Proposal for a Council Decision on the signing on behalf of the European Community, provisional application and conclusion of the Agreement between the European Community and the Swiss Confederation on the simplification of inspections and formalities in respect of the carriage of goods and on customs security measures
Date: 2009-03-20
Institutions: European Commission
Subjects: Switzerland, carriage of goods, customs document, customs inspection, simplification of formalities

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 20.3.2009 
COM(2009)131 final 

2009/0044 (ACC) 

Proposal for a 

COUNCIL DECISION 

on the signing on behalf of the European Community, provisional application and 
conclusion of the Agreement between the European Community and the Swiss 
Confederation on the simplification of inspections and formalities in respect of the 
carriage of goods and on customs security measures  

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EXPLANATORY MEMORANDUM 

I. General introduction 

The attached proposal for a Council Decision constitutes the legal instrument for the signing, 
provisional  application  and  conclusion  of  an  agreement  between  the  European  Community 
and the Swiss Confederation on the simplification of inspections and formalities in respect of 
the carriage of goods and on customs security measures. 

The Community Customs Code1 and its Implementing Rules2, which lay down the rules for 
the  customs  treatment  of  goods  that  are  imported  or  exported,  were  amended  in  20053  and 
20064  respectively  to  make  provision  for  customs  security  measures.  Among  these  security 
arrangements is a provision that traders should submit certain information prior to importing 
or exporting goods, which will make it possible to carry out a risk analysis of such operations 
prior to the entry or exit of the consignments in question. 

In principle, these security measures apply to trade with all non-member countries. However, 
the Community Customs Code allows for different rules concerning the obligation to provide 
pre-arrival and pre-departure information where international agreements provide for special 
security arrangements. It was thus held necessary and in the mutual interest of the Community 
and the Swiss Confederation to establish amended rules for customs security in their bilateral 
trade  in  goods.  Given  the  Swiss  Confederation's  proximity  and  geographical  position  in 
relation  to  the  Community  customs  territory  and  the  large  number  of  import/export 
transactions  taking  place  daily  between  it  and  European  Union  Member  States,  such  an 
arrangement  is  needed  to  ensure  in  particular  that  trade  runs  smoothly  while  maintaining  a 
high level of security. The negotiations, which started in July 2007, produced an arrangement 
to  abolish  the  requirement  for  a  prior  declaration  for  goods  traded  between  the  Community 
and  Switzerland.  The  abolition  of  this  requirement  is  subject  to  the  condition  that  the 
Contracting Parties undertake to guarantee on their respective territories an equivalent level of 
security  through  measures  based  on  legislation  in  force  in  the  Community.  In  addition  to 
provisions  for  customs-security  measures,  the  arrangement  also  includes  a  set  of  rules  to 
ensure that the Agreement and the acquis communautaire remain in alignment and to provide 
that,  if  the  equivalence  of  the  respective  security  measures  is  no  longer  maintained,  either 
party may take rebalancing measures, including suspending application of the relevant chapter 
of the Agreement. 

In  short,  the  objective  of  this  proposal  is  to  amend  the  Agreement  between  the  European 
Economic Community and the Swiss Confederation on the simplification of inspections and 
formalities  in  respect  of  the  carriage  of  goods  of  21  November  19905  in  order  to  extend  its 

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Council  Regulation  (EEC)  No  2913/92  establishing  the  Community  Customs  Code  (OJ  L  302, 
19.10.1992, p. 1). 
Commission Regulation (EEC) No 2454/93 laying down provisions for the implementation of Council 
Regulation (EEC) No 2913/92 establishing the Community Customs Code (OJ L 253, 11.10.1993, p. 1). 
Regulation  (EC)  No  648/2005  of  the  European  Parliament  and  of  the  Council  of  13  April  2005 
amending  Council  Regulation  (EEC)  No  2913/92  establishing  the  Community  Customs  Code  ,  OJ  L 
117, 4.5.2005, p. 13). 
Commission Regulation (EC) No 1875/2006 of 18 December 2006 amending Commission Regulation 
(EEC)  No  2454/93  laying  down  provisions  for  the  implementation  of  Council  Regulation  (EEC)  No 
2913/92 establishing the Community Customs Code (OJ L 360, 19.12.2006, p. 64). 
OJ L 116, 8.05.1990, p. 18. 

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scope  to  include  customs-security  measures.  Accordingly,  a  new  chapter  on  such  measures 
will be added to the 1990 Agreement. In the interests of clarity and greater legal security, the 
1990 Agreement will be incorporated in a new consolidated agreement.  

Pending  completion  of  the  internal  procedures  of  the  Contracting  Parties,  the  amended 
Agreement  will  be  implemented  provisionally  so  that  the  new  provisions  can  be  taken  into 
account  from  1  July  2009  when  the  security  measures  introduced  by  amendments  to  the 
Customs Code and Implementing Provisions will come into force. 

The new Agreement has no financial impact on the budget of the European Community. 

II. Amendments to the 1990 Agreement 

A. Customs-security measures provided for in the acquis communautaire included in Chapter 
III of the Agreement 

The new Chapter III (and Annexes I and II which are referred to in this Chapter) on customs 
security  contains  provisions  that  are  equivalent  to  the  provisions  added  to  the  Community 
Customs  Code  and  its  Implementing  Provisions  for  the  purpose  of  providing  a  coordinated 
and effective response to security concerns in international trade. These provisions cover: 

- the requirement that traders provide the customs authorities with details of goods before they 
are imported into the EU or exported from it; 

-  the  possibility  of  allowing  reliable  operators  to  use  a  simplified  version  of  the 
customs-security measures (status of "authorised economic operator"); 

-  the  introduction  of  uniform  criteria  for  selecting  risks  to  be  controlled,  which  will  be 
established using computerised systems. 

The  relevant  provisions  of  the  Agreement,  the  Code  and  the  IPs  are  set  out  in  the  annexed 
table under the heading "Community customs legislation which, if amended, could affect the 
terms of the Agreement and require amendment of Chapter III (Article 22 of the Agreement)".  

B. Provisions on measures to ensure the equivalence of customs security 

The  new  article  13  of  the  Agreement  lays  down  that  the  Joint  Committee  is  to  establish 
arrangements  for  monitoring  the  implementation  of  customs  security  measures  and  for 
checking compliance with Chapter III and Annexes I and II. Monitoring may take the form of 
regular  assessments  of  the  implementation  of  these  provisions,  the  holding  of  thematic 
meetings of experts from both parties, and audits of administrative procedures. 

As the arrangements are based on the Contracting Parties' undertaking to ensure an equivalent 
level of security on their respective territories through measures based on legislation in force. 
Article  22  contains  provisions  for  Switzerland's  receiving  adequate  information  of  any 
Community  intention  to  amend  its  legislation  in  an  area  covered  by  Chapter  III  of  the 
Agreement.  To  this  end,  the  Community  will  informally  sound  out  the  opinion  of  Swiss 
experts and ensure that they can participate in meetings of the Customs Code Committee as 
observers.  Preliminary  exchanges  of  views  and  consultations  prior  to  the  adoption  of  the 
Community act may also take place on the Joint Committee set up under the Agreement.  

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The Commission is required to notify Switzerland of the adoption of relevant Community acts 
once the procedure is completed. 

In addition, with a view to the equivalence of customs security measures listed in Chapter III 
and in Annexes I and II, Article 29 of the Agreement provides that each contracting party may 
take  appropriate  rebalancing  measures,  including  the  suspension  of  the  provisions  of  that 
Chapter, if it finds that the other party does not adhere to the conditions or equivalence is no 
longer  upheld.  Such  measures  are  normally  subject  to  prior  consultation  of  the  Joint 
Committee,  apart  from  cases  where  any  delay  could  jeopardise  customs  security.  In  such 
cases measures can be adopted immediately.  

Unless  the  Joint  Committee  decides  otherwise,  a  contracting  party  may  suspend  the 
application  of  Chapter  III  where  the  Committee  has  not  decided  on  amendments  to  this 
Chapter  that  are  needed  to  take  into  account  developments  in  the  relevant  Community 
legislation, with the result that equivalence of customs measures is no longer assured. If the 
Community  decides  on  such  action,  the  Commission  will  notify  Switzerland  of  the 
suspension,  which  will  take  effect  from  the  date  on  which  the  Community  legislation 
concerned is applied.  

Each  contracting  party  may  ask  the  Joint  Committee  to  hold  consultations  on  the 
proportionality  of  the  rebalancing  measures  and,  where  appropriate,  decide  to  submit  a 
dispute concerning the proportionality of the measures to an arbitration tribunal operating in 
accordance with the procedure set out in Annex III to the Agreement.  

Finally,  given  the  specific  nature  of  this  Agreement  relating  to  customs  matters,  including 
mutual recognition of customs security, it is agreed that the provisions of Articles 22, 23 and 
29  and  those  contained  in  Annex  III  to  the  Agreement  are  without  prejudice  to  the 
corresponding provisions of future agreements6. 

C. Other amendments 

The veterinary and plant health controls referred to in Articles 5 and 6 of the 1990 Agreement 
will  henceforth  be  governed  by  the  Agreement  of  21  June  1999  between  the  European 
Community  and  the  Swiss  Confederation  on  Trade  in  Agricultural  Products7.  Veterinary 
controls  have  been  abolished  since  1  January  2009  (Decision  No  1/2008  of  the  EC-
Switzerland Joint Veterinary Committee8) and the removal of plant health controls is a future 
goal. Articles 5 and 6 are therefore obsolete and should be deleted. 

There is a new Article 14 concerning the protection of professional secrecy and personal data. 
Switzerland has a level of protection that complies with Community legislation, in particular 
Commission Decision 2000/518/EC of 26 July 20009. 

III. Community representation on the Joint Committee  

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Agreement  has  been  reached  with  Switzerland  on  the  following  joint  statement  by  the  contracting 
parties: "The provisions of Articles 22, 23 and 29 of the Agreement and of Annex III thereto shall not 
prejudice the corresponding provisions of any future agreements." 
OJ L 114, 30.4.2002, p. 132. 
OJ L 6, 10.1.2009, p. 89. 
OJ L 215, 25.8.2000, p. 1. 

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The  Community  is  represented  on  the  Joint  Committee  by  the  Commission,  assisted  by 
representatives  of  the  Member  States.  The  Council,  acting  by  a  qualified  majority  on  a 
proposal  from  the  Commission,  will  decide  on  the  position  to  be  taken  by  the  Community, 
except in matters where the Joint Committee is empowered to take decisions under Articles 
19  and  21  of  the  Agreement;  in  such  cases  the  common  position  will  be  decided  by  the 
Commission.  

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Annex 

COMMUNITY CUSTOMS LEGISLATION WHICH, IF AMENDED, COULD 
AFFECT THE TERMS OF THE AGREEMENT AND REQUIRE AMENDMENT OF 
CHAPTER III (Article 22 of the Agreement) 

CUSTOMS 
SECURITY 
MEASURES 

CHAPTER III OF 
THE AGREEMENT 
WITH 
SWITZERLAND 

COMMUNITY 
CUSTOMS CODE 
(REG. NO 2913/92) 

COMMUNITY CUSTOMS CODE  
IMPLEMENTING PROVISIONS 
(REG. NO 2454/93) 

Declarations 
prior to the 
entry and exit of 
goods 

Article 10 and 
Annex I 

Entry: Articles 36a to 
36c, Chapter I, Title III

Articles 184b to 184c (entry 
summary declaration), Sections1 to 
3, Chapter I, Title IV, Part I 

Authorised 
economic 
operator 

Customs 
security controls 
and security-
related risk 
management 

Exit: Articles 182a to 
182d, Title V 

Articles 592a to 592d and 592f, 
Chapter I, Title IV, Part II 
(export customs declaration) 

Article 11 and 
Annex II 

Article 5a, Section 1a, 
Chapter 2, Title I 

Articles 842a to 842e, Chapter I, 
Title VI, Part II 

Article 14a to 14x, Title IIa, Part I 

Article 12 

Article 13, Section 4, 
Chapter 2, Title I 

General: Articles 4f to 4j, Chapter 
5, Title I, Part I 

Entry: Articles 184d and 184e, 
Section 4, Chapter I, Title IV, Part I 
(entry summary declaration) 

Exit: Articles 592e and 592g, 
Chapter I, Title IV, Part II 
(export customs declaration) 

Articles 842d(2), Chapter I, Title 
VI, Part II (exit summary 
declaration) 

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2009/0044 (ACC) 

Proposal for a 

COUNCIL DECISION 

on the signing on behalf of the European Community, provisional application and 
conclusion of the Agreement between the European Community and the Swiss 
Confederation on the simplification of inspections and formalities in respect of the 
carriage of goods and on customs security measures  

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
133 in conjunction with the first sentence of Article 300(3) thereof, 

Whereas: 

(1) 

(2) 

The Council authorised the Commission on 28 March 2007 to open negotiations with 
the  Swiss  Confederation  with  a  view  to  negotiating  an  agreement  amending  the 
Agreement  of  21  November  1990  between  the  European  Economic  Community  and 
the Swiss Confederation on the simplification of inspections and formalities in respect 
of the carriage of goods. 

The Commission and the Swiss Confederation have negotiated the amendment below, 
which  has  the  effect  of  extending  the  scope  of  the  Agreement  to  include  customs 
security, and the substance of the original agreement should be incorporated in a new 
consolidated Agreement.  

(3) 

The Agreement should be approved. 

(4) 

(5) 

Pending the completion of the internal procedures of the Contracting Parties, this new 
Agreement shall apply provisionally from 1 July 2009, the date on which the customs 
security measures introduced in 2005 and 2006 respectively by the amendments to the 
Community Customs Code and its Implementing Provisions become applicable. 

The Community's representation on the Joint Committee set up under the Agreement 
and the internal procedures necessary for the proper working of the Agreement should 
be established, 

HAS DECIDED AS FOLLOWS: 

Article 1 

The  Agreement  between  the  European  Community  and  the  Swiss  Confederation  on  the 
simplification  of  inspections  and  formalities  in  respect  of  the  carriage  of  goods  and  on 
security measures is hereby approved on behalf of the European Community. 

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The text of the Agreement is annexed to this Decision. 

Article 2 

The  President  of  the  Council  is  hereby  authorised  to  designate  the  person(s)  empowered  to 
sign the Agreement on behalf of the Community. 

Article 3 

Pending  the  completion  of  the  procedures  required  for  its  conclusion,  the  Agreement  shall 
apply provisionally from 1 July 2009 in accordance with Article 33(3) thereof. 

The  Commission  is  authorised  to  agree  on  another  date  for  provisional  application  of  the 
Agreement. 

The Community shall be represented on the Joint Committee set up under Article 19 of the 
Agreement by the Commission, assisted by representatives of the Member States.  

Article 4 

Article 5 

The position to be taken by the Community on the Joint Committee shall be decided by the 
Council, acting by qualified majority on a proposal from the Commission. 

The  Community  position  on  matters  on  which  the  Joint  Committee  is  empowered  to  take 
decisions  under  Articles  19(4)  and  (5)  and  21(2)  of  the  Agreement  shall  be  adopted  by  the 
Commission. 

Article 6 

In  order  to  ensure  the  application  of  Article  22(4)  of  the  Agreement,  the  Commission  shall 
notify Switzerland of the adoption of Community acts which constitute a development of the 
Community law covered by Chapter III of and Annexes I and II of the Agreement. 

The Commission is authorised to take the necessary measures provided for in Articles 22 and 
29  of  the  Agreement  in  order  to  ensure  the  equivalence  of  the  Contracting  Parties'  customs 
security measures. 

If, on the date of implementation of the relevant Community legislation, the Joint Committee 
has not reached a decision on an amendment to the Agreement and the provisional application 
of  the  new  provisions  is  not  possible,  the  Commission  shall  notify  Switzerland  of  the 
suspension of Chapter III of the Agreement in accordance with Article 29(2) thereof. 

This Decision shall be published in the Official Journal of the European Union. 

Article 7 

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Done at Brussels,  

For the Council 
The President 

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ANNEX  

Agreement 
between the European Community and the Swiss Confederation 
of ... 2009 
 on the simplification of inspections and formalities in respect of the carriage of goods 
and on customs security measures  

The  European  Community,  of  the  one  part,  and  the  Swiss  Confederation,  of  the  other  part, 
hereinafter referred to respectively as "the Community", "Switzerland" and "the Contracting 
Parties", 

Having regard to the Agreement between the European Economic Community and the Swiss 
Confederation on the simplification of inspections and formalities in respect of the carriage of 
goods, hereinafter referred to as "the 1990 Agreement"; 

Whereas the scope of the 1990 Agreement should be extended to customs security by adding 
a new chapter on this subject;  

Whereas  in  the  interests  of  clarity  and  greater  legal  security  the  1990  Agreement  will  be 
incorporated in this Agreement, which will replace the 1990 Agreement,  

Considering  the  Free  Trade  Agreement  of  22  July  1972  between  Switzerland  and  the 
European Economic Community;  

Considering the Joint Declaration adopted in Luxembourg on 9 April 1984 by Ministers of the 
EFTA  countries  and  the  Member  States  of  the  Community  and  the  Commission  of  the 
European  Communities,  and  the  statement  adopted  in  Brussels  on  2  February  1988  by 
Ministers of the EFTA countries and Ministers of the Member States of the Community with 
the aim of creating a dynamic European economic area of benefit to their countries; 

Considering  that  the  Contracting  Parties  have  ratified  the  International  Convention  on  the 
Harmonization of Frontier Controls of Goods; 

Bearing  in  mind  the  need  to  maintain  the  existing  level  of  controls  and  formalities  on  the 
passage  of  goods  at  frontiers  between  the  European  Economic  Community  and  the  Swiss 
Confederation and so ensure the smooth flow of trade;  

Considering that such facilitation should be progressively developed;  

Considering that veterinary and plant-health controls are now governed by the Agreement of 
21  June  1999  between  the  European  Community  and  the  Swiss  Confederation  on  Trade  in 
Agricultural Products; 

Acknowledging  that  the  conditions  under  which  inspections  and  formalities  are  carried  out 
may be extensively harmonised without impairing their purpose, their proper implementation 
or their effectiveness;  

Considering  that  no  provision  of  this  Convention  may  be  interpreted  as  exempting  the 
Contracting Parties from their obligations under other international agreements;  

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Considering that the Contracting Parties undertake to guarantee on their respective territories 
an  equivalent  level  of  security  through  measures  based  on  legislation  in  force  in  the 
Community; 

Considering  that  it  is  desirable  that  Switzerland  be  consulted  on  the  development  of 
Community rules concerning customs security measures, that it take part in the relevant work 
of the Customs Code Committee and that it be notified of the implementation of such rules; 

Considering  that  the  Contracting  Parties  are  determined  to  improve  security  in  the  trade  in 
goods entering or exiting their territories without hampering trade flows;  

Considering  that,  in  the  interests  of  the  Contracting  Parties,  equivalent  customs  security 
measures should be introduced in respect of the transport of goods from or to third countries;  

Considering  that  these  customs  security  measures  concern  the  declaration  of  security  data 
relating  to  goods  prior  to  their  entry  and  exit,  the  management  of  security  risks  and  related 
inspections and the allocation of authorised economic operator status for mutually recognised 
security purposes; 

Considering that Switzerland has an adequate level of personal data protection; 

Considering  that  in  the  case  of  customs  security  measures  there  should  be  provision  for 
appropriate rebalancing measures, including suspension of the relevant provisions where the 
equivalence of customs security measures is no longer assured, 

HAVE DECIDED TO CONCLUDE THIS AGREEMENT:  

CHAPTER I 

GENERAL PROVISIONS 

Article 1 

Definitions 

For the purposes of this Agreement: 

(a) 'inspections' means any operation whereby the customs authorities or any other inspection 
authority carries out the physical examination or visual inspection of the means of transport or 
of the goods themselves in order to ascertain that their nature, origin, condition, quantity and 
value are in conformity with the particulars contained in the documents produced;  

(b)  'formalities'  means  any  formality  to  which  the  authorities  subject  a  trader  and  which 
consists in the production or examination of documents, certificates accompanying the goods, 
or other particulars, irrespective of the method or medium employed, relating to the goods or 
the means of transport;  

(c) 'risk' means the likelihood of an event occurring in connection with the entry, exit, transit, 
transfer and end-use of goods moving between the customs territory of one of the Contracting 
Parties and third countries and the presence of goods not in free circulation in the territory of 
one of the Contracting Parties, which jeopardises the safety and security of the Community, 
its Member States or Switzerland, public health, the environment or consumers; 

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(d)  'risk  management'  means  the  systematic  identification  of  risk  and  implementation  of  all 
measures  necessary  for  limiting  exposure  to  risk.  This  includes  activities  such  as  collecting 
data and information, analysing and assessing risk, prescribing and taking action and regular 
monitoring  and  review  of  the  process  and  its  outcomes,  based  on  sources  and  strategies 
defined by the Community, its Member State and Switzerland, or at the international level. 

Article 2 

Scope 

1. Without prejudice to special provisions in force under agreements concluded between the 
Community  and  Switzerland,  this  Agreement  shall  apply  to  inspections  and  formalities 
concerning the carriage of goods which have to cross a frontier between Switzerland and the 
Community and to customs security measures applicable to the carriage of goods to or from 
third countries. 

2. This Agreement shall not apply to inspections or formalities concerning ships and aircraft 
as means of transport; however, it shall apply to vehicles and goods carried by the said means 
of transport.  

Article 3 

Territories covered 

1. This Agreement shall apply, on the one hand, to the Community customs territory and, on 
the other, to the Swiss customs territory and its customs enclaves.  

2. It shall also be effective in the Principality of Liechtenstein for as long as that Principality 
is linked to Switzerland by a customs union treaty.  

CHAPTER II 

PROCEDURES  

Article 4 

Random checks and formalities other than the customs security inspections referred to in 
Chapter III 

1. Save as otherwise expressly provided in this Agreement, the Contracting Parties shall take 
the necessary measures to ensure that: 

- the various inspections and formalities provided for in Article 2(1) are carried out with the 
minimum delay necessary and, as far as possible, in one place,  

-  inspections  are  carried  out  by  means  of  random  checks  except  in  duly  justified 
circumstances.  

2. For the purposes of implementing the second indent of paragraph 1, the basis for carrying 
out random checks shall be the total number of consignments passing through a frontier post 
and presented to a customs office or other inspection authority during a given period, and not 
the total number of goods making up each consignment.  

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3. The Contracting Parties shall facilitate, at the places of departure and destination of goods, 
the use of simplified procedures and data-processing and data-transmission techniques for the 
purposes of the export, transit and import of goods.  

4. The Contracting Parties shall endeavour to deploy customs offices, including those in the 
interior  of  their  territory,  in  such  a  way  as  best  to  take  account  of  the  requirements  of 
commercial operators.  

Article 5 

Delegation of powers 

The Contracting Parties shall see to it that, by express delegation by the competent authorities 
and on their behalf, one of the other services represented, and preferably the customs service, 
may  carry  out  inspections  for  which  those  authorities  are  responsible  and,  in  so  far  as  such 
inspections  relate  to  the  requirement  to  produce  the  necessary  documents,  checks  on  the 
validity and authenticity thereof and on the identity of the goods declared in such documents. 
In that event, the authorities concerned shall ensure that the means required for carrying out 
such checks are made available. 

Article 6 

Recognition of inspections and documents 

For the purposes of implementing this Agreement and without prejudice to the possibility of 
carrying  out  random  checks,  the  Contracting  Parties  shall,  in  the  event  of  goods  being 
imported or entering in transit, recognise the inspections carried out and the documents drawn 
up  by  the  competent  authorities  of  the  other  Contracting  Party  which  certify  that  the  goods 
comply with the legal requirements of the country of import or equivalent requirements in the 
country of export.  

Article 7 

Opening hours of frontier posts 

1. Where the volume of traffic so warrants, the Contracting Parties shall see to it that:  

(a) frontier posts are open, except when traffic is prohibited, so that:  

- frontiers can be crossed 24 hours a day with the corresponding inspections and formalities in 
respect  of  goods  placed  under  a  customs  transit  procedure,  their  means  of  transport  and 
vehicles travelling unladen, save where frontier inspection is necessary in order to prevent the 
spread of disease or to protect animals,  

- inspections and formalities relating to the movement of means of transport and goods which 
are not moving under a customs transit procedure may be performed from Monday to Friday 
during an uninterrupted period of at least six hours, unless those days are public holidays;  

(b)  as  regards  vehicles  and  goods  transported  by  air,  the  periods  referred  to  in  the  second 
indent of subparagraph (a) shall be adapted in such a way as to meet actual needs and for that 
purpose shall be split or extended if necessary.  

2.  Where  several  frontier  posts  are  situated  in  the  immediate  vicinity  of  one  and  the  same 
frontier zone, the Contracting Parties may jointly agree, for certain of such posts, to derogate 

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from  paragraph  1  provided  that  the  other  posts  in  that  zone  are  able  to  clear  goods  and 
vehicles in accordance with that paragraph.  

3. As regards the frontier posts and customs offices and services referred to in paragraph 1, 
and under the conditions laid down by the Contracting Parties, the competent authorities shall, 
if specifically requested during business hours and for sound reasons, provide for inspections 
and formalities to be carried out, as an exception, outside business hours, on condition that, 
where relevant, payment is made for services so rendered.  

Article 8 

Express lanes 

The  Contracting  Parties  shall  endeavour  to  establish  at  frontier  posts,  where  technically 
possible and justified by the volume of traffic, express lanes reserved for goods placed under 
a  customs  transit  procedure,  their  means  of  transport,  vehicles  travelling  unladen  and  all 
goods subject to such inspections and formalities as do not exceed those required in respect of 
goods placed under a transit procedure.  

CHAPTER III 

CUSTOMS SECURITY MEASURES 

Article 9 

General provisions concerning security 

1. The Contracting Parties undertake to set up and apply to the carriage of goods to and from 
third  countries  the  customs  security  measures  set  out  in  this  chapter  and  thus  to  ensure  an 
equivalent level of security at their external borders. 

2. The Contracting Parties shall refrain from applying the customs security measures set out in 
this chapter to the carriage of goods between their customs territories. 

3.  The  Contracting  Parties  shall  consult  prior  to  the  conclusion  any  agreement  with  a  third 
country  in  the  areas  covered  by  this  chapter  in  order  to  ensure  consistency  with  this 
Agreement, particularly if the proposed agreement includes provisions that derogate from the 
customs security measures set out in this chapter. 

Article 10 

Declarations prior to the entry and exit of goods 

1. Goods brought into the customs territories of the Contracting Parties from third countries 
shall be covered by an entry declaration for the purposes of security (hereinafter referred to as 
an  "entry  summary  declaration")  with  the  exception  of  goods  carried  on  means  of  transport 
only passing through the territorial waters or the airspace of the customs territory  without a 
stop within this territory. 

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2. Goods exiting the customs territories of the Contracting Parties that are destined for third 
countries  shall  be  covered  by  an  exit  declaration  for  the  purposes  of  security  (hereinafter 
referred to as an "exit summary declaration") with the exception of goods carried on means of 
transport  only  passing  through  the  territorial  waters  or  the  airspace  of  the  customs  territory 
without a stop within that territory. 

3. The entry or exit summary declaration shall be lodged before the goods are brought into or 
leave the customs territory of the Contracting Party. 

4. The lodging of entry or exit summary declarations as provided for in paragraphs 1 and 2 
shall  be  optional  until  31 December  2010  as  long  as  transitional  measures  providing  for  an 
exemption from the requirement to lodge such applications are applicable in the Community. 

Where  no  entry  or  exit  summary  declaration  is  lodged  in  accordance  with  paragraph  1,  the 
security risk analysis referred to in Article 12 shall be conducted by the customs authorities on 
the  basis  of  customs  declarations  covering  the  goods  or  any  other  information  available  to 
them not later than at the time of presentation of the goods on arrival or departure. 

5. Each Contracting Party shall specify the persons who are required to lodge such entry or 
exit summary declarations and the authorities competent to receive them.  

6. Annex I lays down: 

- the form and the content of the entry and exit declarations; 

- exceptions to the lodging of entry and exit declarations; 

- the place where entry and exit declarations shall be lodged; 

- the period within which the entry or exit declaration must be lodged; and 

- any other measure necessary for the application of this article. 

7. A customs declaration may be used as an entry or exit summary declaration as long as it 
meets the conditions laid down for that summary declaration. 

Article 11 

Authorised economic operator 

1. A Contracting Authority shall grant, subject to the criteria laid down in Annex II, the status 
of "authorised economic operator" for security purposes to any economic operator established 
in its customs territory. 

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The  requirement  concerning  establishment  in  the  customs  territory  of  the  Contracting  Party 
where the application for this status is made may be waived under certain conditions and for 
specific categories of authorised economic operator, taking into account agreements with third 
countries in particular. Furthermore, each Contracting Party shall decide whether, and under 
what conditions, an airline or a shipping company not established in its territory but having a 
regional office there may be accorded this status. 

Authorised  economic  operators  shall  enjoy  facilities  in  respect  of  security-related  customs 
controls. 

Subject to the rules and conditions set out in paragraph 2, the status of authorised economic 
operator  granted  by  a  Contracting  Party  shall  be  recognised  by  the  other  Contracting  Party, 
without  prejudice  to  customs  inspections,  particularly  with  a  view  to  implementing 
agreements with third countries providing for arrangements for the mutual recognition of the 
status of authorised economic operator. 

2. Annex II lays down: 

-  the  rules  for  granting  the  status  of  authorised  economic  operator,  and  in  particular  the 
criteria for granting this status and the conditions for applying them; 

- the type of facility that may be accorded; 

- the rules on the suspension and revocation of the status of authorised economic operator; 

-  the  arrangements  for  exchanges  of  information  between  the  Contracting  Parties  on  their 
authorised economic operators; 

- any other measure necessary for the application of this article. 

Article 12 

Customs security controls and security-related risk management 

1. Security-related controls other than random checks should be based on computerised risk 
analysis.  

2. Each Contracting Party shall establish for this purpose a risk-management framework, risk 
criteria and priority areas for security-related customs controls. 

3.  The  Contracting  Parties  shall  recognise  the  equivalence  of  their  security-related  risk 
management systems. 

4. The Contracting Parties shall cooperate with a view to: 

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- exchanging information with the aim of improving and strengthening their risk analysis and 
the effectiveness of security-related customs controls, and 

-  establishing  in  good  time  a  common  framework  for  risk  management,  risk  criteria  and 
common  priority  areas  for  controls  and  setting  up  an  electronic  system  to  implement  joint 
risk-management. 

5.  The  Joint  Committee  shall  adopt  any  other  measure  necessary  for  the  application  of  this 
article. 

Article 13 

Monitoring the implementation of customs security measures  

1.  The  Joint  Committee  shall  determine  how  the  Contracting  Parties  are  to  monitor  the 
implementation of this chapter and to verify compliance with its provisions and those of the 
annexes to this Agreement.  

2. This monitoring may take the form of:  

-  regular  assessments  of  the  implementation  of  this  chapter,  and  in  particular  of  the 
equivalence of customs security measures;  

- a review to improve the way in which it is applied or to amend its provisions so that it better 
fulfils its objectives;  

-  the  organisation  of  thematic  meetings  between  experts  of  both  Parties  and  audits  of 
administrative procedures, including on-the-spot visits. 

3. The Joint Committee shall ensure that measures taken under this article uphold the rights of 
economic operators. 

Article 14 

Protection of professional secrecy and personal data 

The information exchanged by the Contracting Parties as part of the measures provided for in 
this chapter shall enjoy the protection extended to professional secrecy and personal data as 
defined in the relevant laws applicable in the territory of the recipient Contracting Party. 

In  particular,  this  information  may  not  be  transferred  to  persons  other  than  the  competent 
bodies in the Contracting Party concerned, nor may it be used by those bodies for purposes 
other than those provided for in this Agreement. 

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CHAPTER IV 

COOPERATION 

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Article 15 

Cooperation between authorities 

1.  In  order  to  facilitate  the  crossing  of  frontiers,  the  Contracting  Parties  shall  take  the 
measures necessary to extend cooperation at both national and regional or local level between 
the  authorities  responsible  for  the  organisation  of  inspections  and  between  the  various 
departments carrying out inspections and formalities on either side of such frontiers.  

2. Each Contracting Party shall, in so far as it is concerned, see to it that persons engaged in 
trade  covered  by  this  Agreement  can  rapidly  inform  the  competent  authorities  of  any 
problems encountered when crossing frontiers.  

3. The cooperation referred to in paragraph 1 shall cover in particular:  

(a) the arrangement of frontier posts in such a way as to meet traffic requirements; 

(b) the conversion of frontier offices into juxtaposed inspection offices, where possible;  

(c) the harmonisation of the responsibilities of the frontier posts and offices situated on either 
side of the frontier;  

(d) the seeking of appropriate solutions to any problems reported. 

4.  The  Contracting  Parties  shall  cooperate  in  order  to  harmonise  the  business  hours  of  the 
various departments carrying out inspections and formalities on either side of the frontier. 

Article 16 

Notification of new inspections and formalities other than the customs security measures 
referred to in Chapter III 

Where a Contracting Party intends to introduce a new inspection or formality in an area other 
than that covered by Chapter III, it shall inform the other Contracting Party thereof.  

The Contracting Party concerned shall ensure that the measures taken to facilitate the crossing 
of  frontiers  are  not  rendered  inoperative  through  the  application  of  such  new  inspections  or 
formalities.  

Article 17 

Flow of traffic 

1.  The  Contracting  Parties  shall  take  the  measures  necessary  to  ensure  that  waiting  time 
caused by the various inspections and formalities does not exceed the time required for their 
proper  completion.  To  that  end,  they  shall  organize  the  business  hours  of  the  departments 
which  are  to  carry  out  inspections  and  formalities,  the  staff  available  and  the  practical 
arrangements  for  processing  goods  and  documents  associated  with  the  carrying  out  of 
inspections and formalities in such a way as to reduce waiting time in the flow of traffic to the 
fullest possible extent.  

2. The competent authorities of countries in whose territory a serious disruption occurs in the 
carriage  of  goods  which  is  likely  to  jeopardise  the  objectives  of  simplifying  and  expediting 
the  crossing  of  frontiers  shall  immediately  inform  the  competent  authorities  of  the  other 
countries affected by such disruption.  

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3. The competent  authorities of each  country  so affected shall immediately take  appropriate 
measures to ensure, as far as possible, the free flow of traffic. The measures shall be notified 
to  the  Joint  Committee  which  shall,  where  appropriate,  meet  in  emergency  session  at  the 
request of a Contracting Party to discuss these measures.  

Article 18 

Administrative assistance 

1. In order to ensure the smooth functioning of trade between the Contracting Parties and to 
facilitate  the  detection  of  any  irregularity  or  infringement,  the  customs  authorities  of  the 
countries  concerned  shall,  upon  request,  or,  where  they  consider  that  this  would  be  in  the 
interests  of  the  other  Contracting  Party,  on  their  own  initiative,  provide  each  other  with  all 
available information (including administrative findings and reports) of interest for the proper 
implementation of this Agreement.  

2.  Assistance  may  be  withheld  or  denied,  totally  or  partly,  when  the  requested  country 
considers that the assistance would be prejudicial to its security, public order (ordre public) or 
other essential interests, or would violate an industrial, commercial or professional secret.  

3. If assistance is withheld or denied, the decision and the reasons therefor must be notified to 
the requesting country without delay.  

4. If the customs authority of a country requests assistance which it would not be able to give 
if requested, it shall draw attention to that fact in the request. Compliance with such a request 
shall be at the discretion of the customs authority to which the request is made.  

5. Information obtained in accordance with paragraph 1 shall be used solely for the purposes 
of  this  Agreement  and  shall  be  accorded  the  same  protection  by  the  recipient  country  as  is 
given to information of like nature under the national law of that country. Such information 
shall be used for other purposes only with the written consent of the customs authority which 
furnished it and subject to any restrictions laid down by that authority.  

CHAPTER V 

ADMINISTRATIVE BODIES 

Article 19 

Joint Committee 

1.  A  Joint  Committee  is  hereby  established  on  which  the  Contracting  Parties  to  this 
Agreement shall be represented.  

2. The Joint Committee shall act by mutual agreement.  

3. The Joint Committee shall meet as required but no less than once a year. Any Contracting 
Party may request that a meeting be convened.  

4.  The  Joint  Committee  shall  establish  its  rules  of  procedure  which  shall  contain,  inter  alia, 
provisions  on  the  convening  of  meetings,  the  appointment  of  the  chairperson  and  the 
chairperson's term of office.  

5. The Joint Committee may decide to set up any subcommittee or working party that could 
assist it in its work.  

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Article 20 

Consultation groups 

1.  The  competent  authorities  of  the  countries  concerned  may  set  up  any  consultation  group 
responsible  for  dealing  with  questions  of  a  practical,  technical  or  organisational  nature  at 
regional or local level.  

2.  Such  consultation  groups  shall  meet  whenever  necessary  at  the  request  of  the  competent 
authorities  of  a  country.  The  Joint  Committee  shall  be  kept  regularly  informed  of  their 
deliberations by the Contracting Parties responsible for them. 

Article 21 

Powers of the Joint Committee 

1.  It  shall  be  the  responsibility  of  the  Joint  Committee  to  administer  this  Agreement  and 
ensure  its  proper  implementation.  For  that  purpose  it  shall  make  recommendations  and  take 
decisions.  

2.  By  its  decisions  the  Joint  Committee  may  amend  Chapter  III  of  and  the  annexes  to  this 
Agreement. 

3.  In  addition  to  the  matters  expressly  provided  for  in  this  Agreement  it  shall,  by  means  of 
decisions, adopt implementing measures of a technical and administrative nature with a view 
to reducing inspections and formalities. 

4.  Decisions  shall  be  implemented  by  the  Contracting  Parties  in  accordance  with  their  own 
rules.  

5.  For  the  purposes  of  the  proper  implementation  of  this  Agreement,  the  Joint  Committee 
shall  be  informed  at  regular  intervals  by  the  Contracting  Parties  of  experience  gained  in  its 
implementation and those Parties shall, at the request of any one of them, consult one another 
within the Joint Committee. 

Article 22 

Development of law 

1. As soon as the Community draws up new legislation in an area governed by Chapter III, it 
shall  seek  an  informal  opinion  of  Swiss  experts  in  the  same  way  as  it  seeks  the  opinion  of 
experts of Member States of the European Union.  

2. When the European Commission sends its proposal to the Member States or the Council of 
the European Union it shall send a copy to Switzerland.  

At the request of one of the Contracting Parties, a preliminary exchange of views may take 
place in the Joint Committee. 

3. In the phase prior to the adoption of the Community act, and at the request of one of their 
number,  the  Contracting  Parties  shall  consult  each  other  again  on  the  Joint  Committee  in  a 
continuous process of information and consultation. 

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4.  The  amendments  to  Chapter  III  of  this  Agreement  needed  to  take  account  of  the 
development of Community legislation relevant to the matters covered by that chapter shall be 
decided  as  soon  as  possible  so  that  they  can  be  implemented  at  the  same  time  as  the 
amendments to the Community legislation, in compliance with the internal procedures of the 
Contracting Parties. 

If  a  decision  cannot  be  adopted  for  such  simultaneous  implementation,  the  amendments 
provided  for  in  the  draft  decision  submitted  for  the  Parties'  approval  shall  be  implemented 
provisionally  where  possible,  in  compliance  with  the  internal  procedures  of  the  Contracting 
Parties. 

5. The Contracting Parties shall cooperate during the information and consultation phase with 
a view to facilitating, at the end of the process, decision-making by the Joint Committee. 

Article 23 

Participation in the Customs Code Committee 

The  Community  shall  enable  Swiss  experts  to  participate  as  observers  for  items  concerning 
them in meetings of the Customs Code Committee, which assists the European Commission 
in the exercise of its powers in matters covered by Chapter III. 

Article 24 

Dispute settlement 

Without prejudice to Article 29, any dispute between the Contracting Parties concerning the 
interpretation or application of this Agreement shall be referred to the Joint Committee, which 
shall seek an amicable settlement thereof.  

Article 25 

Agreements with third countries 

The  Contracting  Parties  agree  that  agreements  concluded  by  either  of  them  with  a  third 
country in an area covered by Chapter III of this Agreement shall not create obligations for 
the other Party, unless the Joint Committee decides otherwise. 

CHAPTER VI 

SUNDRY AND FINAL PROVISIONS 

Article 26 

Payment facilities 

The Contracting Parties shall see to it that any sums payable in respect of the inspections and 
formalities applied to trade can also be paid by means of guaranteed or certified international 
cheques, expressed in the currency of the country in which such sums are due.  

Article 27 

Implementation of the Agreement 

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Each  Contracting  Party  shall  take  appropriate  measures  to  ensure  that  the  provisions  of  this 
Agreement are effectively and harmoniously applied, taking into account the need to make it 
easier for goods to cross frontiers and the need to achieve mutually satisfactory solutions of 
any difficulties arising out of the application of the said provisions.  

Article 28 

Revision 

If a Contracting Party wishes to have this Agreement revised, it shall submit a proposal to that 
effect to the other Party. The revision shall take effect after the respective internal procedures 
have been completed. 

Article 29 

Rebalancing measures 

1. A Contracting Party may, after consultations within the Joint Committee, take appropriate 
rebalancing measures, including suspension of Chapter III, if it finds that the other Party does 
not adhere to its conditions or if the equivalence of the Contracting Parties' customs security 
measures is no longer assured. 

Where any delay could jeopardise the effectiveness of customs security measures, provisional 
protective measures may be taken, without prior consultation, provided that consultations are 
held immediately after their adoption.  

2.  If  the  equivalence  of  the  Contracting  Parties'  customs  security  measures  is  no  longer 
assured  because  the  amendments  provided  for  in  Article  22(4)  have  not  been  decided,  a 
Contracting Party may suspend the application of Chapter III from the date of implementation 
of  the  relevant  Community  act,  unless  the  Joint  Committee,  having  considered  how  to 
continue its application, decides otherwise.  

3. The scope and duration of such measures shall be limited to what is necessary in order to 
remedy  the  situation  and  to  secure  a  fair  balance  of  rights  and  obligations  under  this 
Agreement. A Contracting Party may ask the Joint Committee to hold consultations about the 
proportionality  of  these  measures  and,  where  appropriate,  decide  to  submit  a  dispute  on  the 
matter to arbitration in accordance with the procedure laid down in Annex III. No question of 
interpretation of provisions of this Agreement that are identical to corresponding provisions of 
Community law may be resolved within this framework. 

Article 30 

Public order 

The provisions of this Agreement shall not preclude prohibitions or restrictions on the import, 
export  or  transit  of  goods  enacted  by  the  Contracting  Parties  or  by  Member  States  of  the 
Community and justified on grounds of public morality, public policy or public security, the 
protection of the health and life of humans, animals, plants or the environment, the protection 
of national treasures possessing artistic, historical or archaeological value, or the protection of 
industrial or commercial property. 

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Article 31 

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Any Contracting Party may denounce the Agreement by notifying the other Contracting Party. 
The Agreement shall lapse 12 months following the date of such notification. 

Denunciation  

Article 32 

Annexes 

The Annexes to this Agreement shall form an integral part thereof. 

Article 33 

Ratification 

1. This Agreement shall be approved by the Contracting Parties in accordance with their own 
procedures. It shall enter into force on 1 July 2009, provided that the Contracting Parties have 
notified one another before that date that the requisite procedures have been completed. 

2. If this Agreement does not enter into force on 1 July 2009, it shall enter into force on the 
day following the date on which the Contracting Parties notify one another that the requisite 
procedures have been completed. 

3.  Pending  completion  of  the  procedures  referred  to  in  paragraphs  1  and  2,  the  Contracting 
Parties  shall  apply  this  Agreement  provisionally  from  1  July  2009  or  a  later  date  agreed 
between them. 

4. As soon as it enters into force, this Agreement shall replace the Agreement of 21 November 
1990between  the  European  Economic  Community  and  the  Swiss  Confederation  on  the 
simplification of inspections and formalities in respect of the carriage of goods. 

Article 34 

Languages 

1. This Agreement is drawn up in duplicate in the Bulgarian, Czech, Danish, Dutch, English, 
Estonian,  Finnish,  French,  German,  Greek,  Hungarian,  Italian,  Latvian,  Lithuanian,  Polish, 
Portuguese,  Romanian,  Slovak,  Slovenian,  Spanish  and  Swedish  languages,  each  of  these 
texts being equally authentic. 

2. The Maltese language version shall be authenticated by the Contracting Parties on the basis 
of  an  exchange  of  letters.  It  shall  also  be  authentic,  in  the  same  way  as  for  the  languages 
referred to in paragraph 1. 

Done at …, … 

For Switzerland  

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For the Community  

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Annex I 

Entry and exit summary declarations 

Article 1 

Form and content of the entry and exit summary declaration 

1. The entry and exit summary declaration shall be made electronically. Commercial, port or 
transport documents may be used, provided that they contain the necessary information.  

2.  The  entry  or  exit  summary  declaration  shall  contain  the  information  laid  down  for  such 
declarations  in  Annex  30a  to  Commission  Regulation  (EEC)  No  2454/93  laying  down 
provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the 
Community  Customs  Code,  hereinafter  referred  to  as  "Regulation  (EEC)  No  2454/93"10.  It 
shall be completed in accordance with the explanatory notes in the said Annex 30a. It shall be 
authenticated by the person who completed it.  

3. The customs authorities shall allow the lodging of an entry or exit summary declaration on 
paper or in another medium only in one of the following circumstances: 

(a) where the customs authorities’ computerised system is not functioning,  

(b)  where  the  electronic  application  of  the  person  lodging  the  entry  or  exit  summary 
declaration is not functioning, 

on condition that they apply to these declarations the same level of risk management as that 
applied to customs declarations made using a data processing technique.  

Paper-based entry or exit summary declarations shall be signed by the person who completed 
them.  They  shall  be  accompanied,  where  appropriate, by  loading lists  or other  relevant  lists 
and contain the information referred to in paragraph 2.  

4. Each Contracting Party shall determine  the conditions and procedures by which a  person 
required to lodge an entry or exit summary declaration is authorised to change one or more of 
the details of the declaration after lodging it.  

Article 2 

Exceptions to the lodging of entry and exit summary declarations 

1. An entry or exit summary declaration shall not be required for the following goods: 

(a) electrical energy; 

(b) goods entering or exiting by pipeline; 

(c) letters, postcards and printed matter, including those on electronic media; 

10 

OJ L 253, 11.10.1993, as last amended by Commission Regulation No 1192 of 17 November 2008 (OJ 
L 329, 6.12.2008, p. 1). 

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(d) goods moving under the rules of the Universal Postal Union Convention; 

(e) goods for which an oral customs declaration or simple crossing of the border is permitted 
under  rules  laid  down  by  the  Contracting  Parties,  except  pallets,  containers,  and  means  of 
road, rail, air, sea and inland waterway transport used under a transport contract; 

(f) goods contained in travellers’ personal luggage; 

(g) goods covered by ATA and CPD Carnets; 

(h) goods exempt under the Vienna Convention of 18 April 1961 on diplomatic relations, the 
Vienna Convention of 24 April 1963 on consular relations or other consular conventions, or 
the New York Convention of 16 December 1969 on special missions; 

(i) weapons and military equipment brought into the customs territory of a Contracting Party 
by  the  authorities  responsible  for  the  military  defence  of  a  Member  State  of  the  European 
Union or Switzerland in military transport or transport operated by military authorities; 

(j) the following goods brought into the customs territory of a Contracting Party for direct use 
in drilling or production platforms: 

-  goods  for  incorporation  in  such  platforms,  for  the  purposes  of  their  construction,  repair, 
maintenance or conversion; 

- goods used to equip such platforms; other provisions used or consumed on these platforms; 
and waste products from these platforms; 

(k) goods in consignments the intrinsic value of which does not exceed EUR 22, provided that 
the  customs  authorities  accept,  with  the  agreement  of  the  economic  operator,  to  carry  out  a 
risk  analysis  using  the  information  contained  in,  or  provided  by,  the  system  used  by  the 
economic operator. 

2. An entry or exit summary declaration shall not be required in the cases provided for in an 
international agreement between a Contracting Party and a third country on security, subject 
to the procedure laid down in Article 9(3) of the Agreement.  

3.  An  entry  or  exit  summary  declaration  shall  not  be  required  in  the  Community  for  goods 
referred to in points (i) and (j) of Article 181c, points (i) and (j) of Article 592a and Article 
842a(2)(b) of Regulation (EEC) No 2454/93. 

4. An exit summary declaration shall not be required in Switzerland for: 

-  spare  and  replacement  parts  for  incorporation  in  aircraft  for  the  purpose  of  their  repair,  
- lubricants and gas which are necessary for the operation of aircraft, 

- and foodstuffs for consumption on board,  

that were previously placed in a customs warehouse within the confines of a Swiss airport and 
then  transferred  to  aircraft  in  accordance  with  the  provisions  adopted  by  Switzerland, 
provided they do not affect the level of security assured by this Agreement. 

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Article 3 

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Place for lodging entry and exit summary declarations 

1.  The  entry  summary  declaration  shall  be  lodged  with  the  competent  authority  of  the 
Contracting  Party  into  whose  customs  territory  the  goods  are  brought  from  a  third  country. 
That authority shall carry out a risk analysis based on information contained in the declaration 
and  any  customs  controls  deemed  necessary  for  security  purposes,  including  cases  where 
goods are destined for the other Contracting Party.  

2.  The  exit  summary  declaration  shall  be  lodged  with  the  competent  authority  of  the 
Contracting  Party  in  whose  customs  territory  the  formalities  for  exit  to  third  countries  are 
carried out. However, a customs export declaration used as an exit summary declaration shall 
be  lodged  with  the  competent  authority  of  the  Contracting  Party  in  whose  customs  territory 
the  formalities  for  export  to  third  countries  are  carried  out.  In  either  case  the  competent 
authority shall carry out a risk analysis based on the information contained in the declaration 
and the customs controls deemed necessary for security. 

3. When goods destined for a third country leave the customs territory of a Contracting Party 
through  the  customs  territory  of  the  other  Contracting  Party,  the  information  referred  to  in 
Article 1(2) shall be transmitted by the competent authority of the former Contracting Party to 
the competent authority of the latter.  

However, the Joint Committee may determine cases in which transmission of this information 
is not necessary as long as the level of security assured by this Agreement is not affected.  

The Contracting Parties shall seek to establish an interconnection and use a common system 
for transmitting data that contains the information necessary for the exit summary declaration 
of the goods in question.  

If  the  Contracting  Parties  are  unable  to  establish  the  transmission  referred  to  in  the  first 
subparagraph on the date of application of this Agreement, the exit summary declaration for 
goods destined for a third country that leave a Contracting Party through the customs territory 
of the other Contracting Party  shall,  except for direct air  traffic, be lodged  exclusively with 
the competent authority of the latter Party. 

Article 4  

Time limits for lodging entry and exit summary declarations 

1.  The  deadlines  for  lodging  entry  and  exit  summary  declarations  are  those  laid  down  in 
Articles 184a and 592b of Regulation (EEC) No 2454/93.  

2. Notwithstanding paragraph 1, each Contracting Party may decide on different time limits:  

- in cases of the traffic referred to in Article 3(3) so that reliable risk analysis may be carried 
out and shipments intercepted in order to carry out any security-related customs checks;  

- in the case of an international agreement between that Contracting Party and a third country, 
subject to the procedure laid down in Article 9(3) of this Agreement. 

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Annex II 

Authorised economic operator 

Title I  

Granting of the status of authorised economic operator 

Article 1 

General provisions 

1. The criteria for granting the status of authorised economic operator shall include: 

(a) an appropriate record of compliance with customs requirements; 

(b) a satisfactory system of managing commercial and, where appropriate, transport records, 
which makes it possible to carry out appropriate customs controls for security purposes; 

(c) proven financial solvency, and 

(d) appropriate security and safety standards. 

2.  Each  Contracting  Party  shall  determine  the  procedures  for  requesting  and  granting  the 
status of authorised economic operator, and the legal effects of this status. 

3.  The  Contracting  Parties  shall  ensure  that  their  customs  authorities  monitor  authorised 
economic  operators'  compliance  with  the  relevant  conditions  and  criteria  and  that  they 
re-examine  these  conditions  and  criteria,  notably  if  there  are  significant  amendments  to  the 
relevant legislation or where there is evidence making it reasonable to think that an economic 
operator no longer meets the applicable requirements. 

Article 2 

Background 

1.  The  record  of  compliance  with  customs  requirements  shall  be  considered  satisfactory  if, 
over the last three years preceding the submission of the application, no serious infringement 
or  repeated  infringements  of  customs  rules  have  been  committed  by  any  of  the  following 
persons: 

(a) the applicant; 

(b) the persons in charge of the applicant company or exercising control over its management; 

(c) if applicable, the applicant's legal representative in customs matters; 

(d) the person responsible in the applicant company for customs matters. 

2. The record of compliance with customs requirements may be considered satisfactory if the 
competent  customs  authority  considers  the  infringements  to  be  of  negligible  importance  in 

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relation to the number or size of the customs-related operations, and they not to raise doubts 
concerning the good faith of the applicant. 

3. If the persons exercising control over the applicant company are established or resident in a 
third country, the customs authorities shall assess their compliance with customs requirements 
on the basis of the records and information that are available to them. 

4. If the applicant has been established for less then three years, the customs authorities shall 
assess his compliance with customs requirements on the basis of the records and information 
that are available to them. 

Article 3 

Satisfactory system of managing commercial and transport records 

To enable the customs authorities to establish that the applicant has a satisfactory system of 
managing commercial and, where appropriate, transport records, the applicant shall fulfil the 
following requirements: 

(a) maintain an accounting system which is consistent with the generally accepted accounting 
principles  applied  in  the  place  where  the  accounts  are  held  and  which  will  facilitate 
audit-based customs control; 

(b)  allow  the  customs  authority  physical  or  electronic  access  to  its  customs  and,  where 
appropriate, transport records; 

(c) have an administrative organisation which corresponds to the type and size of the business 
and  which  is  suitable  for  the  management  of  the  flow  of  goods,  and  have  internal  controls 
capable of detecting illegal or irregular transactions; 

(d)  where  applicable,  have  satisfactory  procedures  in  place  for  the  handling  of  licences  and 
import and/or export authorisations; 

(e)  have  satisfactory  procedures  in  place  for  the  archiving  of  the  company's  records  and 
information and for protection against the loss of information; 

(f)  ensure  that  employees  are  made  aware  of  the  need  to  inform  the  customs  authorities 
whenever compliance difficulties are discovered and establish suitable contacts to inform the 
customs authorities of such occurrences; 

(g)  have  appropriate  information  technology  security  measures  in  place  to  protect  the 
applicant's  computer  system  from  unauthorised  intrusion  and  to  secure  the  applicant's 
documentation. 

Article 4 

Financial solvency 

1.  For  the  purposes  of  this  Article,  financial  solvency  shall  mean  a  good  financial  standing 
which  is  sufficient  to  fulfil  the  commitments  of  the  applicant,  with  due  regard  to  the 
characteristics of the type of the business activity. 

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2. The condition relating to the financial solvency of the applicant shall be deemed to be met 
if his solvency can be proven for the past three years. 

3. If the applicant has been established for less then three years, his financial solvency shall be 
judged on the basis of the records and information that are available. 

Article 5 

Appropriate security and safety standards 

1.  The  applicant's  security  and  safety  standards  shall  be  considered  appropriate  if  the 
following conditions are fulfilled: 

(a) buildings to be used in connection with the operations to be covered by the certificate are 
constructed of materials which resist unlawful entry and provide protection against unlawful 
intrusion; 

(b)  appropriate  access  control  measures  are  in  place  to  prevent  unauthorised  access  to 
shipping areas, loading docks and cargo areas; 

(c) measures for the handling of goods include protection against the introduction, exchange 
or loss of any material and tampering with cargo units; 

(d) where applicable, procedures are in place for the handling of import and/or export licences 
connected to prohibitions and restrictions and to distinguish these goods from other goods; 

(e)  the  applicant  has  implemented  measures  to  enable  a  clear  identification  of  his  business 
partners in order to secure the international supply chain; 

(f) the applicant conducts, in so far as legislation permits, security screening on prospective 
employees  working  in  security-sensitive  positions  and  carries  out  periodic  background 
checks; 

(g)  the  applicant  ensures  that  staff  concerned  actively  participate  in  security  awareness 
programmes. 

2.  If  the  applicant,  established  in  the  Community  or  in  Switzerland,  is  the  holder  of  an 
internationally recognised security and/or safety certificate issued on the basis of international 
conventions,  of  a  European  security  and/or  safety  certificate  issued  on  the  basis  of 
Community  legislation,  of  an  International  Standard  of  the  International  Organisation  for 
Standardisation,  of  a  European  Standard  of  the  European  Standards  Organisations,  or  of 
another recognised certificate, the criteria provided for in paragraph 1 shall be deemed to be 
met to the extent that the criteria for issuing these certificates are identical or correspond to 
those laid down in this Annex. 

Title II  

Facilities accorded to authorised economic operators 

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Article 6 

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The customs authorities shall accord authorised economic operators the following facilities in 
particular: 

the  customs  authorities  may  notify  the  authorised  economic  operator  before  the  arrival  of 
goods into the customs territory or departure of goods from it that, as a result of security and 
safety risk analysis, the consignment has been selected for further physical inspection, as long 
as this does not adversely affect the inspection to be carried out; the customs authorities may, 
however, carry out a physical inspection even when the authorised economic operator has not 
been notified; 

the authorised economic operator may lodge entry or exit summary declarations subject to the 
reduced  requirements  regarding  the  information  to  be  given  as  laid  down  in  Annex  30a  to 
Commission Regulation (EEC) No 2454/93 laying down provisions for the implementation of 
Council  Regulation  (EEC)  No  2913/92  establishing  the  Community  Customs  Code, 
hereinafter  referred  to  as  "Regulation  (EEC)  No  2454/93"11;  however,  if  the  authorised 
economic operator is a carrier, freight forwarder or customs agent, he may benefit from these 
reduced requirements only if he is involved in the import or export of goods on behalf of an 
authorised economic operator;  

authorised economic operators shall be subject to fewer physical and document-based controls 
than  other  economic  operators;  the  customs  authorities  may,  however,  decide  otherwise  in 
order to take into account a specific threat or control obligations set out in other, non-customs 
legislation; 

if the customs authority decides to proceed with the inspection of a consignment covered by 
an  entry  or  exit  summary  declaration  lodged  by  an  authorised  economic  operator,  this 
inspection  shall  be  given  priority;  in  addition,  at  the  request  of  the  authorised  economic 
operator, and in agreement with the customs authority, this inspection may be carried out in a 
place other than tha in which the authority normally carries out its inspections. 

Suspension and withdrawal of the status of authorised economic operator 

Title III  

Article 7 

Suspension of status 

1.  The  status  of  authorised  economic  operator  shall  be  suspended  by  the  issuing  customs 
authority in the following cases: 

(a)  where  non-compliance  with  the  conditions  or  criteria  for  authorised  economic  operator 
status has been established; 

(b) where the customs authorities have sufficient reason to believe that an act which gives rise 
to  criminal  court  proceedings  and  linked  to  an  infringement  of  the  customs  rules  has  been 
perpetrated by the authorised economic operator; 

11 

OJ  L  253,  11.10.1993,  as  last  amended  by  Commission  Regulation  No 1192/2008  of  17  November 
2008 (OJ L 329, 6.12.2008, p. 1). 

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(c)  where  an  authorised  economic  operator  so  requests  because  he  is  temporarily  unable  to 
meet the conditions or criteria for granting the status. 

2. However, in the case referred to in paragraph 1(b), the customs authority may decide not to 
suspend  the  status  of  authorised  economic  operator  if  it  considers  an  infringement  to  be  of 
negligible importance in relation to the number or size of the customs-related operations and 
it does not raise doubts concerning the good faith of the authorised economic operator. 

3. Where the nature or the level of the threat to citizens’ security and safety, to public health 
or to the environment so requires, suspension shall take place immediately.  

4.  The  suspension  shall  not  affect  any  customs  procedure  already  started  before  the  date  of 
suspension and not yet completed. 

5. Each Contracting Party shall set the length of the suspension period with a view to enabling 
the economic operator to regularise the situation. 

6. When the economic operator concerned has, to the satisfaction of the customs authorities, 
taken the necessary measures to comply with the conditions and criteria that have to be met 
by any authorised economic operator, the issuing customs authority shall lift the suspension. 

Article 8 

Withdrawal of status 

1.  The  status  of  authorised  economic  operator  shall  be  withdrawn  by  the  issuing  customs 
authority in the following cases: 

(a)  where  serious  infringements  of  customs  rules  have  been  committed  by  the  authorised 
economic operator and the avenues of appeal are exhausted; 

(b)  where  the  authorised  economic  operator  fails  to  take  the  necessary  measures  during  the 
suspension period referred to in Article 7(5); 

(c) at the request of the authorised economic operator. 

2.  However,  in  the  case  referred  to  in  point  (a),  the  customs  authority  may  decide  not  to 
withdraw  the  authorised  economic  operator  status  if  it  considers  the  infringement  to  be  of 
negligible importance in relation to the number or size of the customs-related operations and 
it does not raise doubts concerning the good faith of the authorised economic operator. 

3. Revocation shall take effect on the day following its notification. 

Title IV  

Exchange of information 

Article 9 

The Commission and the competent Swiss authorities shall regularly inform each other of the 
identities of their authorised economic operators for the purposes of security, and include the 
following information:  

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(a) the Trader Identification Number (TIN) in a format compatible with Economic Operator 
Registration and Identification (EORI) legislation; 

(b) the name and address of the authorised economic operator; 

(c) the number of the document granting the status of authorised economic operator;  

(d) current status (current, suspended, withdrawn);  

(e) periods of changed status;  

f) the date on which the certificate becomes effective; 

(g) the authority which issued the certificate. 

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Annex III 

Arbitration procedure 

1.  If  a  dispute  has  been  referred  to  arbitration  there  shall  be  three  arbitrators,  unless  the 
Contracting Parties decide otherwise. 

2. Each of the two Contracting Parties shall each appoint one arbitrator within 30 days. 

3.  The  two  arbitrators  so  appointed  shall  nominate  by  common  agreement  one  umpire  who 
shall  not  be  a  national  of  either  of  the  Contracting  Parties.  If  they  cannot  agree  within  two 
months of their appointment, the umpire shall be chosen by them from seven persons on a list 
established by the Joint Committee. The Joint Committee shall draw up and update this list in 
accordance with its rules of procedure. 

4. Unless the Contracting Parties decide otherwise, the arbitration tribunal shall adopt its rules 
of procedure. It shall take its decisions by majority vote. 

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