Proposal for a Council Decision on the position to be taken by the European Union within the Administrative Committee established by the International Convention on the Harmonization of Frontier Controls of Goods on the proposal to amend that Convention with a new Annex on the facilitation of borders crossing procedures for international rail freight
Date: 2010-04-14
Institutions: European Commission
Subjects: administrative cooperation, border control, carriage of goods, customs formalities, customs harmonisation, international convention, international transport, rail transport, simplification of formalities

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EUROPEAN COMMISSION 

Brussels, 14.4.2010 
COM(2010)148 final 

2010/0085 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the position to be taken by the European Union within the Administrative Committee 
established by the International Convention on the Harmonization of Frontier Controls 
of Goods on the proposal to amend that Convention with a new Annex on the facilitation 
of borders crossing procedures for international rail freight  

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EXPLANATORY MEMORANDUM 

1. CONTEXT OF THE PROPOSAL 

1.1. Grounds for and objectives of the proposal 

The  purpose  of  this  Decision  is  to  accept  by  the  European  Union  the  new  Annex  9  to  the 
International Convention on the Harmonization of Frontier Controls of Goods. 

The purpose of the Annex is to facilitate international trade by reducing, harmonising and co-
ordinating  procedures  and  paperwork  in  connection  with  the  border  control  of  goods  in  the 
international  rail  transport.  The  Annex  essentially  contains  obligations  that  aim  at  reducing 
delays at rail border crossing points. This concerns introduction of minimum requirements for 
border  (interchange)  stations,  cooperation  between  countries  at  these  stations,  movement  of 
controls  from  borders  to  stations  of  departure  or  destination,  reduction  of  time  required  for 
controls, reduction of paper documents and use of CIM/SMGS consignment note as a customs 
document. 

1.2. General context 

The  International  Convention  on  the  Harmonisation  of  Frontier  Controls  of  Goods  (the 
Harmonisation Convention), signed at Geneva on 21 October 1982, was approved on behalf 
of the Community by Council Regulation (EEC) No 1262/84 of 10 April 1984 which entered 
into  force  on  12  September  1987.  There  are  currently  54  Contracting  Parties  to  the 
Convention, including the European Union and its Member States. 

The  Harmonisation  Convention  introduced  measures  designed  to  facilitate,  and  so  develop, 
international  trade  through  the  harmonisation  (where  appropriate)  of  the  various  frontier 
controls  that  are  applied  to  the  movement  of  goods.  However,  it  appeared  subsequently 
necessary to further rationalise border crossing formalities. 

The UN/ECE Working Party on Customs Questions Affecting Transport at its sessions agreed 
that  the  Harmonisation  Convention  should  be  revised  to  include  provisions  to  facilitate  the 
border  crossing  in  the  international  rail  transport.  Subsequently,  WP.30  produced  draft 
proposals to add a new Annex to the Harmonisation Convention in order to complement the 
existing provisions. 

Formal  and  final  adoption  of  the  new  Annex  is  foreseen  at  the  next  meeting  of  the 
Administrative Committee for the Harmonization Convention that is scheduled for May 2010. 
It is expected that all Contracting Parties will be able to accept the new Annex. 

1.3. Existing provisions in the area of the proposal 

There are no existing provisions in the area of the proposal. 

1.4. Consistency with the other policies and objectives of the Union 

The simplifications foreseen are in line with the revised Lisbon strategy. 

The  facilitation  of  international  trade  and  the  removal  of  technical  obstacles  to  trade  is  an 
objective of the common commercial policy and thus falls under the exclusive competence of 
the Union. The measures set out in the Annex are consistent with EU legislation. 

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2. CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

2.1. Consultation of interested parties 

Consultation methods, main sectors targeted and general profile of respondents 

Consultations  on  the  proposal  were  carried  out  with  the  Organization  for  Cooperation 
between Railways (OSJD) and the Intergovernmental Organization for International Carriage 
by Rail (OTIF). Consultations took place within the Customs Code Committee meetings and 
sessions of the UNECE Working Party on Customs Questions Affecting Transport. 

Summary of responses and how they have been taken into account 

Favourable opinion. 

2.2. Collection and use of expertise 

There was no need for external expertise. 

2.3. Impact assessment 

The current provisions of the Harmonization Convention remain unchanged. 

The  proposed  decision  accepts  on  behalf  of  the  European  Union  a  new  Annex  to  the 
Harmonization  Convention  that  includes  provisions  facilitating  the  border  crossing  in  the 
international rail transport. 

The adoption of this Annex will benefit of the transport business. 

3. LEGAL ELEMENTS OF THE PROPOSAL 

3.1. Summary of the proposed action 

The  proposed  Decision  formally  adopts  by  the  European  Union  the  new  Annex  9  to  the 
Harmonization Convention 

3.2. Legal basis 

Articles 207 and 218 of the Treaty on the Functioning of the European Union. 

3.3. Subsidiarity principle 

The proposal is in conformity with the principle of subsidiarity. It allows the implementation 
of  an  amendment  to  the  international  agreement  which  as  such  respects  the  principle  of 
subsidiarity. 

The  proposed  amendments  were  preliminarily  adopted  by  the  UNECE  Working  Party  on 
Customs Questions Affecting Transport and aims at further facilitation in rail transport. 

3.4. Proportionality principle 

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The  proposal  is  in  conformity  with  the  principle  of  proportionality.  It  allows  the 
implementation  of  an  amendment  to  the  international  agreement  which  as  such  respects  the 
principle of proportionality. 

3.5. Choice of instruments 

Proposed instrument: Decision. 

International agreements and amendments to these arrangements are normally introduced into 
the European Union's legal order by way of a Decision. 

4. BUDGETARY IMPLICATION 

The proposal has no implication for the EU budget. 

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2010/0085 (NLE) 

Proposal for a 

COUNCIL DECISION 

on a the position to be taken by the European Union within the Administrative 
Committee established by the International Convention on the Harmonization of 
Frontier Controls of Goods on the proposal to amend that Convention with a new Annex 
on the facilitation of borders crossing procedures for international rail freight  

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 207, in conjunction with Article 218, ninth paragraph thereof, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

The International Convention on the Harmonisation of Frontier Controls of Goods (the 
Harmonization Convention), signed at Geneva on 21 October 1982, was approved on 
behalf of the Community by Council Regulation (EEC) No 1262/84 of 10 April 1984 
and entered into force on 12 September 1987. 

The  Harmonisation  Convention  introduces  measures  designed  to  facilitate,  and  so 
develop,  international  trade  through  the  harmonisation  (where  appropriate)  of  the 
various frontier controls that are applied to the movement of goods. 

Article  22  of  that  Harmonisation  Convention,  in  conjunction  with  its  Annex  7, 
provides that the Administrative Committee can adopt amendments to the Convention. 
These  amendments  are  deemed  to  be  accepted  unless  a  Contracting  Party  objects 
within  12  months  of  the  communication  by  the  United  Nations,  of  the  proposed 
amendment to the Contracting Parties. 

The UN/ECE Working Party on Customs Questions Affecting Transport at its sessions 
decided  that  that  the  Convention  should  be  revised  to  include  also  provisions  to 
facilitate the border crossing in the international rail transport. 

The new Annex 9 aims at facilitation of international trade by reducing, harmonising 
and  co-ordinating  procedures  and  paperwork  in  connection  with  the  border  crossing 
and  control  of  goods  in  the  rail  transport.  This  will  be  achieved  by  introducing 
minimum requirements for border (interchange) stations, cooperating at these stations, 
moving  controls  from  borders  to  stations  of  departure  or  destination,  reducing  time 
required  for  controls,  eliminating  paper  documents  and  using  CIM/SMGS 
consignments note as customs documents. 

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(6) 

(7) 

(8) 

(9) 

All  joint  border  controls  formalities  and  agreements,  as  well  as  border  crossing 
procedures  and  formalities  for  rail  crews  shall  follow  the  rules  laid  down  in  the 
Regulation  (EC)  No  562/20061  of  the  European  Parliament  and  of  the  Council  of 
15 March 2006 establishing a Community Code on the rules governing the movement 
of  persons  across  borders (Schengen  Borders  Code)  and  the  Regulation  (EC)  No 
1931/20062  of  the  European  Parliament  and  of  the  Council  of  20 December  2006 
laying down rules on local border traffic at the external land borders of the Member 
States and amending the provisions of the Schengen Convention. 

The facilitation of international trade and the removal of technical obstacles to trade is 
an  objective  of  the  common  commercial  policy  and  thus  falls  under  the  exclusive 
competence of the European Union. 

All  Member  States  expressed  their  positive  opinion  as  regards  the  amendment 
proposal. The draft produced by the Working Party on Customs Questions Affecting 
Transport was already discussed within the Customs Code Committee and approved. 

The next session of the Administrative Committee for the Harmonization Convention 
is  scheduled  for  May  2010  and  it  is  expected  that  all  Contracting  Parties  to  the 
the 
Convention  will  be  ready 
Harmonization Convention. 

to  formally  adopt  proposed  amendments  of 

(10)  Therefore,  the  position  to  be  taken  by  the  European  Union  concerning  the  proposed 

amendment should be determined, 

HAS ADOPTED THIS DECISION:  

Article 1 

The position of the European Union within the Administrative Committee established by the 
Harmonization Convention on the proposal to amend that Convention with a new Annex 9 on 
the facilitation of border crossing procedures for international rail freight shall be based on the 
attached draft Annex. 

This Decision is addressed to the Member States. 

Article 2 

The  Commission  shall  publish  the  amendment,  once  adopted,  in  the  Official  Journal  of  the 
European Union indicating its date of entry into force. 

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OJ L 105, 13.4.2006, p. 1. 
OJ L 405, 30.12.2006, p. 1. 

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Done at Brussels,  

For the Council 
The President 

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ANNEX 9 

FACILITATION OF BORDER CROSSING PROCEDURES 

FOR INTERNATIONAL RAIL FREIGHT 

Article 1 

Principles 

1. 

2. 

This  Annex,  supplementing  the  provisions  of  the  Convention,  is  intended  to  define 
the steps that need to be taken to facilitate and expedite the crossing of borders for 
international rail freight. 

The Contracting Parties shall undertake to cooperate in order to standardize as fully 
as possible formalities and requirements in respect of documents and procedures in 
all areas connected with the carriage of goods by rail. 

Article 2 

Definition 

“Border  (interchange)  station”  shall  mean  a  railway  station  where  operational  or 
administrative procedures are performed in view of enabling a border crossing of rail freight. 
This railway station may be at the border or near the border. 

Article 3 

Crossing of borders by officials and other persons engaged in international rail 
transport 

1. 

2. 

3. 

The  Contracting  Parties  shall  endeavour  to  facilitate  the  procedures  for  granting  of 
visas  for  locomotive  crews,  refrigerated  unit  crews,  persons  accompanying  freight 
shipments  and  staff  at  border  (interchange)  stations  engaged  in  international  rail 
transport in accordance with national best practice for all visa applicants. 

The  border  crossing  procedure  for  the  persons  listed  in  paragraph  1,  including 
official  documents  confirming  their  status,  shall  be  determined  on  the  basis  of 
bilateral agreements. 

When  a  joint  control  is  carried  out,  the  officials  of  the  border,  customs  and  other 
agencies  that  conduct  controls  at  border  (interchange)  stations  shall,  in  the 
performance  of  their  official  duties,  cross  the  State  frontier  using  documents 
stipulated by the Contracting Parties for their nationals. 

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Article 4 

Requirements for border (interchange) stations 

To  rationalize  and  expedite  the  required  formalities  at  border  (interchange)  stations,  the 
the  following  minimum  requirements  for  border 
Contracting  Parties  shall  observe 
(interchange) stations open to international rail freight traffic: 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

Border  (interchange)  stations  shall  have  buildings  (premises),  plant,  facilities  and 
technical equipment enabling them to carry out daily and round-the-clock controls, if 
this is justified and is appropriate to the volume of freight traffic; 

Border (interchange) stations where phytosanitary, veterinary and other controls are 
carried out shall be provided with technical equipment; 

The carrying and traffic capacity of border (interchange) stations and adjacent tracks 
must be adequate for the volume of traffic; 

Inspection areas must be available, as well as warehousing for the temporary storage 
of goods subject to customs or other forms of control; 

Equipment, facilities, information technology and communications systems must be 
available  to  enable  the  exchange  in  advance  of  information,  including  on  goods 
approaching  border  (interchange)  stations,  as  contained  in  the  railway  consignment 
note and customs declaration; 

Sufficient qualified staff of the railway, customs, border and other agencies must be 
on hand at border (interchange) stations to cope with the freight volumes involved; 

Border  (interchange)  stations  shall  have  the  technical  equipment,  facilities, 
information technology and communications systems to be able, prior to the arrival 
of  rolling  stock  at  the  border,  to  receive  and  use  data  concerning  the  technical 
approval  and  the  technical  inspections  of  the  rolling  stock  made  by  authorities  and 
railways within the framework of their competence, unless Contracting Parties put in 
place alternative arrangements to fulfil these functions. 

Article 5 

Cooperation between adjacent countries at border (interchange) stations 

In  accordance  with  the  provisions  of  Article  7  of  the  Convention,  Contracting  Parties  shall 
coordinate  actions  with  respect  to  the  controls  of  rolling  stock,  containers,  piggyback  semi-
trailers and goods as well as the processing of shipping and accompanying documentation and 
shall endeavour to arrange all forms of joint controls on the basis of bilateral agreements. 

The Contracting Parties: 

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Article 6 

Controls 

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(1) 

(2) 

(3) 

(4) 

1. 

2. 

1. 

2. 

3. 

Shall  establish  a  mechanism  for  reciprocal  recognition  of  all  forms  of  control  of 
rolling stock, containers, piggyback semi-trailers and goods, provided the objectives 
thereof coincide; 

Shall carry out customs controls relying on the principle of selection on the basis of 
risk  evaluation  and  management.  As  a  general  rule,  if  required  information  on  the 
goods  has  been  provided  and  if  the  goods  are  contained  in  a  properly  closed  and 
sealed  rolling  stock  unit,  container,  piggyback  semi-trailer  or  wagon,  physical 
examination shall not be carried out; 

Shall carry out simplified controls at border (interchange) stations and shall, as far as 
possible, move certain forms of controls to the stations of departure and destination; 

Without prejudice to Article 10 of the Convention, Article 4 of Annex 2, Article 5 of 
Annex 3 and Article 5 of Annex 4, shall carry out inspections of transit goods only in 
cases where these are warranted by the actual circumstances or risks. 

Article 7 

Time limits 

The  Contracting  Parties  shall  ensure  compliance  with  the  time  limits  specified  in 
bilateral agreements for technical operations involving the reception and transfer of 
trains  at  border  (interchange)  stations,  including  all  types  of  controls,  and  shall 
endeavour  to  reduce  these  time  limits  by  improving  the  technology  and  equipment 
used. The Contracting Parties shall undertake to reach a maximum reduction in the 
time limit in the coming years. 

The  Contracting  Parties  shall  record  delays  of  the  trains  or  wagons  at  border 
(interchange)  stations  and  transmit  the  information  to  the  parties  involved  which 
conduct subsequent analysis and propose measures to reduce the delays. 

Article 8 

Documentation 

The Contracting Parties shall ensure that shipping and accompanying documents are 
properly  formulated  in  accordance  with  the  legislation  of  the  importing  and  transit 
countries. 

In  their  mutual  relations,  the  Contracting  Parties  shall  endeavour  to  reduce  paper 
documents and to simplify documentation procedures by using electronic systems for 
the  exchange  of  information  corresponding  to  the  information  contained  in  railway 
consignment notes and customs declarations accompanying the goods, drawn  up in 
accordance with the legislation of the Contracting Parties. 

The  Contracting  Parties  shall  endeavour  to  provide  the  customs  authorities  in 
advance  with  information  on  goods  arriving  at  border  (interchange)  stations  as 
contained in the railway consignment note and customs declaration. The format, and 

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the procedure and deadlines for providing the information, shall be determined by the 
Contracting Parties. 

Article 9 

Use of the CIM/SMGS railway consignment note 

The Contracting Parties may use, instead of the other shipping documents currently stipulated 
by international treaties, the CIM/SMGS railway consignment note, which at the same time 
could be a customs document. 

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