Proposal for a Council Decision on a Community position within the Joint Committee established by the Agreement on the European Economic Area on the adaptation of Protocols 10 and 37 on simplification of inspections and formalities in respect of carriage of goods
Date: 2009-06-09
Institutions: European Commission
Subjects: carriage of goods, customs formalities, intra-EU trade, simplification of formalities

EN 

EN 

   EN 

 
 
COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 9.6.2009 
COM(2009) 260 final 

2009/0074 (ACC) 

Proposal for a 

COUNCIL DECISION 

on a Community position within the Joint Committee established by the Agreement on 
the European Economic Area on the adaptation of Protocols 10 and 37 on simplification 
of inspections and formalities in respect of carriage of goods  

EN 

   EN 

 
 
 
  
EXPLANATORY MEMORANDUM 

I. General introduction 

The attached proposal for a Council Decision constitutes the legal instrument for the signing, 
provisional  application  and  adoption  of  the  EEA  Joint  Committee  Decision  on  amending 
Protocols 10 and 37 to the EEA Agreement with a view to extend the application of the EEA 
Agreement on customs security measures. 

The Community Customs Code1 and its Implementing Provisions2, which lay down the rules 
for the customs treatment of goods that are imported or exported, were amended in 20053 and 
20064  respectively  to  introduce  provisions  on  customs  security  measures.  Among  these 
security arrangements is an obligation 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 Norway to establish amended rules for customs security in their bilateral trade in goods. 
Given  Norway's  geographical  position  in  relation  to  the  Community  customs  territory,  the 
large number of import/export transactions taking place daily between it and European Union 
Member States as well as legal links of the EC with Norway based on the EEA Agreement, 
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 June 2008, produced 
an arrangement to abolish the requirement for a prior declaration for goods traded between the 
Community and Norway. 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. 

The objective of this proposal is to amend Protocol 10 and Protocol 37 to the EEA Agreement 
in order to extend their application on customs-security measures. 

1 

2 

3 

4 

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). 

EN 

2 

   EN 

 
                                                 
These  amendments  will  apply  only  in  trade  between  the  Community  and  Norway.  Their 
application  can  be  extended  in  the  future  on  Iceland  and  Liechtenstein  by  a  decision  of  the 
EEA  Joint  Committee.  However,  the  agreement  on  customs  security  measures  between  the 
EC and Switzerland will apply to Liechtenstein. 

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. 

These  amendments  to  the  EEA  Agreement  have  no  financial  impact  on  the  budget  of  the 
European Community. 

II. Amendments to Protocol 10 

A. Customs-security measures provided for in the acquis communautaire included in Chapter 
IIa of Protocol 10. 

The new Chapter IIa (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  for  control  purposes,  which  will  be 
established using computerised systems. 

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

The new article 9f of Protocol 10 lays down that the EEA Joint Committee shall define the 
rules allowing the contracting parties to ensure the monitoring of the implementation of this 
Chapter  and  to  verify  whether  the  provisions  of  this  Chapter  and  Annexes  I  and  II  to  this 
Protocol  are  respected.  Monitoring  may  take  the  form  of  regular  assessments  of  the 
implementation  of  these  provisions,  holding  of  thematic  meetings  of  experts  from  both 
parties, and audits of administrative procedures. 

In addition, with a view to the equivalence of customs security measures listed in Chapter IIa 
and in Annexes I and II, Article 9i of the Protocol provides that each contracting party may 
take  appropriate  safeguard  measures,  including  the  suspension  of  the  provisions  of  that 
Chapter,  if  it  finds  that  the  other  party  does  not  respect  the  conditions  or  equivalency  is  no 
longer ensured. Such measures are subject to prior consultation of the EEA Joint Committee.  

Unless  the  EEA  Joint  Committee  decides  otherwise,  a  contracting  party  may  suspend  the 
application  of  Chapter  IIa  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 equivalency of customs measures is no longer ensured. If the 
Community  decides  on  such  action,  the  Commission  will  notify  Norway  of  the  suspension, 

EN 

3 

   EN 

 
which  will  take  effect  from  the  date  on  which  the  Community  legislation  concerned  is 
applied.  

III. Amendments to Protocol 37 

The  Protocol  contains  a  list  of  committees  which  assist  the  European  Commission  in  the 
exercise of its executive powers. 

The  Customs  Code  Committees  is  added  to  the  list  to  allow  participation  of  the 
representatives  of  Norway  to  this  Committee  when,  in  accordance  with  Article  101  of  the 
EEA Agreement, this is called for by the good functioning of the EEA Agreement. 

IV. Conclusion 

Article  1(3)  of  Council  Regulation  (EC)  No  2894/945  concerning  the  arrangements  for 
implementing  the  EEA  Agreement  envisages  that  the  Council  establishes  the  Community 
position for Joint Committee Decisions of this nature. 

The draft decision of the EEA Joint Committee is submitted for the approval of the Council, 
after which the Commission will put forward the position of the Community in the EEA Joint 
Committee at the earliest possible occasion. 

5 

OJ L 305, 30/11/1994, p.6. 

EN 

4 

   EN 

 
                                                 
2009/0074 (ACC) 

Proposal for a 

COUNCIL DECISION 

on a Community position within the Joint Committee established by the Agreement on 
the European Economic Area on the adaptation of Protocols 10 and 37 on simplification 
of inspections and formalities in respect of carriage of goods  

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
133 in conjunction with the second subparagraph of Article 300 thereof, 

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

6 
7 
8 

9 

Council  Regulation  (EEC)  No  2913/92  introducing  the  Community  Customs  Code6 
and  Commission  Regulation  (EEC)  No 2454/93  introducing  the  implementing 
provisions  of  the  Code7  were  amended  in  20058  and  20069  respectively  in  order  to 
include  customs  security  measures.  Among  other  measures, 
these  security 
arrangements  provide  for  a  provision  obliging  operators,  as  from  1  July  2009,  to 
submit certain data before goods are imported or exported. 

The amendments on customs security measures stipulate that different rules and time 
limits  may  be  set  concerning  the  obligation  to  provide  pre-arrival  and  pre-departure 
information where international agreements provide for special security amendments.  

Given  the  volume  of  trade  between  the  European  Community  and  Norway  and  the 
customs  security  measures  introduced  in  Norway,  Norway  and  the  European 
Communities entered into negotiations with a view to ensure security in trade of goods 
entering or leaving their territory without impeding the free flow of this trade. 

It  is  therefore  appropriate  to  amend  Protocol  10  on  simplification  of  inspections  and 
formalities in respect of carriage of goods to the EEA Agreement in order to ensure an 
appropriate  level  of  customs  security  without  impeding  legitimate  trade  between  the 

OJ L 302, 19.10.1992, p. 1 
OJ L 117, 4. 5.2005, p. 13. 
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  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. 

EN 

5 

   EN 

 
                                                 
parties as well as Protocol 37 containing the list of committees provided for in article 
101 of the EEA Agreement. 

(5) 

These  amendments  should  be  introduced  by  a  decision  of  the  Joint  Committee 
established by the Agreement on the European Economic Area. 

HAS DECIDED AS FOLLOWS:  

Article 1 

The  position  to  be  adopted  by  the  Community  within  the  EEA  Joint  Committee  on  the 
proposal  to  amend  Protocols  10  and  37  to  the  EEA  Agreement  shall  be  based  on  the  text 
attached hereto. 

Article 2 

The  Decision  of  the  EEA  Joint  Committee  shall  be  published  in  the  Official  Journal  of  the 
European Union. 

Done at Brussels,  

For the Council 
The President 

EN 

6 

   EN 

 
 
 
 
 
ANNEX 

Proposal for a 

DECISION OF THE EEA JOINT COMMITTEE 

No 

of 

amending Protocol 10 on simplification of inspections and formalities in respect of 
carriage of goods and Protocol 37 to the EEA Agreement 

THE EEA JOINT COMMITTEE, 

Having regard to the Agreement on the European Economic Area, as amended by the Protocol 
adjusting  the  Agreement  on  the  European  Economic  Area,  hereinafter  referred  to  as  ‘the 
Agreement’, and in particular Article 98 and 101 thereof, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

Protocol 10 to the Agreement has not been amended by the EEA Joint Committee. 

Protocol 37 to the Agreement was amended by Decision of the EEA Joint Committee 
No … of … 

Protocol  10  to  the  Agreement  should  be  amended  in  the  mutual  interest  of  the 
European  Community  and  the  EFTA  States  to  avoid  unnecessary  restrictions  and  to 
provide a set of provisions establishing equivalent customs security measures for the 
transport of goods coming from and going to third countries. 

The  present  Decision  of  the  EEA  Joint  Committee  shall  not  apply  to  Iceland  and 
Liechtenstein. However, it shall be open to all EFTA States, subject to a new Decision 
of the EEA Joint Committee. 

The European Community and Norway are determined to improve security in trade of 
goods entering or leaving their territory without impeding the free flow of this trade. 

In  the  mutual  interest  of  the  European  Community  and  Norway,  equivalent  customs 
security  measures  should  be  established  for  the  transport  of  goods  coming  from  and 
going  to  third  countries,  and  enter  into  force  simultaneously  with  the  corresponding 
measures applied by the EU Member States. 

The  European  Community  and  Norway  are  determined  to  guarantee  an  equivalent 
level of security on their respective territories by customs security measures based on 
the legislation in force in the European Community. 

The  customs  security  measures  in  question  relate  to  the  declaration  of  security  data 
covering the goods prior to their entry or exit, to the security risk management and its 

EN 

7 

   EN 

 
related customs controls, as well as to the attribution of the mutually recognised status 
of authorised economic operator. 

(9) 

(10) 

It  is  desirable  that  Norway  be  consulted  on  the  development  of  the  European 
Community’s  rules  relating  to  customs  security  measures,  and  that  it  be  informed 
about  their  application.  It  is  therefore  necessary  to  amend  Protocol  37  to  the 
Agreement which lists committees to the work of which experts from the EFTA States 
shall be associated when it is called for the good functioning of the Agreement. 

Insofar  as  Directive  95/46/EC  of  the  European  Parliament  and  of  the  Council  of  24 
October  1995  on  the  protection  of  individuals  with  regard  to  the  processing  of 
personal  data  and  on  the  free  movement  of  such  data  was  incorporated  into  the 
Agreement by Decision of the EEA Joint Committee No 83/199910, Norway provides 
for an adequate level of protection of personal data, 

HAS DECIDED AS FOLLOWS: 

Protocol 10 to the Agreement shall be amended as specified in the Annex to this Decision. 

Article 1 

Article 2 

The following point shall be inserted in Protocol 37 (containing the list provided for in Article 
101) to the Agreement: 

‘27. 

The Customs Code Committee (Council Regulation (EEC) No 2913/92).’ 

Article 3 

1. 
This  Decision  shall  enter  into  force  on  1  July  2009  or  on  the  day  following  the  last 
notification to the EEA Joint Committee under Article 103(1) of the Agreement, whichever is 
the later11. 

2. 
Pending  the  notifications  referred  to  in  paragraph  1,  the  European  Community  and 
Norway  shall  apply  this  Decision  provisionally  as  from  1  July  2009  or  from  a  later  date 
agreed by the European Community and Norway and notified to the other EFTA States and 
the EFTA Surveillance Authority.  

This Decision shall be published in the EEA Section of, and in the EEA Supplement to, the 
Official Journal of the European Union. 

Article 4 

10 
11 

OJ L 296, 23.11.2000, p. 41. 
[No constitutional requirements indicated.] 

EN 

8 

   EN 

 
                                                 
Done at Brussels, . 

For the EEA Joint Committee 
The President 

The Secretaries 
to the EEA Joint Committee 

EN 

9 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
ANNEX  

to Decision of the EEA Joint Committee No […] 

Protocol 10 to the Agreement shall be amended as follows: 

1. 

The following paragraphs shall be added in Article 2: 

‘3.  The  customs  security  measures  in  Chapter  IIa  and  Annexes  I  and  II  to  the 
Protocol shall only apply between the European Community and Norway. 

4.  When reference is made to the customs territory of the Contracting Parties in 

Chapter IIa and Annexes I and II to this Protocol, it covers: 

–  the customs territory of the Community, 

–  the customs territory of Norway.’ 

2. 

The following chapter shall be inserted after Chapter II (PROCEDURES): 

‘CHAPTER IIa 

CUSTOMS SECURITY MEASURES 

Article 9a 

Definitions 

(a) 

(b) 

''risk'' shall mean the likelihood of an event occurring, in connection with the 
entry, exit, transit, transfer and end-use of goods moved between the customs 
territory of one of the Contracting Parties and a third country and the presence 
of goods that are not in free circulation, which pose a threat to the security and 
safety  of  the  Contracting  Parties,  to  public  health,  to  the  environment  or  to 
consumers. 

''risk  management''  shall  mean  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 
Contracting Parties or internationally. 

Article 9b 

General provisions on security 

The  Contracting  Parties  agree  to  introduce  and  to  apply  to  goods  entering  or 
1. 
leaving  their  customs  territories  the  customs  security  measures  defined  in  this 
Chapter ensuring thus an equivalent level of security at their external borders. 

EN 

10 

   EN 

 
2. 
The Contracting Parties waive the application of the customs security measures 
defined  in  this  Chapter  where  goods  are  carried  between  their  respective  customs 
territories. 

Before concluding any agreement with a third country in the area covered by 
3. 
this Chapter, the Contracting  Parties  shall consult each other in order  to ensure the 
compatibility with the provisions of this Chapter, particularly where that agreement 
contains provisions that are derogating from the customs security measures referred 
to  in  this  Chapter.  Each  Contracting  Party  shall  ensure  that  agreements  with  third 
countries do not create rights and obligations for another Contracting Party unless the 
EEA Joint Committee decides otherwise. 

Article 9c 

Pre-arrival and pre-departure declarations 

1.  Goods  brought  from  third  countries  into  the  customs  territory  of  the 
Contracting Parties shall be covered by an entry declaration (subsequently 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. 

2.  Goods  leaving  the  customs  territory  of  the  Contracting  Parties  for  third 
countries,  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 shall be covered by an exit declaration (subsequently referred to 
as an 'exit summary declaration'). 

Entry  and  exit  summary  declarations  shall  be  lodged  before  the  goods  are 

3. 
brought into or leave the customs territory of the Contracting Parties. 

4. 
The  production  of  the  entry  and  exit  summary  declarations  referred  to  in 
paragraphs  1  and  2  is  optional  until  31  December  2010  provided  that  transitional 
measures derogating from the obligation to present such declarations are applicable 
in the Community. 

Where, in accordance with the preceding sub-paragraph, the entry or exit summary 
declaration  is  not  lodged,  risk  analysis  for  customs  security  matters,  referred  to  in 
Article  9e,  shall  be  carried  out  by  the  customs  authorities  at  the  latest  upon 
presentation  of  the  goods  at  arrival  or  exit,  where  appropriate  on  the  basis  of  any 
declaration covering these goods or any other information available for them. 

5. 
Each Contracting Party shall determine the persons liable for lodging entry or 
exit  summary  declarations  as  well  as  the  authorities  competent  for  accepting  such 
declaration. 

6.  Annex I to this Protocol establishes: 

– 

the form and the particulars of the entry or exit summary declaration; 

EN 

11 

   EN 

 
– 

– 

– 

– 

the  exceptions  from  the  obligation  to  lodge  an  entry  or  exit  summary 
declaration; 

the place where the entry or exit summary declaration shall be lodged; 

the deadlines for lodging the entry or exit summary declaration; 

any other provision necessary to ensure the application of this article. 

7.  A customs declaration can be used as an entry or an exit summary declaration 
provided that it contains all the particulars required for a summary declaration. 

Article 9d 

Authorised economic operator 

1. 
Each Contracting Party shall grant, subject to the criteria provided for in Annex 
II  to  this  Protocol,  the  status  of  'authorised  economic  operator'  to  any  economic 
operator established in its customs territory. 

to  specific  conditions, 

However,  subject 
into  account 
international agreements with third countries, the requirement of being established in 
the customs territory of a Contracting Party may be waived for specific categories of 
authorised  economic  operators.  Moreover,  each  Contracting  Party  shall  determine 
whether  and  under  what  conditions  an  airline  or  shipping  company  which  is  not 
established on its territory but has a regional office there can be granted this status. 

in  particular 

taking 

An  authorised  economic  operator  shall  benefit  from  facilitations  with  regard  to 
customs controls relating to security. 

The  status  of  authorised  economic  operator  granted  in  one  Contracting  Party  shall, 
subject  to  the  rules  and  conditions  laid  down  in  paragraph  2,  be  recognised  by 
another Contracting Party, without prejudice to customs controls, particularly with a 
view  to  taking  into  account  the  implementation  of  agreements  with  third  countries 
providing for a mutual recognition of the status of an authorised economic operator. 

2.  Annex II of this Protocol establishes: 

– 

– 

– 

– 

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

the type of facilitations that may be granted; 

the conditions under which the status is suspended or revoked; 

the  procedures  to  exchange  information  between  the  Contracting  Parties 
concerning their authorised economic operators; 

– 

any other provision necessary to ensure the application of this article. 

EN 

12 

   EN 

 
Article 9e 

Security related customs controls and security risk management  

Customs controls other than spot-checks, shall be based on risk analysis using 

1. 
automated data processing techniques. 

Each  Contracting  Party  shall  define  its  risk  management  framework,  risk 

2. 
criteria and priority control areas related to security.  

The  Contracting  Parties  recognise  the  equivalence  of  their  risk  managements 

3. 
systems related to security. 

4. 

The Contracting Parties shall co-operate with a view to: 

– 

– 

exchange information in order to improve and reinforce their risk analyses and 
efficiency of security controls, and 

define  within  an  appropriate  time  span,  a  common  risk  management 
framework,  common  risk  criteria,  common  priority  control  areas  as  well  as 
putting in place an electronic common risk management system. 

The  EEA  Joint  Committee  shall  adopt  the  measures  necessary  for  the 

5. 
application of this article. 

Article 9f 

Monitoring of the implementation of customs security measures 

The  EEA  Joint  Committee  shall  define  the  rules  allowing  the  Contracting 
1. 
Parties to ensure the monitoring of the implementation of this Chapter and to verify 
whether  the  provisions  of  this  Chapter  and  Annexes  I  and  II  to  this  Protocol  are 
respected. 

2. 

The monitoring shall be ensured by: 

– 

– 

– 

regular  evaluation  of  the  implementation  of  this  Chapter,  particularly  an 
evaluation of the equivalency of the customs security measures; 

an examination with a view to improving the application of  the provisions of 
this Chapter or to modifying them in order to better meet its objectives; 

the organisation of meetings between experts of both parties to discuss specific 
issues and a review of administrative procedures, including spot-check visits. 

The measures taken in compliance with this article shall not infringe the rights 

3. 
of operators concerned. 

EN 

13 

   EN 

 
Article 9g 

Protection of professional secrecy and of personal data 

Information exchanged by the Contracting Parties in the framework of the provisions 
of this Chapter is protected by law on professional secrecy and protection of personal 
data applicable in the Contracting Party to which the information is submitted. 

The information shall not be made available to any other persons than the competent 
authorities in the Contracting Party and shall not be used by these authorities for any 
other purpose than provided for in this Chapter. 

Article 9h 

Evolution of legislation 

1.  All  changes  in  EC  legislation  relevant  to  the  rights  and  obligations  of  the 
Contracting  Parties  created  by  this  Chapter  and  Annexes  I  and  II  to  this  Protocol 
shall be subject to the procedure stipulated in this article. 

2.  As  soon  as  the  Community  is  drawing  up  new  legislation  in  a  field  which  is 
governed by this Chapter, it shall informally seek advice from experts of the EFTA 
State concerned according to the procedure stipulated in Article 99 of the Agreement.  

3.  When amendments to this Chapter and to Annexes I and II to this Protocol are 
necessary to take into account the development of Community legislation on matters 
covered by this Chapter and Annexes I and II, they shall be decided in such a manner 
as to allow applying these amendments simultaneously with those introduced in the 
Community  legislation  and  with  due  respect  for  the  internal  procedures  of  the 
Contracting Parties. 

If a decision cannot be adopted in a way allowing such simultaneous application, the 
Contracting  Parties  shall  where  possible  and  with  due  respect  for  their  internal 
procedures, provisionally apply the amendments provided for in the draft decision. 

4. 
For  issues  which  are  relevant  for  the  EFTA  State  concerned,  the  Community 
shall ensure the participation as observers of experts from the EFTA State concerned 
in  the  Customs  Code  Committee  created  by  Regulation  (EEC)  No  2913/92 
establishing the Community Customs Code.  

Article 9i 

Safeguard measures and suspension of the provisions of this Chapter 

1. 
If a Contracting Party does not respect the conditions stipulated in this Chapter 
or if the equivalency of the customs security measures in the Contracting Parties is 
no  longer  ensured,  after  consultations  at  the  EEA  Joint  Committee  and  only  for  a 
scope  and  duration  strictly  necessary  for  settling  the  situation,  another  Contracting 

EN 

14 

   EN 

 
Party  may  suspend  partially  or  completely  the  application  of  the  provisions  of  this 
Chapter  or  take  appropriate  measures.  Articles  112  to  114  of  the  Agreement  apply 
mutatis mutandis. 

If the equivalency of the customs security measures cannot be assured because 
2. 
the  amendments  referred  to  in  Article  9h  (3)  above  have  not  been  decided,  the 
application of the Chapter is suspended on the date when the Community legislation 
concerned  is  applied,  unless  the  EEA  Joint  Committee,  having  examined  the 
measures to maintain its application, decides otherwise. 

Article 9j 

Public order 

The provisions of this Chapter do not prevent prohibitions or restrictions on imports, 
on  exports  or  on  goods  in  transit,  introduced  by  the  Contracting  Parties  or  by  the 
Member States of the Community and justified for reasons of public law and order, 
public  security  and  public  morality,  protection  of  health  and  life  of  humans,  of  the 
animals  or  of  the  plants  and  of  the  environment,  of  protection  of  the  national 
treasures having an artistic, historical or archaeological value, or of protection of the 
industrial or commercial property. 

Article 9k 

The competences of the EFTA Surveillance Authority 

In  cases  concerning  the  application  of  this  Chapter  and  Annexes  I  and  II  to  this 
Protocol,  the  EFTA  Surveillance  Authority  shall,  before  acting,  launch  the 
consultations in accordance with Article 109 (2) of the Agreement. 

Article 9l 

Annexes 

The Annexes to this Protocol shall form its integral part. 

The following annexes shall be inserted as annexes: 

EN 

15 

   EN 

 
ANNEX I 

ENTRY AND EXIT SUMMARY DECLARATIONS 

Article 1 

Form and content of the entry or exit summary declaration 

1. 
The entry or exit summary declaration shall be lodged using a data processing 
technique. Commercial, port or transport documentation may be used, provided that 
it contains the necessary particulars. 

2. 
The entry or exit summary declaration shall contain the particulars laid down 
for such declaration in Annex 30A of Regulation (EEC) No 2454/93 which sets out 
the operational details of Regulation (EEC) No 2913/92 establishing the Community 
Customs Code (subsequently referred to as 'Regulation (EEC) No 2454/93')12. It shall 
be completed in accordance with the explanatory notes in that Annex. The summary 
declaration shall be authenticated by the person making it. 

3. 
The  customs  authorities  shall  allow  the  lodgement  of  a  paper-based  entry 
summary declaration, or any other means replacing it as agreed between the customs 
authorities, only in one of the following circumstances: 

(a) 

the customs authorities’ computerised system is not functioning; 

(b) 

the electronic application of the person lodging the entry summary declaration 
is not functioning, 

provided that the customs authorities apply the same level of risk management as that 
applied  to  entry  or  exit  summary  declarations  made  using  a  data  processing 
technique. 

The paper-based entry summary declaration shall be signed by the person making it. 
Such  paper-based  entry  summary  declarations  shall  be  accompanied,  where 
necessary, by loading lists or other appropriate lists, and shall contain the particulars 
referred to in paragraph 2. 

4. 
Each Contracting Party shall define the conditions and procedures according to 
which the person lodging the entry or exit summary declaration can modify  one or 
more of its particulars of the declaration after lodging it to customs authorities. 

12 

OJ  L  253  of  11.10.1993  as  subsequently  amended  by  Regulation  (EC)  No  1875/2006  (OJ  L  360  of 
19.12.20.6).  

EN 

16 

   EN 

 
                                                 
Article 2 

Exceptions from the obligation to lodge an entry or an exit summary declaration 

1.  An entry or an exit summary declaration shall not be required in respect of the 
following goods: 

(a) 

electrical energy; 

(b)  goods entering or leaving by pipeline; 

(c) 

letters, postcards and printed matter, including on electronic medium; 

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

(e) 

goods  for  which  an  oral  customs  declaration  or  a  declaration  by  simple 
crossing  the  border  is  permitted  in  accordance  with  the  legislation  of  the 
Contracting  Parties  except  for  pallets,  containers  and  means  of  road,  rail,  air, 
sea or inland waterway transport carried under a transport contract. 

(f) 

goods contained in travellers’ personal luggage; 

(g)  goods covered by ATA and CPD Carnets; 

(h)  goods  entitled  to  relief  pursuant  to  the  Vienna  Convention  on  diplomatic 
relations of 18 April 1961, the Vienna Convention on consular relations of 24 
April 1963 or other consular conventions, or the New York Convention of 16 
December 1969 on special missions. 

(i)  weapons and military equipment brought into or out from the customs territory 
of a Contracting Party by the authorities responsible for the military defence of 
the Contracting Parties, in military transport or transport operated for the sole 
use of the military authorities. 

(j) 

the  following  goods  brought  into  or  out  from  the  customs  territory  of  a 
Contracting Party directly to or from drilling or production platforms operated 
by a person established in the customs territory of the Contracting Parties: 

– 

– 

goods  which  were  incorporated  in  such  platforms,  for  the  purposes  of 
their construction, repair, maintenance or conversion;  

goods  which  were  used  to  fit  to  or  to  equip  the  said  platforms;  other 
provisions  used  or  consumed  on  the  said  platforms;  and  non  hazardous 
waste products from the said platforms; 

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

EN 

17 

   EN 

 
(l) 

goods  moved  under  cover  of  the  form  302  provided  for  in  the  Convention 
between  the  Parties  to  the  North  Atlantic  Treaty  regarding  the  Status  of  their 
Forces, signed in London on 19 June 1951. 

2.  An entry or exit summary declaration is not required in cases provided for in 
international agreements concluded by a Contracting Party with a third country in the 
area of security subject to the procedure referred to in Article 9b (3) of the Protocol. 

3.  An  entry  or  exit  summary  declaration  is  not  required  in  the  Community  in 
cases provided for in Article 181c, letter j), Article 592a, letter j) and Article 842a, 
second indent, letter b) of Regulation (EEC) No 2454/93. 

Article 3 

Place where the entry or exit summary declaration has to be lodged 

1. 
The entry summary declaration shall be lodged at the competent customs office 
in the customs territory of the Contracting Party where the goods are brought in from 
third  countries.  On  the  basis  of  the  data  included  in  the  declaration,  that  customs 
office carries out the risks analysis as well as the security customs controls that are 
deemed necessary, including when the goods are destined for the other Contracting 
Party. 

2. 
The exit summary declaration shall be lodged at the competent customs office 
in the customs territory of the Contracting Party where the exit formalities for goods 
destined for third countries are carried out. However, where an export declaration is 
used  as  an  exit  summary  declaration,  it  shall  be  lodged  at  the  competent  customs 
office in the customs territory of the Contracting Party where the formalities related 
to the export to a third country are carried out. That competent office shall carry out 
the  risk  analysis  on  the  basis  of  the  data  included  in  the  declaration  as  well  as  the 
security customs controls that are deemed necessary. 

3.  When  goods  leave  the  customs  territory  of  a  Contracting  Party  to  a  third 
country through the customs territory of the other Contracting Party, the data referred 
to  in  Article  1  (2)  shall  be  transmitted  by  the  competent  authorities  of  the  first 
Contracting Party to the competent authorities of the second Contracting Party. The 
Contracting Parties shall endeavour to establish a connection with a view to using a 
common  system  of  data  transmission,  which  contains  all  information  necessary  to 
certify the exit of the goods in question. 

However, the EEA Joint Committee may determine cases where the transmission of 
the data is not required provided that such cases do not prejudice the level of security 
that is guaranteed by this Agreement. 

Where  the  Contracting  Parties  are  unable  to  carry  out  the  transmission  of  data 
referred to in the first sub-paragraph at the date of application of the present Protocol, 
the  exit  summary  declaration  for  goods  leaving  a  Contracting  Party  for  a  third 
country through the customs territory of another Contracting Party, except for goods 
in direct  air  transportation, shall be lodged only to  the competent authorities of  the 
second Contracting Party. 

EN 

18 

   EN 

 
Article 4 

Deadlines for lodging an entry or an exit summary declaration 

1.  Deadlines by which the entry or exit summary declaration is to be lodged are 
those referred to in Articles 184a and 592b of Regulation (EEC) No 2454/93. 

2. 
Subject  to  the  procedure  referred  to  in  Article  9b  (3)  of  the  Protocol,  the 
deadlines mentioned in paragraph 1 do not apply where international agreements on 
security between the Contracting Party and third countries provide otherwise. 

EN 

19 

   EN 

 
ANNEX II 

AUTHORISED ECONOMIC OPERATOR 

Title I  

Granting the status of an authorised economic operator 

Article 1  

General provisions 

The  criteria  for  granting  the  status  of  authorised  economic  operator  shall 

1. 
include: 

– 

– 

– 

– 

an appropriate record of compliance with customs requirements, 

a  satisfactory  system  of  managing  commercial  and,  where  appropriate, 
transport records, which allows appropriate customs controls, 

where appropriate, proven financial solvency, and 

where applicable, appropriate security and safety standards. 

Each Contracting Party shall determine the procedure for granting the status of 

2. 
authorised economic operator and the legal effects of the status. 

3. 
The Contracting Parties ensure that their customs authorities control that all the 
conditions  and  criteria  for  granting  the  status  are  respected  by  the  authorised 
economic operator and shall review them in case of an important amendment to the 
legislation  concerned  or  when  new  circumstances  appear,  which  raise  a  reasonable 
suspicion  of  the  authorities  that  the  operator  does  no  longer  comply  with  the 
conditions and criteria concerned. 

Article 2 

Record of compliance 

1. 
The  record  of  compliance  with  customs  requirements  shall  be  considered  as 
appropriate 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; 

EN 

20 

   EN 

 
(d) 

the person responsible in the applicant company for customs matters. 

2. 
The  record  of  compliance  with  customs  requirements  may  be  considered  as 
appropriate  if  the  competent  customs  authority  considers  any  infringement  to  be  of 
negligible  importance,  in  relation  to  the  number  or  size  of  the  customs  related 
operations, and not to create 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  records  and  information  that  are  available  to 
them. 

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

Article 3 

Satisfactory system of managing of 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  where  the  accounts  are  held  and  which  will 
facilitate audit-based customs control; 

(b) 

(c) 

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

have an administrative organisation which corresponds to the type and size of 
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 
licenses and authorisations connected to importation or / and exportation; 

(e) 

(f) 

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

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. 

EN 

21 

   EN 

 
Article 4 

Financial solvency 

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

The  condition  relating  to  the  financial  solvency  of  the  applicant  shall  be 

2. 
deemed to be met if his solvency can be proven for the past three years.  

If  the  applicant  has  been  established  for  less  then  three  years,  his  financial 

3. 
solvency shall be judged on the basis of records and information that are available. 

Article 5 

Security and safety standards 

1.  The  applicant's  security  and  safety  shall  be  considered  to  be  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  licenses  connected  to  prohibitions  and  restrictions  and  to  distinguish 
these goods from other goods; 

(e) 

(f) 

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

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  its  staff  concerned  actively  participate  in  security 
awareness programmes. 

2. 
If  the  applicant,  established  in  the  Contracting  Parties,  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,  or  of  a  European  Standard  of  the  European 

EN 

22 

   EN 

 
standard organisations, or of any other 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 Protocol. 

Title II  

Facilitation granted to authorised economic operators 

Article 6 

Facilitation granted to authorised economic operators 

The  customs  authorities  may  grant  an  authorised  economic  operator  the  following 
facilitations: 

– 

– 

– 

– 

the  competent  customs  office  may,  before  the  arrival  of  the  goods  into  the 
customs  territory  or  before  they  leave  it,  notify  the  authorised  economic 
operator when, as a result of security and safety risk analysis, the consignment 
has  been  selected  for  further  physical  control.  This  notice  shall  only  be 
provided where it does not jeopardise the control to be carried out. However, 
the  customs  authorities  may  carry  out  a  physical  control  even  where  an 
authorised economic operator has not been notified; 

an  authorised  economic  operator  may  lodge  entry  and  exit  summary 
declarations comprising the reduced data requirements set out in Annex 30A of 
Regulation  (EEC)  No  2454/93;  however  where  an  economic  operator  is  a 
carrier,  freight  forwarder  or  customs  agent  he  is  entitled  to  lodge  such 
declarations  only  on  the  condition  that  he  is  involved  in  the  importation  or 
exportation of goods on behalf of an authorised economic operator. 

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

where,  following  risk  analysis,  the  competent  customs  authority  nevertheless 
selects  for  further  examination  a  consignment  covered  by  an  entry  or  exit 
summary  declaration  or  by  a  customs  declaration  lodged  by  an  authorised 
economic  operator,  it  shall  carry  out  the  necessary  controls  as  a  matter  of 
priority.  If  the  authorised  economic  operator  so  requests,  and  subject  to 
agreement with the customs authority concerned, these controls may be carried 
out at a place which is different from the place of the customs office involved. 

Suspension and revocation of the status of the authorised economic operator. 

Title III  

EN 

23 

   EN 

 
Article 7 

Suspension of the status 

The status of authorised economic operator shall be suspended by the issuing 

1. 
customs authority in the following cases: 

(a)  where non-compliance with the conditions or criteria for granting the status has 

been detected; 

(b) 

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

(c) 

upon a request of the authorised economic operator when he is temporarily in 
incapacity to observe the conditions or criteria of granting of the status. 

2. 
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  not  to  create  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. 

The  suspension  shall  not  affect  any  customs  procedure  already  started  before 

4. 
the date of suspension and not yet completed. 

Each  Contracting  Party  shall  determine  duration  of  the  suspension  which 

5. 
should allow the authorised 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  an  authorised  economic  operator,  the  issuing  customs 
authority shall withdraw the suspension. 

Article 8 

Revocation of the status 

The status of the authorised economic operator shall be revoked by the issuing 

1. 
customs authority in the following cases: 

(a)  where serious infringements related to customs rules have been committed by 
the authorised economic operator and there is no further right of appeal; 

(b)  where  the  authorised  economic  operator  fails  to  take  the  necessary  measures 

during the suspension period referred to in Article 7 (5); 

EN 

24 

   EN 

 
(c) 

upon request of the authorised economic operator. 

2.  However, in the case referred to in paragraph 1 (a), the customs authority may 
decide  not  to  revoke  the  status  if  it  considers  the  infringements  to  be  of  negligible 
importance in relation to the number or size of the customs related operations and not 
to create doubts concerning the good faith of the authorised economic operator. 

3. 

Revocation shall take effect from the day following its notification. 

Title IV 

Exchange of information 

Article 9  

Exchange of information 

The  European  Commission  and  the  customs  authorities  of  the  relevant  EFTA  state 
shall, on a regular basis, exchange the following data concerning the identity of the 
authorised economic operators: 

(a) 

the  identification  number  of  the  operator  (TIN  in  a  format  compatible  with 
EORI legislation); 

(b) 

the name and the address of the authorised economic operator; 

(c) 

the  number  of  the  document  by  which  the  status  of  the  authorised  economic 
operator has been granted; 

(d) 

the current status (valid, suspended, withdrawn); 

(e) 

the periods when the status was modified; 

(f) 

the date from which the certificate is valid; 

(g) 

the authority which has issued the certificate. 

EN 

25 

   EN