articles SSCI.60 [Request for information] to SSCI.65 
[Contestation concerning the claim or the in strument permitting enforcement of its recovery 
and contestation concerning enforcement measures]  of this Annex, if the initial request under 
Articles SSCI.60 [Request for information] to SSCI.62 [Request for recovery]  of this Annex 
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 th e 
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 applic ant 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:  
(a) 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  
(b) 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 [Instrument permitting enforcement of recovery]  of 
this Annex.  
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 
susp ending 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 fi rst paragraph, the provisions and procedures laid down in 
Articles SSCI.62 [Request for recovery], SSCI.63 [Instrument permitting enforcement of recovery] , 
SSCI.65 [ Contestation concerning the claim or the instrument permitting enforcement of its recovery 
and contestation concerning enforcement measures]  and SSCI.66  [Limits applying to assistance] of 
this Annex shall apply mutatis mutandis .  
Article SSCI.69:  Costs related to recovery  
1. The requested party shall recover from the natural or legal person concer ned 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.  
 
1268  2. Mutual assistance afforded under this Section shall, as a rule, be free of charge. Ho wever, 
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 me dical 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 residen ce. 
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 
that beneficiary is able to make the journey without prejudice to that person’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 o ther 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) [Cooperation]  of the Protocol, the effective amount of the expenses of the checks 
referred to in paragraphs 1 to 3 shall be refunded to the instituti on 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 [Definitions]  of the Protocol and points (a) 
and (b) of Article SSCI.1(2) [Definitions] 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.  
 
1269  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 t he 
details specified in paragraph 1.  
4. For the purposes of implementing the 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 infor mation 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 i nformation is regularly updated and monitor the 
quality of services provided to customers.  
Article SSCI.73:  Currency conversion  
For the purposes of applying the 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 
Secur ity Coordination.  
Article SSCI.74:  Implementing provisions  
The Specialised Committee on Social Security Coordination may adopt further guidance on the 
implementation of the Protocol and of this Annex.  
Article SSCI.75:  Interim provisions for forms and doc uments  
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 the Protocol comes into force shall be valid for the purposes of 
implementing the 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:  
(a) European  Health Insurance Cards issued on behalf of the United Kingdom, which shall be valid 
entitlement  documents for the purposes of  Articles SSC.17 [Stay outside the competent 
State], SSC.25(1) [ 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 tr eatment 
outside the State of residence]  and SSCI.22 [Stay in a State other than the competent State] of 
this Annex ; and  
(b) Portable documents which certify a person’s social security situation as required to give effect 
to the Protocol.   
 
 
1270   
  
 
1271  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 c osts 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 Ar ticle 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 examin ations)  
 
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 Decem ber 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 Auth orities 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 ef fect from 1 May 2004  
 
 
1272  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 unde r 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 provide d 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 reimbursem ent 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 KI NGDOM  
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 1408/7 1 and (EEC) No 574/72  
 
SWEDEN — UNITED KINGDOM  
The Arrangement of 15 April 1997 concerning Article 36(3) and Article 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 Regu lation (EEC) No 574/72 (waiving of refunds of the costs of administrative checks and 
medical examinations)  
 
1273  APPENDIX SSCI -2 
Entitlement document (Articles SSC.17 [Stay outside the competent State], SSC.25(1) [Stay of the 
pensioner or the members of their f amily in a State other than the State of residence – stay in the 
competent State – authorisation for appropriate treatment outside the State of residence]   and 
SSCI.22 [ Stay in a State other than the competent State]  
 
1. Entitlement documents  issued for the purposes of Articles SSC.17 [Stay outside the 
competent State]  and SSC.25(1) [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]  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. Entit lement  documents issued for the purposes of Articles SSC.17 [Stay outside the 
competent State]   and SSC.25(1) [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 f or appropriate 
treatment outside the State of residence] by the competent institutions of the United Kingdom shall 
contain the following data:  
(a) surname  and forename of the document holder;  
(b) personal identification  number of the document holder;   
(c) date of birt h of the document holder;  
(d) expiry date of the document ; 
(e) the code “UK” in lieu of the ISO code of the United Kingdom;  
(f) identification number and acronym of the United Kingdom institution issuing the document;  
(g) logical number of the document ; 
(h) 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.  
 
HEALTHCARE REQUIRING PRIOR AGREEMENT (Articles SSC.17 [Stay outside the competent State]  
and SSC.25(1) [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. The be nefits in kind to be provided under Articles SSC.17 [Stay outside the competent State]   
and SSC.25(1) [Stay of the pensioner or the members of their family in a State other than the State of 
 
1274  residence – stay in the competent State – authorisation for appro priate treatment outside the State 
of residence] of the 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 tr eatment which is only accessible in a specialised medical unit or 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 duri ng 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:  
(a) kidney dialysis;  
(b) oxygen therapy;  
(c) special asthma treatment;  
(d) echocardiography in case of chronic autoimmune diseases;  
(e) chemotherapy.    
 
1275  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) [Identification of the State(s) conc erned] OF THIS 
ANNEX  
IRELAND  
SPAIN  
CYPRUS  
PORTUGAL  
SWEDEN  
UNITED KINGDOM  
  
 
1276  ANNEX SSC -8: TRANSITIONAL PROVISIONS REGARDING THE APPLICATION OF ARTICLE SSC.11 
[Detached workers]  
MEMBER STATES